Sources Searchable through LexisNexis Company Dossier
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1 COMPANY INFORMATION America's Corporate Finance Directory America's Corporate Finance Directory focuses on U.S. companies with the greatest financial assets. The directory includes more than 4,500 public and private companies located in the United States with revenue income or pension assets in excess of $100,000,000 per year. Large subsidiaries of foreign corporations that are located in the United States are also included in this directory. Company Intelligence U.S. Company Intelligence, a combined directory and company news file published by Information Access Company, contains current address, financial, and marketing information for approximately 141,000 U.S. private and public companies. About 105,000 of the U.S. companies are listed in the five-volume set of the 1991 Ward's Business Directory. The file covers all types of commercial and industrial companies, more than 93% of which are privately held. Directory of Corporate Affiliations The Directory of Corporate Affiliations contains profile information and corporate linkage to the sixth level for more than 114,000 public and private companies (including more than 15,000 parent companies worldwide). U.S. companies usually demonstrate revenues in excess of $10 million, substantial assets/net worth, or a work force in excess of 300 persons while non-u.s. based companies usually demonstrate revenues in excess of $50 million. Disclosure Online Database U.S. Public Company Profiles Disclosure Online Database contains business and financial information extracted from annual and periodic reports filed with the Securities and Exchange Commission (SEC) for more than 10,000 publicly owned companies. To be included in the database, a company must have at least 500 shareholders of one class of stock and at least $5 million in assets and must have filed a 10-K (annual filing document for U.S. companies) or 20-F (annual filing document for non-u.s. companies) in the past 18 months. New companies must have filed the appropriate Registration Statement. Disclosure includes companies that are listed on the American Stock Exchange, New York Stock Exchange, and over-the-counter stocks. EDGARPlus Database The SEC requires all publicly held U.S. companies to file reports disclosing their financial condition, results of operations, and any other information that is of significance to investors. Beginning in 1993, the SEC began to require those filings to be made electronically, through the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) System. Following is a list of the forms included in this database. SEC Form 10-K This is the annual report that most reporting companies file with the SEC. It provides a comprehensive overview of the registrant's business. The report must be filed within 90 days after the end of the company's fiscal year. Page 1 of XX As of October 22, 2002 Page 1 of 7
2 SEC Form 10-Q This report, filed quarterly by most reporting companies, includes unaudited financial statements and provides a continuing view of the company's financial position during the year. The report must be filed for each of the first three fiscal quarters of the company's fiscal year and is due within 45 days of the close of the quarter. SEC Form 20-F This is an integrated form used both as a Registration Statement for purposes of registering securities of qualified foreign private issuers under Section 12 or as an annual report under Section 13(a) or 15(d) of the 1934 Act. SEC Proxy Statements State law governs the circumstances under which shareholders are entitled to vote. When a shareholder vote is required and any person solicits proxies with respect to securities registered under Section 12 of the 1934 Act, that person generally is required to furnish a proxy statement containing the information specified by Schedule 14A. The proxy statement is intended to provide security holders with the information necessary to enable them to vote in an informed manner on matters intended to be acted upon at security holders' meetings, whether the traditional annual meeting or a special meeting. Typically, a security holder is also provided with a "proxy card" to authorize designated persons to vote his or her securities on the security holder's behalf in the event the holder does not vote in person at the meeting. Copies of definitive (final) proxy statements and proxy card are filed with the SEC at the time they are sent to security holders. Certain preliminary proxy filings relating to mergers, consolidations, acquisitions, and similar matters are non-public upon filing; all other proxy filings are publicly available. SEC Williams Act Filings Prior to the 1960's, corporate takeover attempts had typically involved either proxy solicitations (regulated under Section 14 of the Securities Exchange Act) or exchange offers of securities (subject to the registration requirements of the 1933 Act). However, the proliferation of cash tender offers removed a substantial number of corporate control contests from the reach of existing disclosure requirements. The Williams Act was adopted in 1968 to establish disclosure requirements for the purchase by direct acquisition or tender offer of substantial blocks of the securities of publicly held companies. SEC Executive Compensation from Proxy Statements Proxy Statements provide official notification to a company's shareholders of matters to be voted upon at the company's annual meeting including proposals for executive compensation. This file contains executive compensation information from SEC Proxy statements, including details on executive salaries, bonuses, other annual compensation, stock options, and other long-term compensation. Exhibit 10. Material Contracts Each filing made with the SEC may include a number of exhibits in addition to the original form (such as Form 10-K). Each of the exhibits is stored in the EDGARPlus database as a separate document, allowing more focused searching and retrieval. This file contains exhibits filed as attachments to 10-Ks, 10-Qs, 8-Ks, Proxy Statements, and Registration Statements. An exhibit may be filed only once with the SEC, but then, by a process of "incorporation by reference," the same exhibit may be made part of one or more later filings that require submission of the same document. Most forms filed with the SEC will contain a filer-provided list of exhibits. Some of the entries on that list will refer to exhibits filed together with the form; other entries will refer to exhibits filed at an earlier date. Page 2 of XX As of October 22, 2002 Page 2 of 7
3 SEC Form 144 This form must be filed as notice of the proposed sale of restricted securities or securities held by an affiliate of the issuer in reliance on Rule 144 when the amount to be sold during any three-month period exceeds 500 shares or units or has an aggregate sales price in excess of $10,000. SEC Form 4 Every director, officer, or owner of more than ten percent of a class of equity securities registered under Section 12 of the 1934 Act must file a statement of ownership regarding such security. The initial filing is on Form 3 and changes are reported on Form 4. The Annual Statement of beneficial ownership of securities is on Form 5. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities. SEC Annual Reports to Shareholders The Annual Report to Shareholders is the principal document used by major corporations to communicate directly with their shareholders. The ARS is not a required SEC filing, but contains information (usually annual financial statements) that are referenced by the company's 10-K filing. Also included in most annual reports is information about the company's business, sales, and marketing and analysis of the company's condition made by the CEO. The ARS file contains all annual reports filed on the EDGAR system, as well as all annual reports of companies listed on the American and New York Stock Exchanges and approximately 260 NASDAQ (NMS) companies, beginning July The criteria for NMS coverage include companies that are either: Fortune 500 S&P 500 Forbes 500 Financial World 1,000 The Executive Directories The Executive Directories group file combines biographical information on directors and executives of major corporations. The following full-text sources are included: Financial Post Directory of Directors ICC Directors Standard & Poor's Corporation Register of Directors & Executives Who's Who In European Business Who's Who in International Banking Biographies Selected documents are provided from Marquis Who's Who Biographies. Extel Cards Database Extel Cards Database includes information on approximately 11,000 companies worldwide. Companies included are constituents of the FT World Index or a country's main index. Some 800 private companies are also covered. Financial and background data for Extel cards are compiled from published annual reports and accounts. News and announcements are sourced directly from the appropriate regulatory authority in each country. Extel Cards are an up-to-date, authoritative source of facts and figures, background, and news about individual companies for bankers and credit controllers monitoring changes in the status of companies; for investors evaluating or monitoring actual or potential investments; for business professionals keeping informed about customers, competitors, or suppliers or planning acquisitions; for accountants and attorneys acting as trustees or advising or acting for clients; for business school and university faculty and students. Page 3 of XX As of October 22, 2002 Page 3 of 7
4 Hoover's Company Capsules The Hoover's Company Capsule Database features more than 13,000 major U.S. companies and includes more than 30,000 executive names Each record includes company name; address; phone and fax numbers; Web site address; names of CEO, CFO, and chief human resources officer; sales and one-year sales change; fiscal year-end; stock exchange and symbol; industry, and a brief overview of operations. Hoover's Company Profiles The Hoover's Company Profile Database contains invaluable information for more than 4,000 major public and private companies worldwide such as Campbell Soup, Levi Strauss, Microsoft, and United Parcel Service. The database includes companies in the following Hoover's Handbooks: Hoover's Handbook of American Business Hoover's Handbook of Emerging Companies Hoover's Handbook of World Business Hoover's Guide to Private Companies. Company profiles include overviews and histories, up to 6 years of key financial and employment data, lists of products and key competitors, names of key officers, addresses, and phone and fax numbers. ICC Financial Analysis Reports Established in 1969, ICC Information Limited is the largest of the European network of database companies that form Hoppenstedt Bonnier Information N.V. (HBI). Acknowledged as the world's leading provider of UK corporate and industry analysis, ICC incorporates more analyzed company accounts than any other information supplier in Britain. Renowned for its data analysis and quality, the ICC Financial Analysis Reports file offers comprehensive analysis on all companies with limited liability in the UK large, medium, and small from all sectors of UK industry and commerce. This file provides data for all types of company research, providing extended profit and loss accounts and balance sheet information and new cash flow items, together with comprehensive business ratios, industrial comparisons, growth rates, and credit information. ICC Full-Text Quoted Company Annual Reports International Company Profiles ICC is one of Britain's leading providers of company and industry information, supplying the business community with fast and timely information. The Fulltext Quoted Company Annual Reports file contains the complete text of the annual reports and accounts published by 2,800 companies. Companies covered are the British companies listed on the London Stock Exchange and the top 500 European companies. Typically, the annual report and accounts of a company contain the Chairman's Statement, Directors' Report, Auditor's Report, Group and Company Accounts, the Notes to the Accounts, and details of subsidiary and related companies. Normally included are commentaries featuring the company's perception of its performance, a review of the business climate relative to the trading results, a review of divisional and regional activities, details of products, forecasts, and a detailed explanation of the company's accounts. INVESTEXT Database The INVESTEXT database contains company, industry, geographical, and topical reports from the world's leading investment banks and research firms. It provides detailed data and analysis on publicly traded companies in a wide variety of industries. The information is contained in reports generated by analysts at leading research organizations worldwide. Page 4 of XX As of October 22, 2002 Page 4 of 7
5 Information provided may include trends, sales and earnings forecasts, market share projections, and research and development expenditures. These reports are not generally available through public channels. Mergerstat M&A Database For more than 30 years, Mergerstat has been the leading provider of M&A statistics-led analysis. The Mergerstat database provides detailed information on mergers, acquisitions, and divestitures that are publicly announced. It covers U.S. transactions and cross border transactions involving a U.S. parent company where the equity value is greater than $1 million and represents at least a 10 percent interest. Using a broad variety of public and proprietary sources (including but not limited to press releases, business wire releases, and SEC filings) Mergerstat identifies transactions and researches them daily. Each entry contains basic information on the buyer and seller, including parent name, address, product line/business description, SIC codes, synopsis, and terms and (where available) seller financials and name and role of the financial advisor, legal advisor, and accountant. Nelson's Company Research Reports Company Research Report Headlines is the "master index" of nearly every research report published worldwide by more than 700 investment banks, brokers, and independent research firms. More than 200,000 reports are catalogued each year covering more than 14,000 different public companies and 97 different industries and specialties in nine global geographic regions. Nelson's Public Company Profiles Public Company Profiles comprise brief descriptions of 22,000 publicly traded corporations worldwide and include contact information, key executives, and business descriptions. U.S. companies include those traded on the NYSE, AMEX, and NASDAQ National Market System plus any OTC and NASDAQ small cap stocks with analyst coverage. Non-U.S. companies include ADRs (American Depository Receipts) as well. Standard & Poor's Descriptions Plus News Standard & Poor's Register of Corporations Standard & Poor's Corporate Descriptions is recognized throughout the U.S. as the authoritative source of in-depth information on publicly held corporations. Users can access strategic and financial information on more than 11,000 companies with securities trading on the New York, American, and regional stock exchanges; the NASDAQ System; over-the-counter in the U.S., and various exchanges in Canada and abroad. Used in conjunction with S&P Daily News, S&P's Corporate Descriptions offers a total, timely corporate information source. U.S. Business Directory The U.S. Business Directory is a database containing approximately ten million records on public and private U.S. businesses. InfoUSA has been compiling business information since 1972, and they use the following sources for the U.S. Business Directory database: yellow pages business white pages annual reports, 10K's, and other SEC information federal, state, and municipal government data more than 700,000 mail surveys business magazines, newsletters, and top newspapers postal service information ZIP + 4, carrier route, National Change of Address program (phone verified) Page 5 of XX As of October 22, 2002 Page 5 of 7
6 fourteen million telephone verification calls each year. Records contain the company name, mailing address, telephone and fax numbers, employment data, key contact(s) with title(s), six position SIC codes, actual and modeled sales volume figures, employment size, carrier route, size of Yellow Page ad, and the ABI number. Vickers Securities Report Vickers Stock Research is a leading provider of institutional and insider holdings data. Vickers data is widely used by the Wall Street community, as well as by stock and bond traders, portfolio managers, registered reps, security reps, security analysts, arbitrators, and investor relations officers of publicly held companies. Vickers Securities Report information is extracted from various SEC filings, including 13Fs, 13Ds, Form 4s, and Form 144s. Vickers Stock Research Corporation augments these sources with its own survey of institutions. Worldscope International Company Profiles WorldScope is an international database containing financial profiles, fundamental analysis, and stock performance data for more than 28,000 companies. WorldScope takes into consideration the variety of accounting conventions now in use worldwide and presents more than 6,000 data variables in a reformatted design that facilitates comparisons between companies within and across national boundaries. WorldScope data variables include financial variables extracted from source documents data items computed from fundamental variables general corporate data, including a brief business description, officers, segment data, major shareholders, and auditor information accounting data items on a company-specific basis. Zacks Investment Research, Inc. Consensus Earnings Projections The Chicago consulting firm of Zacks Investment Research, Inc., specializes in collecting estimates of corporate earnings from which it generates consensus forecasts. Zacks surveys daily the research reports and opinions of some 1,200 leading securities analysts from about 70 brokerage and investment banking firms. From this information, it extracts estimates of earnings-per-share (EPS) for more than 3,000 firms listed on stock exchanges or traded over-the-counter. INTELLECTUAL PROPERTY INFORMATION Combined Federal & State Trademarks This group file contains federal and state trademarks and trade names from all 50 states and Puerto Rico. This information is licensed to LexisNexis through CCH CORSEARCH, a member company of CCH Legal Information Services. Both the federal and state trademarks contain thorough information on trademark name, status, registration, goods and services, and current and prior owners. Federal trademarks also include TTAB actions, current and prior assignment records, and images for design marks. Page 6 of XX As of October 22, 2002 Page 6 of 7
7 U.S. Copyrights Combined Files The All U.S. Copyrights Combined file is a group file consisting of all three types of copyright documents: monographs legal documents serials. Each record in this file contains the title of the work, the owner's name, the registration number, an indication of whether the work is published or unpublished, the class and retrieval code assigned by the U.S. Copyright Office, and other pertinent information regarding the work and the nature of the registration. Patents LexisNexis Company Dossier searches the full text of utility, design, plant patents as well as reissue patents, reexamination certificates, statutory invention registrations (SIR), and defensive publications. NEWS INFORMATION News Group File, Most Recent Two Years This news group file contains full-text news stories from more than 1,440 global publications and selected documents from another 87 publications. Information included in this file has a publication date two years old or less. Today's News Sources This file contains same-day full-text news stories from more than 85 publications. It also includes selected, full-text documents from a handful of other publications. This group file does not include any archival material; it includes just one day s news. LEGAL INFORMATION Commonwealth & Irish Cases, Combined This is a combined file of full-text cases from the Republic of Ireland and the British Commonwealth, including Australia, Canada, England, Northern Ireland, New Zealand, and Scotland. Abstracted cases or summaries, such as Canadian or Australian case summaries are not included in this file. LexisNexis and the Knowledge Burst logo are trademarks of Reed Elsevier Properties Inc., used under license. It's How You Know is a trademark of LexisNexis, a division of Reed Elsevier Inc. Directory of Corporate Affiliations is a trademark of Reed Publishing (Nederland) B.V. Disclosure is a registered trademark and EDGARPlus is a trademark of Disclosure Incorporated. INVESTEXT is a registered trademark of Thomson Financial Publishing Inc. Mergerstat is a registered trademark of Mergerstat LP. Other products or services may be trademarks or registered trademarks of their respective companies LexisNexis, a division of Reed Elsevier Inc. All rights reserved. NXE Most Recent Year Federal and State Cases The one-year combination of federal and state caselaw provides all available caselaw decided in the immediately previous 12 months. It includes U.S. Supreme Court, Federal Court of Appeals, Federal District Courts, and State Caselaw. Also included are specialty courts such as military appeals, customs, patents, tax, trade, commerce, veteran appeals and bankruptcy. Search results will vary from month to month as cases older than 12 months are removed and new cases are added to this file. Page 7 of XX As of October 22, 2002 Page 7 of 7
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