COMMERCE 4AF3 - Accounting Theory

• Bloomberg available on-site only in the DeGroote Trading Centres located in DSB-B106 and RJC-126

Bloomberg can include current and historical institutional holdings for active companies. Below are some possible search strategies, but consult with staff in the DeGroote Trading Centres for guidance.

For broad statistics on institutional ownership (total shares held, total number of owners, etc.):

• Enter the company's ticker symbol
• Press the EQUITY key
• Type DES4
• Press the GO key

For detailed information (the individual names of the holders, the number of shares held, etc.):

• Enter the company's ticker symbol
• Press the EQUITY key
• Type HDS
• Press the GO key

For information about insiders or insider trading

• Enter the company's ticker symbol
• Press the EQUITY key
• Type PHDC
• Press the GO key
   
• EDGAR (Electronic Data Gathering, Analysis, and Retrieval) - U.S. Securities and Exchange Commission (SEC) - main search page with all available search options
  Includes documents (e.g., filings and forms) of all publicly traded companies in the United States required by the SEC.
  • EDGAR full text search, 2001 to the present (filter by date, company, person, filing category, or location)
  • Historical EDGAR Documents, 1994 to the present (historical archive search)

Search EDGAR by company name and refine results by Form. Form 13F is a quarterly report that provides position-level disclosure of all institutional investment managers with at least $100 million in assets under management. Form DEF 14A is the proxy statement which lists  directors and officers, along with the number of shares they own. Forms 13D and 13G disclose outside beneficial ownership information of more than 5% of a company’s stock issue. Forms 3, 4, and 5 disclose insider beneficial ownership when they have more than 10% of voting power. For more information, visit Investopedia's article on How to Use Insider and Institutional Stock Ownership

• Factiva
  NOTE: Access is limited. Only 6 people at one time can use this database. If you receive an error message, please try again later.   
  Select Companies/Markets in the top navigation menu. Search for an active company. In the Company Snapshot, select the Ownership link in the left navigation pane. Scroll through the Ownership page to see Institutions, Mutual Funds and Insiders that own the company (includes Name, Shares Held, % Shares Out, Change In Shares, % of Assets). For some companies (usually U.S.) a Regulatory Filings link may also be noted in the left pane. When selected, go to Filing Type drop-down menu and select Insider or Institutional Ownership to view related documents. This information only available for the most recent years.
   
• Insider Monkey, current and some historical data, but varies by company - Free account registration required to view all available holdings
  Search for a company (primarily U.S.) in the box at the top of the website. If a company is included, its profile typically includes tabs for Hedge Fund Holdings, Insider Purchases, Insider Sales, Institutional Holdings,13 D/G Filings, and more.
   
• LSEG Workspace (formerly Refinitiv Workspace)
  Available on-site in the DeGroote Trading Centres located in DSB-B106 and RJC-126 or remotely with registration via the web or via the DSB Virtual Lab (VPN required) NOTE: First time user? Registration is required for access outside the trading centres. For remote access and instructions, contact your instructor or the DeGroote School of Business at dsbhelp@mcmaster.ca.
  Includes current and historical ownership data for active and some delisted companies. Search for a company, view its profile and select the Ownership tab.
   
• Mergent Online
  Search for a company in the Basic or Advanced Search. In the company profile, click the Ownership tab then select the Institutional Holdings sub-tab and/or Insiders or Insider trades sub-tabs. This information only available for latest year.
   
• Nexis Uni
  Go to the bento menu at top of screen (9 dots next to Nexis Uni logo) and select Nexis' Dossier. Search for a company. In the company profile, select SEC Filings and choose Insider Trading Files. Filings only available for most recent years.
  
  
• SEDAR+ (System for Electronic Document Analysis and Retrieval), 1997 to the present, Canadian Securities Administrators (CSA)
  NOTE: If your company is not included in the main SEDAR+ search, try the SEDAR archive
  A mandatory electronic filing system for Canadian securities, filings, disclosures, and other information. Information about a company's major shareholders, including institutional investors may be included in the following documents, but may also be noted in other filing types: Annual Report, Annual MD&A (Management's Discussion and Analysis), Annual Information Forms (AIF) and Management Proxy Materials like the Management Information Circular. NOTE: The availability and level of detail  for shareholder and institutional investor data can vary from one company's filings to another.
   
• SEDI (System for Electronic Disclosure by Insiders) 
  A mandatory electronic filing system for insiders of Canadian public companies to report their trades and holdings. All “reporting insiders” who hold more than 10% of shares are required to file insider reports through SEDI. Access public filings by Insider Information, by Issuer Information and by Summary Reports (this option allows searching by date range).