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Website Tips Archive
 

Beneficial Ownership Information

A Sense of Belonging

Where you search depends on exactly what you're looking for. Beneficial Ownership tables are a required part of every company's Annual 10-K Report (and can also be found in Registration Statements and certain Proxy Statements), and may be all you need. Otherwise, supplement with event-driven filings--those triggered by specific changes to a company's ownership makeup. These include the ubiquitous forms 3 and 4 for 10%+ owning "insiders," and Schedules 13D and 13G for 5%+ "outsider" owners. For the latter, use our Beneficial Ownership Form Group.

updated 3/23/2010 [ Top ]

Comment Letters Search

Letters, We've Got Letters

As you may know, in the EDGAR system the SEC classifies comment letters and public company responses as UPLOAD and CORRESP, respectively. You can search these form types on our SEC Filings page; or check out our dedicated SEC Comment Letters search page for these documents. Use the sidebar on the left-hand side of the page to narrow your search by company name, text search, and date; or by subject filing, letter type, or industry.

updated 3/8/2012 [ Top ]

Company Information

Getting the Scoop

Our SEC Filings page results display allows you an optional expanded view for more detailed information about each filer on your list. Just click on the + Company link on the right hand side of your screen to view company information for a single record--or, if you prefer, for all results in the frame. For even more detail, click the Info link next to each filer's name. In addition to offering industry and financial information, this page allows you to run, with a single click of the mouse, a query for all filings made by the company.

updated 10/7/2010 [ Top ]

Creating Custom Documents

Check, Please

For those large and cumbersome filings, such as annual reports, you may only need to view and print certain exhibits, or just the base filing on its own. At Knowledge Mosaic, you can create a custom-built filing accordingly. Select the Filing Info view , click Create custom document, and use the checkboxes to include only the portion of the filing you need. Save in PDF, email, or add to your document cart for later use.

updated 3/23/2010 [ Top ]

Customize your news preferences online

Choose Your News

If you receive your Knowledge Mosaic news emails directly from us, you can now reconfigure your news profile yourself, anytime, anywhere, using our new News Preferences page. Want to add the Securities Mosaicr Blogwatch to your current news lineup? Now you can do so online. Leaving for a two-week vacation in Maui and want to suspend reception of all news publications? You can do that too. Just log in on your personal account and you're ready to roll.

updated 5/21/2010 [ Top ]

Data Details

Because Data Shouldn't Be Dadaesque

Ever wonder about the data you get through Knowledge Mosaic? Where does it come from, and how far back does it go? How often is it updated?

This information is available on every search page on the site. Just click on the Data Details link, located in the upper right corner of the page, and wonder no more.

updated 12/2/2009 [ Top ]

Document Cart: Email or print en masse

Like Online Shopping, But Without the Shipping Charges

Need to print or email a large number of filings? Our Document Cart will save you cartloads of time. From your search results on the All SEC Filings page, simply check the boxes next to the items you want to print or email, then click "Add Checked to Cart."

The Document Cart holds up to 25 items at once and allows you to print multiple filings as a single, concatenated PDF document; or email multiple documents in one simple step.

updated 6/29/2009 [ Top ]

Drilling Down into Proxy Statements

Getting a Proposal

To locate proposals to shareholders in proxy statements, begin by selecting Form Group Proxies (Preliminary) - PRE or Proxies (Definitive) - DEF (or both) on our SEC Filings page. Then refine with text search or other relevant filters. Boolean operators and nested searching may be invaluable for more targeted searches. For example, to find proposals to split the CEO and Chairman of a company into two positions, try this text string: (propos* w/15 split*) w/25 ((ceo OR chief executive) w/10 chairman).

updated 5/21/2010 [ Top ]

Exhibits Search page

Cut Through the Clutter

If you ever need to comb through the roughly 6 million documents that are tacked on to filings as Exhibits--Employment Agreements, Stock Purchase Agreements, Press Releases, Articles of Incorporation and Bylaws, and the like--then your new best friend may be the little radio button next to "Exhibits Only" on our SEC Filings page. Bypass bulky filings and get straight to the Exhibits themselves, employing powerful, granular search capability (including bi-level text searching on both the document level and exhibit label level) to yield easy-to-scan results, with keywords in context highlighted.

updated 6/28/2010 [ Top ]

Exhibits Search page: Finding Intellectual Property Agreements

From the Material to the Intellectual

Let's say you are given the task of locating examples of intellectual property agreements for the pharmaceutical industry: where do you start? Go to our SEC Filings page, and check the "Exhibits Only" radio button to limit your search. Exhibit 10: Material Contracts is where you'll find a majority of agreements in the filings. Next, determine the SIC for the pharmaceutical industry (you can refer to our "Locate SIC Codes" page). In this case, the range 2833~2839 will work. From there, enter "intellectual property" in the Exhibit Label text box, and run your query.

updated 6/28/2010 [ Top ]

Filtering Filers by Industry

Industry-ous

Narrowing your search by SIC or NAICS codes allows you great precision in filtering companies belonging to a certain industry. However, if efficiency is more important to you than precision, we recommend our Industry menu (which is extracted from the NAICS list). To scroll through industries beginning with a certain letter of the alphabet, click into the menu and type the letter until you see your entry. For example, to locate companies in the "Computer and Electronic Manufacturing" industry, click on the Industry menu and type the letter C until that entry appears.

updated 3/23/2010 [ Top ]

Finding Notices and Orders under the Investment Co. Act of 1940

Isolate ICA Releases

On our Laws, Rules, and Agency Materials search page, you'll find both Notices and Orders under the Investment Company Act of 1940. Notices date back to 1994, and Orders to 2007. To locate these releases, click the blue "SEC" link under the Agency Materials section, which will bring up a full index of our SEC datasets. Then check the box next to Investment Company Act Notices.

The SEC includes ICA Orders under the dataset for Notices; to limit your search specifically to Orders, include that word in your text search. You can also use text searching to target, for instance, a specific company or type of exemption. Example: To find ICA exemptive orders under section 6(c), simply select the dataset as described above, and enter the text exemptive order "section 6(c)".

updated 9/1/2011 [ Top ]

Finding SPACs on the All SEC Filings page

Is Your Check for Blank Checks Coming up Blank?

Special Purpose Acquisition Companies (SPACs), sometimes called blank check companies, are assigned the SIC code 6770 by the SEC--but this designation has limited value in practice. For one thing, the filing so instrumental to the SPAC enterprise, the Registration Statement announcing an IPO, often lacks an associated SIC code (many companies receive a Commission-designated SIC code only upon their second filing). Even when a SPAC does get tagged with the 6770, this number is subject to change once a deal is completed, supplanted by the target company's industry code.

However, despite these hurdles, we can recommend a trick for finding SPACs on our All SEC Filings page. Since self-proclaimed SPACs do reliably affix the 6770 number to the cover page of their registration statement (independent of the SEC's sanctioning of that code), and since this page also includes the SEC's street address, we can search for SPAC IPOs disclosed in S-1s and F-1s using the text string 6770 near Washington, D.C. 20549.

updated 6/29/2009 [ Top ]

Finding Subsidiaries

The Parent Trap

To locate a company's list of subsidiaries, start on our SEC Filings page, and select the radio button next to "Exhibits Only." Enter the parent company in the Company Name box, then select Exhibit 21: Subsidiaries of the Registrant in the Exhibit Numbers menu. It's generally best to limit your search to the last 12 months at first; you can always widen the time frame if that yields no results.

updated 6/28/2010 [ Top ]

Form D filings on our Exempt Offerings page

It's D-Licious

As of March 16th, 2009, qualifying issuers must file their Form D Exempt Offerings with the SEC in an electronic format. Our new database of Form D filings allows you to dive into this rich new stream of data. Discover recent offerings ranging from $400 to more than $1 billion.

updated 6/22/2009 [ Top ]

Going Dark

Disclosure Dropouts

In this challenging economy, many smaller companies voluntarily delist and deregister from public trading to cut costs and reduce operating expenses. This process, commonly called "going dark," is disclosed in certain variations of Form 15 and 25. Companies may also attach a press release to form 8-K announcing their intent to go dark. To learn more about going dark, do a text search on the phrase in our Law Firm Memos database.

updated 6/28/2010 [ Top ]

Injunction Order Disclosures

Order, Order!

There are a number of routes to locate public company injunction order disclosures. One is through our SEC Filings page. Current Reports form 8-K includes a company's most up-to-date disclosures on various legal issues. Combine form 8-K with a text search such as (injunct* OR enjoin) w/25 meeting. Click the + Hits Previews expander link for a quick glimpse of keywords-in-context highlighting.

updated 6/28/2010 [ Top ]

Institutional Ownership form group

Who's Whose?

Who owns what? One quick way to find out is to use the "Institutional Holdings" form group on our SEC Filings page, which searches on all Form 13-F filings.

For example, suppose you want to know which Institutional Investment Managers have put money into Halliburton. Simply run a search with this form group selected, and the word "Halliburton" in the text search box (not the Entity box). You can even export the complete list of your results into a spreadsheet, by clicking "Printable Report" and then the "Excel" link.

updated 6/28/2010 [ Top ]

Investment Adviser search page

An Investment Adviser Research Cornucopia

Our Investment Adviser search page includes over 15,000 registrations by investment advisers registered with the Securities & Exchange Commission. This visually and analytically rich research environment gives you the tools to conduct business and financial analysis, due diligence, and competitive intelligence. Multiple search parameters and advanced text searching capabilities help you locate just the data you need.

updated 3/21/2013 [ Top ]

IPO searching on SEC Filings

Making It Public

We've added an IPO search that lets you pull up only those filings associated with initial public offerings (including registration statements, prospectuses, and pricing supplements) and gets rid of everything else. Check "Limit Search to IPOs" under the "Forms & Exhibits" section of our SEC Filings page and combine with any other relevant parameters.

updated 3/8/2012 [ Top ]

Limit Searches to Tarp Filers

We Have TARP Covered

Our All SEC Filings page allows you to limit your search to filers that received federal funding under the government's Troubled Asset Relief Program, or TARP. We also include a link to the complete list of the TARP companies. Find out who got bailed out -- and what (if anything) they're saying about it in their SEC Filings.

updated 6/28/2010 [ Top ]

Locate Filers by Country or Province

Where in the World is...?

Our All SEC Filings search page offers the ability to limit search results by business location worldwide, ranging from the Canadian provinces and US states to a range of countries. Looking for businesses in Ontario that have amended their articles of incorporation? Select business location Ontario, Canada, subdocument Exhibit 3. Articles of Incorporation and Bylaws, and enter the text string (restat* OR amend*) w/25 articles of incorporation.

updated 3/23/2010 [ Top ]

Locating changes in a company's bylaws

Don't Let Bylaws Be Bygones

Need to find proposed changes to a public company's bylaws? There are many different ways to locate this type of language in the EDGAR filings. We've formulated one search for you here. On our SEC Filings page, use the text string (propos* w/15 (amend* OR chang*)) w/25 (articl* OR bylaw*) and the form group Proxies (Definitive)- DEF.
You might try limiting your search to the last 30 days.

updated 6/28/2010 [ Top ]

Locating Employment Agreements

Everything There But the Hand Shake

Suppose you want to find the original Employment Agreement between Morgan Stanley and its past CEO John Mack. Go to our SEC Filings page, narrow your search to Exhibits Only. Employment Agreements, as material contracts, are typically filed as Exhibit 10. Make that selection from the exhibit number dropdown menu, enter Morgan Stanley in the company name field, and type employment and mack in the text search box.

updated 6/28/2010 [ Top ]

Locating Form 12b-25

Better Late than Never

Filers who are late in submitting their quarterly or annual reports are required to file Form 12b-25. This filing is located on the Form Type dropdown of our SEC Filings page under the letters NT--shorthand for "notification"-- followed by the form type name. (For example, the late filing of a 10-K is signaled by the submission of an NT 10-K.) To find the boilerplate of the form, however (in our Agency Materials search page), forget about NT; just search on "Form 12b-25."

updated 6/28/2010 [ Top ]

Locating Real Estate Investment Trusts

Be REIT There

Real Estate Investment Trusts--REITs--are typically classified under the Standard Industrial Classification (SIC) 6798. Let's say you are looking for executive compensation plans for REITs. Try this search on our SEC Filings page: Exhibits Only, SIC: 6798, Exhibit Label: employment agreement, Full Text Search: compensat* w/5 (stock* OR option* OR salar*).

updated 6/28/2010 [ Top ]

Locating Reverse Mergers

Reversal of Fortunes

The rough-and-ready way to find reverse merger activity on our SEC Filings page is to do a search on 8-K Item 5.06, "Change in Shell Company Status," using our 8-K Item search scope. In a reverse merger transaction, a private company (the operating company) is absorbed into a public shell company, thus changing the status of that company and triggering the need for Item 5.06 disclosure. The search, of course, can be refined by including additional search parameters, such as company location, industry, or time frame.

updated 9/1/2011 [ Top ]

Locating Stock Purchase Agreements

Needle in a Haystack, This is Not

You are told to pull stock purchase agreements for the auto industry: where do you begin? On our SEC Filings page, click the radio button next to "Exhibits Only" to run an exhibits search. Exhibit 10: Material Contracts is where you'll find a majority of agreements in the filings. Next determine the SIC for the auto industry (3710~3719 will work). From there, enter stock purchase agreement in the exhibit label text box, click Search, and voila! you've got some sample language.

updated 6/28/2010 [ Top ]

Managing Alerts and Watchlist

Stay Alert!

We now offer customized alerting for almost every resource on our site. And we've made managing them a snap! Head to "Manage Alerts," located in our News & Alerts section, to add or update SEC Filings Watchlist Alerts, Agency Materials Alerts, Law Firm Memo Alerts, or Dodd-Frank Rulemaking Alerts. You can now determine a delivery preference: select from Real Time, Daily Digest, or Weekly Digest. Setting up a new alert? Save yourself a step! You can now convert searches into alerts automatically. Just look for a link at the top of the page that directs you to "Save as Alert" and follow the prompts.

updated 3/8/2012 [ Top ]

Merger Language for REITs

Merging REIT

There are a number of routes to locate merger agreements for REITs, or Real Estate Investment Trusts, on our website. To return a nice sampling of REIT merger language, we recommend starting on the Exhibits Search page and using SIC 6798, the industry code for REITs, combined with an exhibit label merger and text search merger w/5 agreement.

updated 3/23/2010 [ Top ]

News & Spotlight Archive

Old News

Looking for something you stumbled upon in one of our recent news emails? Our News & Spotlight Archive, now located in our News & Alerts section, offers our news, Blogwatch, and alerting emails from the last six months. Search by publication, text, or date; or click on the hyperlinked publication and browse by date.

updated 3/8/2012 [ Top ]

Personal Accounts

Sometimes You Have to Get Personal

If you typically access Knowledge Mosaic through your organization's general (IP-authenticated) license, you may not be aware of the benefits of also maintaining a personal account. Only by logging in with your own username can you set up personalized Watchlist alerts, add and save documents in your very own Document Cart, memorize and store searches, access the site remotely, and adjust your news email profile yourself anytime, online. And personal accounts are included as part of your organization-wide license at no extra charge. Click here to sign up for one now.

updated 12/2/2009 [ Top ]

Pop-Out PDF document for larger viewing

Never Squint Again

Based on feedback from our customers, we've made some upgrades to the way documents display on Knowledge Mosaic. 

First, scroll bars within documents will automatically fit your monitor screen whatever its size, for easier navigation.  Second, we've added a "Pop-Out" button to the navigation bar above every document, for those who want a wide, full-screen display, outside the confines of the viewing frame.  The document pops out in a new window, allowing you to easily jump back to the framed version.

updated 12/2/2009 [ Top ]

Profile Director Compensation by Company Revenue

Quality or Quantity?

Curious about director compensation for companies within a specific revenue range? On our SEC Filings search page, it's easy to combine qualitative language searching with raw quantitative data, allowing you to profile companies with similar P/E ratios, LTM revenues, and more. For example, a search for the text compensation of directors, form DEF 14A, combined with LTM Revenue 45M to 75M, allows you to quickly survey director compensation summaries for companies of that size.

updated 5/25/2011 [ Top ]

Published Instructions for SEC Forms

In Top Form

Looking for published instructions on what must be disclosed in a filing? Our Laws, Rules, and Agency Materials search page is the place to look for boilerplates of SEC Forms. Click on the blue "SEC" link under the Agency Materials section, which will refresh the page to show a complete index of all our SEC materials. Check the box next to Forms, then enter the name of the form in the text search box and hit "Search."

updated 9/1/2011 [ Top ]

QuickFind on Laws, Rules, and Agency Materials

No More Hide and Seek

Our Laws, Rules, and Agency Materials search page lets you search across the entire federal regulatory landscape. But how do you find just the resources that are relevant to you? We've introduced a QuickFind search on the upper right-hand corner of the page. Use the Laws & Rules dropdown menu to quickly pull up CFTC Laws, SEC Laws, or Securities Regulations; or type a dataset like SEC No-Action Letters into our Agency Materials search field. Once your results have generated, you can use the sidebar on the left-hand side to narrow your search by keyword, date, category, and source.

updated 3/8/2012 [ Top ]

Reevaluating Executive Compensation

Care to Reconsider?

Many companies are reevaluating executive compensation during this time of economic turmoil, specifically evergreen provisions. Locate references to these provisions by searching on the SEC Filings page. Formulating a broad text search will yield the most comprehensive results. Evergreen provisions may be called evergreen options; compensation is often found in employment agreements; executives may be referred to as employees. Therefore, a text search such as: (evergreen w/5 (provision* OR option*)) w/15 (compensat* OR employ* OR execut*) is one way to account for terminology variations.

updated 6/28/2010 [ Top ]

Risk Factors search page

Anxious About Bad Debt?

Public companies typically disclose debt and financial risk in their filings. Our Risk Factors search page features a rich taxonomy of risk factor terms, allowing you to delve into a company's or industry's risk factor statements with precision and speed. For example, pairing the risk factor category "Financial Risk" with "Accumulated Deficit" or "Substantial Debt" will allow you to zero in on specific disclosure language and quickly ascertain a company's or industry's financial position.

updated 6/22/2009 [ Top ]

Search Companies by Acronym

Alphabet Soup

On our SEC Filings search page, the input field for filing companies now generates suggested matches as you search on the company name, CIK, or ticker symbol. This new functionality, in addition to allowing quicker and more accurate searching, has the side benefit of letting you find a company simply by entering its initials. Just put periods between the letters: For example, you can find Thermo Fisher Scientific by entering T.F.S.

updated 10/18/2010 [ Top ]

SEC Enforcement - Defendant Search page

Who's Feeling the Heat?

Need to know who's currently under investigation for conspiracy? Our SEC Enforcement makes it easy. Searching by Violation type, such as Conspiracy or Failure to Make Required Filings, will give you a quick window into who's feeling the heat. Narrow your search using additional parameters such as Penalty Type or Total Amount of Penalties. Our hand-tagged data gives you the most detailed look at SEC Enforcement on the web!

updated 5/25/2011 [ Top ]

SEC News Archives

Old News

You already know how easy our news service makes it for you to keep up with the latest buzz from the SEC. But did you also know we offer a repository of historical SEC News documents going back to the 1950s? On our Agency Materials page, we have hundreds of scanned documents, including press releases, transcripts of speeches, and testimony covering the last 60 years.

For example, if you'd like to know about the "Current Developments at the Securities and Exchange Commission" as imagined in late August 1956, check out Chairman J. Sinclair Armstrong's address of that title in our database. Just select Agency: SEC and Dataset: Speeches, and enter some text from the title and byline: for example, J. Sinclair Armstrong Current Developments.

updated 6/28/2010 [ Top ]

SEC No-Action Letters

Lights, Camera, No-Action

Worried about committing a violation with the Securities and Exchange Commission? Our database of SEC No-Action Letters will help you rest easy. Just head to our Laws, Rules, and Agency Materials search page, scroll through our Agency Materials to click on SEC, and then click into the No-Action Letter dataset. From here, you can use the sidebar on the left-hand side to narrow your query with a text search or date range.

updated 3/8/2012 [ Top ]

SEC Regulations

Regs By Any Other Name

Know the regulation you need, but not where to find it in the Code of Federal Regulations? We've tagged securities regs with their popular names to make them easy to find no matter what your approach. Head to our Laws, Rules, and Agency Materials page and look to the QuickFind window on the upper right side of the page; open the Laws & Rules dropdown menu and select SEC Regulations. Use the sidebar on the left-hand side to select the regulation(s) you need, or custom-build documents by selecting only the sections or items that interest you. You can also pull complete securities regulations on our Key Securities Compilations page: just click on the resource you need to open it in PDF format.

updated 3/8/2012 [ Top ]

SEC Regulatory History page

Follow the Paper Trail

Wondering what revisions a particular SEC regulation has undergone since you last looked at it? Our Regulatory History page offers you a quick and easy way to find out. See a concise snapshot of all changes made to a given regulation, organized by (and searchable by) CFR section and date of amendment. Includes links to Proposed Rules and Final Rules where available.

updated 6/30/2009 [ Top ]

SEC Watchlist Alerts: Additional Recipients option

Don't Keep It to Yourself

Our SEC Watchlist Alerts feature, already one of our coolest tools, keeps getting better!   The latest enhancement is an option to add up to 10 additional recipients to any of your Watchlists. Set up and manage alerts for colleagues who can't afford to miss the next filing by that certain company.   Try it now!

updated 6/23/2009 [ Top ]

Separation Agreements for Executives

Separation Anxiety

On our SEC Filings page, Agreements are typically found under Exhibit 10: Material Contracts. (To access the exhibits dropdown menu, click the "Exhibits Only" button.) To find Separation Agreements, enter separation OR severance in the Exhibit Label field, and ((separation OR severance) w/5 agreement) w/25 executive in the Text Search. Returning 4,000 results, this search offers a generous sampling of precedent language for the topic. (Please note: Not all filers include exhibit labels for their filings, so focus only on text search when looking for a specific agreement).

updated 6/28/2010 [ Top ]

Stored Searches on the All SEC Filings page

Save Your Work

You've crafted the perfect search: an inspired permutation of search fields wedded to a sublime choreography of keywords and Boolean operators. Bravo. But what if you need to run the same search next year? Will you remember what you did?

If you're using our All SEC Filings page, you won't have to-we'll remember it for you. With our Stored Search feature, you can preserve your search parameters until the end of time. Or at least for as long as you have a personal account.

updated 6/23/2009 [ Top ]

Suggested Matches on Any Part of Name

Less Typing, More Finding

With our new "predictive searching" capability on the SEC Filings, you can search for a company by entering any word in its name. For example, if you're searching for Eastman Kodak Co. (ticker EK), you can simply beginning typing "Kodak." In fact, you'll get a suggested match for that company as soon as you've typed only the first three letters.

updated 10/18/2010 [ Top ]

Tabbed Browsing

Meet the Control Key: Your New Best Friend

What's the fastest way to peruse a list of filings? Say you've run a search on Securities Mosaic, and now you're staring down a long list of results. For maximum speed and efficiency, we recommend tabbed browsing. Instead of opening or previewing each document separately, open multiple documents simultaneously by holding down the Ctrl key as you click on the filings.

This method allows you to download a dozen or more documents en masse. Then read the first document as the remaining ones finish downloading. A time-saver of revolutionary proportions.

updated 6/29/2009 [ Top ]

Text Search with a Proximity Operator

Search with Surgical PRE/cision

Smart users of our platform know how valuable it is to link text search terms with a proximity operator: X near Y. Smarter searchers know they can be even more precise by specifying the degree of proximity: for instance, X near/5 Y to limit the search terms to within five words of one another. And now you can be the smartest of all by using our new directed proximity searching, using the operator pre/. This allows you to specify not only degree of proximity, but also order. So for example, X pre/5 Y returns only results in which X appears before Y, within five words or less.

updated 3/23/2010 [ Top ]

Text searching: Locating names

What's in a Name?

Finding documents associated with a specific person is often trickier than it might first seem. For example, suppose you're searching for Walgreen CEO Gregory D. Wasson. Is Gregory ever referred to as Greg? Is his middle initial always included? To account for these potential variations, we recommend using both proximity and wildcard searching. The text search gregory w/2 wasson will return any instance where the name gregory is located within two words of wasson. To make this search even smarter, truncate gregory by adding an asterisk to the root greg. The resulting string greg* w/2 wasson is about as comprehensive as you can get.

updated 11/3/2009 [ Top ]

Text searching: The Boolean operator "not"

An Invaluable Search Tool--NOT!

In advanced text searching on Knowledge Mosaic, the Boolean operator "not" is sometimes the forgotten tool in your tool box. Yet it can be extremely valuable, helping you focus your search by eliminating irrelevant results.

For example, say you're interested in a company's credit facility agreements--but not the revolving type of credit. On the 8-K Item Search page, selecting Item 1.01 (Entry into a Material Definitive Agreement) with the keyword "credit facility" yields, for the last 30 days, a total of 161 results. But if you add "not revolving" to your text string, you pare your results down to a much more manageable--not to mention much more relevant--46.

updated 12/2/2009 [ Top ]

Text searching: The wildcard operator

Get Wild

If it isn't already, the "wildcard" operator should be an essential part of your text searching repertoire on Knowledge Mosaic. Truncate words using an asterisk to include multiple variations on a single root.

For example, if you're searching the filings for language about corporate acquisitions, use the root acqui* to locate all variations on the word "acquisitions," including "acquire," "acquired," etc.

Check out our Advanced Text Search help document for more information.

updated 6/28/2010 [ Top ]

Text searching: Using parentheses for nested searches

Bracketology

Organize the components of a complex text search by grouping text strings into discrete "nests," using parentheses. The phrase robin or bluejay near eggs near nest is an impenetrable jumble, but nesting renders it meaningful: (robin or bluejay) near (eggs near nest).

And changing nothing but the parentheses changes everything. For instance, these same search terms can be grouped into nests within nests--as in robin or ((bluejay near eggs) near nest). The search engine starts with the inner nest ("bluejay near eggs"), then works outward.

updated 3/21/2013 [ Top ]

Text searching: Using proximity operators

Location, Location!

Keyword text searching of the EDGAR filings is an invaluable asset, but it's even more powerful when combined with proximity searching. Linking keywords or phrases with the word "near" will isolate instances in which they are located within about 30 words of one another in the same filing.

For example, "stock near purchase" will generate many more results than the less elastic "stock purchase." You can even use multiple proximity operators, as in "(stock near purchase) near cash." And no, you don't need to use the quotation marks.

updated 6/23/2009 [ Top ]

Turn Off Document Level Text Highlighting

If Only Cleaning Your Refrigerator Were This Easy

If you run an SEC Filings page query that includes a text search, the resulting documents feature text search highlighting. That's often a convenience, but there are times when you want a clean document. Fortunately, on Knowledge Mosaic, that document is just a click away. While viewing your document, just click the "Pop-Out PDF" link.

updated 10/15/2010 [ Top ]

Using the Form Group selection to find Annual Reports

When a 10-K isn't a 10-K

"I'm looking for Monsanto's 10-K annual report for 2002, and you don't seem to have it." Questions like this remind us that the most reliable way to search for a company's annual report is to use our Annual Reports-10K form group, rather than searching specifically for form 10-K. Why is this? Certain annual reports (especially those from a few years ago) are not filed as form type 10-K, but as 10K405, 10-KT, 10KSB, or 10KT405, among others. In fact, we have identified 14 different form types that companies have used to file an annual report. To be sure you're not missing any annual reports, use the Annual Reports form group, found on our All SEC Filings search page.

updated 10/7/2009 [ Top ]

Using the Standard Industrial Classification code

Industrial Resolution [sic]

The Standard Industrial Classification (SIC) system may not be used much anymore, but it's still the SEC's preferred way of classifying filers. Take advantage of this by using SIC codes to search several similar companies in one fell swoop. We hyperlink to a current list of SICs on most Knowledge Mosaic search pages.

To locate a particular company's SIC code, go to the All SEC Filings page and, for example, enter General Motors in the company name search box and click Search. The results show 3711 as the SIC; click on one of the 3711 hyperlinks to return all companies that share that classification number-such as Daimler AG and Ford Motor Company.

updated 7/2/2010 [ Top ]

Weekly guided tours of KM via webinar

It's Educational

Every week, we conduct live guided tours of Knowledge Mosaic. The tours take place via web conferencing, meaning all participants are part of a telephone conference call and can view the trainer's computer monitor. We encourage attendees to ask questions during the course of the session, and in many cases it's possible for you to steer the tour to emphasize the areas you're interested in.

The tours are offered Tuesdays at 2 p.m. Eastern, are free to subscribers, and are easy to sign up for. (But please sign up at least one hour before the start of the training session.)

updated 12/2/2009 [ Top ]