We have made five additional proxy type filings available through the platform. The specific filing types are DFAN14A, DEFC14A, DEFC14C, DEFM14A, DEFM14C. In some cases these filings are made by investor groups to communicate with the existing shareholders about their activities. Because these filings might be made by these third parties we have added the INVESTOR_CIK and INVESTOR_NAME tags to the filings.

The addition of these tags provides an opportunity to close the loop between an investor taking a position that triggers a SC 13D filing obligation and efforts by the investor to exert influence over the management/strategy/board of the issuer.

A brute force matching of these is not difficult. Step 1 would require that you search the SC 13D archive using xfirstword and (DOCTYPE contains(SC*)). This search identifies all SC 13 filings and amendments and leaves out the exhibits. The exhibits are not needed to identify the issuer/investor relationship. Use the SummaryExtraction feature to pull a listing of the filings – this listing will include all of the metadata attached to each filing.

Create a new column in the file (I named my new column ISSUER_INVESTOR) and use Excel’s CONCATENATE function to concatenate the value in the CIK column with the value in the INVESTOR_CIK column – note include an underscore or dash between the two values.

To match these to particular filings run an analogous search in one of these other filing types. For example, I could run the following search over the DFAN index collection xfirstword and (DOCTYPE contains(DFAN*)) to identify all DFAN filings made – create the same ISSUER_INVESTOR identifier and then use VLOOKUP to match the ISSUER_INVESTOR combinations in the two filing types. So for instance – this strategy allowed me to match the SC 13D filings STARBOARD VALUE LLP filed related to their investment in DARDEN and then identify the associated DFAN filings that were also filed by STARBOARD.

Presumably we are doing this at scale and not looking at individual (one-off) documents. So if we have identified for example all DFAN fililngs that are associated with an SC 13D INVESTOR filer we can isolate those by using the CIK-DATE feature of the application to run a new search with the issuer CIK and the RDATE of the filings that were identified as a match (there were 3,884 DFAN filings associated with an INVESTOR who filed an SC 13D).

The new filings are available now – to access them please use the File Options Index Library Generate Library command to access the latest filings. Further – if you have not used the Zoom feature when trying to select an index – try it.