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SECURITIES & EXCHANGE COMMISSION FILINGSLaws | Filings (Descriptions and Sources) LawsMajor legislation governing the securities industry includes the following:
Additional information about laws governing the securities industry can be obtained from the
Filings (Description and Sources)There are many sources for SEC filings. Only a selected few are listed below.
Descriptions of SEC forms (Securities and
Exchange Commission) A description of all SEC filings including those most relevant to Mergers & Acquisitions (8-K, 14-C, and Proxy Solicitation Materials i.e. 14-A.
Search the Edgar database (Securities and
Exchange Commission) Free searchable database offered by the Securities and Exchange Commission of filings with the Commission.
Yahoo! Finance
SEC Info
Free Edgar
Westlaw Business Law Solutions (former LivEdgar)
Thomson Research
GENERAL RESOURCESDictionaries/Directories | Textbooks | Journals | Transaction Data Dictionaries, Guides & Handbooks - M&A, Joint Ventures, & Business ValuationsCases in Corporate Acquisitions, Buyouts, Mergers, & Takeovers. Detroit, MI : Gale Group, c1999- A collection of case studies on approximately 293 "high profile" corporate acquisitions, buyouts, mergers, and takeovers from 1868 to early 2000. About 5 percent of the text covers corporate changes during the years 1939 to 1979, and 29 percent cover the 1980s. The vast majority of the text covers case studies during the 1990s. Corporate Counsel’s Guide to Domestic Joint Ventures. Eagan, MN : West, c2011- A legal perspective on the intellectual property concerns, from licensing rights to trade secrets, involved in a joint venture. Damodaran, Aswath. The Little Book of Valuation : How to Value a Company, Pick a Stock and Profit. Hoboken, N.J. : John Wiley & Sons, c2011. Explains the techniques in plain language and covers the fundamentals of valuation, including key concepts.
The Dealmaker's Dictionary of Merger and Acquisition Terminology. Donnan Mandell. San
Diego, Calif.: Business Publications, c1985. DePamphilis, Donald M. Mergers and Acquisitions Basics : All You Need to Know. Burlington, MA : Academic Press, c2011. This title is a "macro" overview of mergers and acquisitions, business alliances, and corporate restructuring and concentrates on the processes and their players including -- investment bankers, business brokers, accountants, attorneys, tax experts, managers, investors, etc. Emott, David T. Practitioner’s Complete Guide to M&As : An All-inclusive Reference. Hoboken, N.J. : Wiley, c2011. This title goes though every step of the M&A process, providing the tools that both the first-time M&A player as well as the seasoned practitioner needs to complete a transaction. Gaughan, Patrick A. Mergers, Acquisitions, and Corporate Restructurings. 5th ed. Hoboken, N.J. : Wiley, c2011 Includes information on: Recent M&A Trends, Definitions, Valuing A Transaction, Types of Mergers, Reasons For Mergers And Acquisitions, Merger Financing, Merger Professionals, etc. Ginsburg, Martin D. and Jack S. Levin. Mergers, Acquisitions, and Buyouts: A transactional Analysis of the Governing Tax, Legal, and Accounting Considerations. Boston, Mass. : Little, Brown, c1995- Step-by-step analysis of typical and non-typical transactional permutations, checklists, flow charts, and model agreement, etc. Guide to Business Valuations. Fort Worth, Tex. : Practitioners Pub. Co., [1991- Includes information on terms and methodology, valuation methods, as well as information on specifics on valuing a professional practice, family limited partnerships, as well as more in-depth information on valuing intangible assets. Guide to Buying and Selling Small Businesses. Ft. Worth, TX : Practitioner’s Pub. Co., c2000- Content covers guidance on the unique and varied strategies associated with mergers, acquisitions and the restructuring of an existing business. Includes checklists and sample provisions to consider as well as information on tax considerations, selecting the best form of business entity, valuing the business, facilitating due diligence, and more. Lajoux, Alexandra Reed. The Art of M&A Due Diligence : Navigating Critical Steps and Uncovering Crucial Data. 2nd ed. New York : McGraw-Hill, c2011. This title is geared to non lawyers and provides guidance to navigate due diligence and how to uncover data that can break a deal. Features global perspectives and special insights for small businesses, manufacturers, and service companies. Sherman, Andrew J. Mergers & Acquisitions from A to Z. 3rd ed. New York : American Management Association, c2011. This is a practical resource for M&A participants on all sides of the transaction. It covers the latest trends and best practices for structuring profitable deals, new rules and regulations in the age of the Sarbanes-Oxley act, and more. Tudor, Jan Davis and Reva Basch, ed. Super Searchers on Mergers & Acquisitions : The Online Secrets of Top Corporate Researchers and M&A Pros. ; . Medford, N.J. : CyberAge Books, c2001. TextbooksBainbridge, Stephen M. Mergers and Acquisitions. 3rd. New York, N.Y. : Foundation Press Thomson/West, 2012. Carney, William J. Mergers and Acquisitions: Cases and Materials. 3rd. New York, NY : Foundation Press Thomson/West, 2011. Journals
The Daily Deal: .The Journal for Corporate, Law & Finance Professionals. New York, NY:
American Lawyer Media. 2002- Covers current deals in every sector, from all around the world. Mergers & Acquisitions: The Dealmakers' Journal. (Thomson Financial – NVST.com) Washington, D.C. : Mergers & Acquisitions, Inc. Covers the latest trends and influences impacting the buying and selling of businesses. Mergers Acquisitions focuses on such key elements as acquisition pricing, valuation, strategy, and taxes; plus, it offers complete listings of all M&A deals, including pricing, deal structure, and sales and profit levels of the merger partners. Mergers & Acquisitions (now SDC
Publishing). New York, NY: Dealer’s Digest, Inc. Weekly issues deliver complete coverage of pending and ongoing deals as well as insights into industry trends, strategies and the firms and people involved.
Acquisitions Monthly. Tunbridge Wells, Kent [England] : Tudor House Publications, 1984- Contains comment, critical analysis and comprehensive statistics on every important issue in Acquisitions, Mergers and Buyouts with news and data, global trends, industry review, company profiles, sector analysis.
Buyouts. (Securities Data Publishing - ) [Wellesley Hills, MA] : Venture Economics, c1988- Bi-weekly newsletter s with news, data analysis, and interpretation of trends in the buyout industry including reports on new funds and fund closes, live and done deals, exits, general partners, limited partners, deal makers, intermediaries and more. Formerly known as Buyouts & Acquisitions. Transactions DataPrint Resources | Subscription Databases Print ResourcesGlobal Upstream M & A Review. Stamford, CT : John S. Herold : Harrison Lovegrove & Co., 2005 - Historically this was a joint publication with Harrison Lovegrove & Co. and John S. Herold, Inc. focusing specifically on upstream emerging trends, market valuation measures and shifts in regional and international transaction volumes, values and activity in the global M&A&D. Since 2004 this has been published by IHS is now referred to as IHS Herold's. See the publisher's web siteHoulihan, Lokey, Howard & Zukin (Firm). Control Premium Study. Los Angeles, CA: Houlihan, Lokey, Howard & Zukin, quarterly. 1900s. Not available at LC This title is included for historical purposes only. Formerly, it was a print source often referred to as Shannon Pratt's Control Premium Study, but the electronic source is now part of BV Market Data Hudson’s Corporate Mergers. New York. This is a short lived filing system for those interested in historical information. The Library of Congress has the following volumes: 1967-68, 1968-69, 1969-70. Insurance Mergers & Acquisitions Yearbook. Charlottesville, VA. : SNL Securities, c.
1998 - This print title is included for historical purposes. See the publisher's web site The Merger Yearbook. U.S./International ed. New York, NY : Securities Data Co. Lists essential information on tens of thousands of announced and completed deals including: total purchase price, price paid per share, form of payment, division/unit purchased, parent company, acquiring company, type of transaction, SIC number and industry sector of target company and acquirer, price to earnings ratio, plus dozens of charts covering transactions by dollar amount and industry. Previously the Merger and Acquisition Sourcebook (HD2746.5 .M43). Mergers & Acquisitions Yearbook. [London] : Euromoney Publications plc, 1993 - date. A multivolume set arranged by region. Includes all bank and thrift transactions (whole institution, branch, and all other asset transactions) for the preceding year. Mergerstat Review. Newark, NJ: FactSet Mergerstat. Mergerstat Review is published annually and analyzes mergers and acquisitions involving U.S. companies, including privately held, publicly traded, and foreign companies. It also analyzes unit divestitures, management buyouts and certain asset sales. Includes industry analysis by size, premium, and transaction multiples. It also provides trend analysis by seller, type, deal size and industry as well as offering 25 years of summary M&A statistics, including average premium and price/earnings ratio. Historically, this has been associated with different companies including W.T. Grimm and Houlihan, Lokey, Howard & Zukin currently is part of Factset along with the Houlihan, Lokey, Howard & Zukin publication Control Premium Study (see above). However, more detailed searching and data is available online in the subscription-based product. For more information see http://www.factset.com/data/factset_data/factsetmergers. SNL Bank Mergers & Acquisitions Yearbook Charlottesville, VA : SNL Securities, c2001 - date. This print title is included for historical purposes. See the publisher's web site SNL Specialty finance directory and M&A yearbook Charlottesville, VA : SNL Financial, c2002-
This print title is included for historical purposes. See the publisher's web site SUBSCRIPTION DATABASESThe subscription databases below are not available at the Library of Congress. They can be accessed only by those who have paid for the subscription. The list is provided as a courtesy for those seeking sources of searchable transaction data. Bankers Almanac Now part of Bankers Accuity, Bankers Almanac is a useful source for tracking the international banking industry. Contains information on events dating back to 1980. Search options include: Bank Name, Type of Event, Date of Activity, and Country. Not available at the Library of Congress.
Business Valuation Resources BVR has several products related to M&A. For private company transactions there is the BIZCOMPS Studies and Pratt's Stats. BIZCOMPS contains deals on small business transaction sale data and contains over 12,650 deals that provide details on purchases of "Main Street" businesses dating back to 1996 while Pratt's Stats has complete financial details on more than 18,800 acquired private companies. For public company transactions there is Public Stats, Mergerstat®/BVR Control Premium Study, PitchBook/BVR Guideline Public Company Comps Tool. Also includes FactSet's Mergerstat Review and the FactSet Mergerstat Monthly Review. None of this publishers offerings are available at the Library of Congress. Bureau van Dijk ZEPHYR Database Created by Bureau van Dijk, Zephyr contains information on approaching 600,000 transactions (June 2008). Up to 100,000 new deals are added per year. The database is also expanding to cover more historical American and Asian transactions. ZEPHYR has five years of global coverage and includes deals involving European or American companies going back to 1997. Various deal types are covered including: M&A activity, IPOs, joint ventures and private equity deals. There is no minimum deal value. Capital IQ Offered by Standard & Poors, the database includes detailed profiles of 413,000 M&A, private equity, venture capital, PIPE, spin-off, IPOs, bankruptcies, share buyback programs, and equity/debt public offering transactions as well as ratings information on 17,900 issuers and 235,000 securities. Coverage is global with up to 10 years of history. Deal Logic databases M&A Analytics provides a comprehensive view of M&A activity worldwide covering a wide array of transactions including public offers, open market purchases, stock swaps, buy-outs, privatizations, recapitalisations, share buy-backs and acquisitions. Each transaction provides information on target and acquiror, deal value, advisers, financials, multiples along with a detailed deal commentary. ECM Analytics combines the industry standard new issues calendar with real-time league table rankings and a host of productivity enhancing tools allowing detailed analysis of the equity capital markets. FactSet FactSet’s Investment Banking suite includes the Mergerstat transaction data and MergerMetrics - qualitative aspects of merger transactions and comprehensive transaction reports covering global deal activity, private placements, poison pills, defensive positioning, and more. Mergerstat contains information on over 421,000 deals with historical coverage for the U.S. and U.S. cross-border since 1992; European major markets since 2000; Global since 2003. MergerMetrics has full acquisitions of U.S. public and private targets, plus private agreements where a U.S. public company was involved and if the agreement was filed with the SEC since 2003. Herold M&A Database Contains information on Upstream, Downstream, Power, Midstream, Oilfield Equipment and Services (MDOES) transactions. The Energy Company & Transaction Research section of IHS Herold is designed for professionals in the investor and buy side, investment banking, and the oil and gas industries. Deal Sheets include detailed financial and operational analysis of an individual transaction that includes all key deal information and deal pricing metrics while M&A Alert has in-depth, comparable deal analysis. Coverage is international particularly with the related IHS CERA content.
LivEdgar The M & A database contains the major comprehensive financial and business data associated with M & A transactions –covers all transactions initiated on the following form types; 14D-1s and Forms TO from 7/96 to present, S-4s from 7/97 to present, 8-Ks from 11/99 to present, 6-Ks from 1/00 to present. Data includes distinguishing characteristics of a deal such as friendly or hostile, full or partial bid, the target and acquirer affiliation, and all fields related to conditions to completion of a transaction and significant events that occur over the course of the deal. Includes flexible searching and download. LivEdgar is now part of the Westlaw Business Law Solutions. Not available at the Library of Congress. Mergermarket Data from over 2000 public sources in the Americas, Europe and Asia-Pacific was used to create an origination database of live targets and bidders. Also covers all M&A deals greater than USD 5 million/EUR 5 million since 2001, and all European deals greater than GBP 10 million from 1998-2000. Both public and private deals are included. VCExperts VC Experts provides specialized content on private equity & venture capital fundraising, valuation & deal term details on thousands of privately funded companies and includes among other things, the Valuation and Deal Term Database with a particular focus on U.S. venture funded companies.
SDC Platinum (Thompson) Contains information on M&A, joint ventures, strategic alliances, syndicated loans, private equity, project finance, poison pills, etc. from around the world with data on more than 1.9 million transactions and 7,500 data items including more than 670,000 M&A deals going back to 1985. Also includes private deals. Provides flexible searching and downloading options. Select Business Websites under Product Login on the main page. Also, available from Thomson Reuters is Deals Intelligence VentureSource and Private Equity Source Both of these databases are offered from Dow Jones. VentureSource captures information on funds, investors, deal multiples, management teams, expected returns, key customers, and more. It tracks venture-backed companies in the U.S. as well as China, Israel, and Europe, and provides in-depth company financials and valuation statistics. Private Equity Source is a comprehensive deals database with complete details on private equity firms and their portfolio companies, including investment history, contact information, and more. ADDITIONAL INTERNET RESOURCESGeneral | Government | Articles/Web Guides General
Antitrust Institute
Merger Network
National Association of Certified Valuation
Analysts
Super Searchers on Mergers & Acquisitions
United Nations Conference on Trade and Development (UNCTAD) Data and reports from the UNCTAD that are M&A related come as part of trade and foreign direct investment (FDI) statistics/analysis. UNCTAD used to keep the Cross-border Mergers and Acquisitions Database but that ceased in early 2012. Statistics/data are still available on the UNCTAD web page.
Valuation Resources.com Government
Federal Trade Commission. Bureau of Competition.
Federal Trade Commission. Bureau of Competition. Mergers & Acquisitions
Federal Trade Commission. Economic Issues.
Federal Trade Commission. Pre-Merger/Hart-Scott-Rodino Act
Federal Trade Commission. Premerger/Hart-Scott-Rodino Act.
Statute, Rules & Formal Interpretations
Justice Department, Antitrust Division. U.S. Energy Information Administration (information on energy related companies only) Articles/Web Guides
Adventures in Mergers/Acquisitions & Joint Ventures
(CPA Letter, April 2002)
Considering a Merger? How's Your Ego?
(Practicing CPA, March 1999)
Looking at MERGERS The Way Federal Regulators Do
Mergers and Acquisitions - Research Guide #11
(University of Pennsylvania Library) SUBJECT HEADINGSThe following linked subject headings display entries from the Library of Congress Online Catalog that appear under the heading. The subject headings listed below are just a sample of the subject headings available on the subject of mergers, acquistions, and joint ventures. Additional works in the Library of Congress on these subjects may be identified by searching the Online Catalog under appropriate Library of Congress subject headings. Please be aware that during periods of heavy use you may encounter delays in accessing the catalog. Last Updated: 04/22/2013 |
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