Research and Course Guides: Investment Research Resources (FINC 325, 440, 713): Mergers &amp; Acquisitions

SEC Info

The merger & acquisition industry is regulated by the U.S. Securities & Exchange Commission (SEC). The forms that are required to be filed are described in the links below.

SEC Mergers
Contains information on the Securities & Exchange (SEC) disclosure rules. It provides a description of many of the common M&A SEC filings related to mergers, such as forms S-4, 14D9 and 14D6.
Using EDGAR to Research Investments
See the section on "Business Combinations" to learn about the relevant filing types.
Guide to SEC Filings
This guide by ThomsonReuters gives good descriptions of the various Securities and Exchange (SEC) filings required by the government for mergers and acquisitions.
EDGAR
Search by company name for SEC filings related to mergers, such as forms S-4, 14D9,14D6, and 8-K, from 1993 to present.

Books

Cost of Capital by Shannon P. Pratt; Roger J. Grabowski; Richard A. Brealey (Foreword by)
ISBN: 1118846788
Publication Date: 2014-03-25
A one-stop shop for background and current thinking on the development and uses of rates of return on capital.
Valuing a Business, 5th Edition by Shannon P. Pratt
Call Number: (6th edition on order)
ISBN: 0071441808
Publication Date: 2008-01-11
Provides expert business valuation information, offering clear, concise coverage of valuation principles and methods.

Websites

Dealbook: Mergers and Acquisitions
A major part of this New York Times Business blog, by Andrew Ross Sorkin, provides headlines, news, commentary, and reader comments on mergers and acquisitions
The Online Investor's "Mergers and Acquisitions Announced"
Provides weekly compilations of merger and acquisition announcements.
FTC Merger Review
Information on Federal Trade Commission antitrust enforcement efforts, including guidelines, forms, searching for enforcement actions including Hart-Scott-Rodino (HSR) merger reviews, etc.

Databases

Use the following sources to find articles and commentary about particular M&As. Search by company name(s) or ticker.

PrivCo This link opens in a new window
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PrivCo database is UST Library’s premier source for finding information on privately-held companies. Company profiles include an overview of the firm, its leadership team/owners, and company financials. The profiles also contain, when available, detailed information on VC and private equity funding, private M&A deals, patent and copyright litigation, and IPO activities. Register for a free personal account or use the Direct Access button.
Factiva This link opens in a new window
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Factiva is a great source for finding up-to-the-minute news articles from publications around the world including the Wall Street Journal, the New York Times, and the Financial Times. It also contains many smaller market news sources, trade magazines, and journals. Use the Companies and Markets option to access company profiles and industry data. Limited to 6 simultaneous users.
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S&P Global NetAdvantage This link opens in a new window
An excellent source for company and industry research, including financial and ratio analysis. Contains the former Standard & Poor's Industry Surveys and Stock Reports (now produced by CFRA Equity Research). Also includes mutual fund/ETF and bond information, investment research reports, stock screening and charting tools.
D&B Hoovers This link opens in a new window
D&B Hoovers provides company information from about 18 million global companies, detailed industry reports, analyst reports, SEC filings, and market research. Limited to 50 simultaneous users. Tip: try clearing your browser cache, cookies, and history if you encounter errors.
Business Source Premier This link opens in a new window
Business Source Premier provides the full text of more than 2 thousand business publications, including more than 1,000 peer reviewed journals. It is a comprehensive database that covers all disciplines of business including management, finance, marketing and international trade. It also contains company, industry and country reports, SWOTs and market research reports.
Business Journals (including Minneapolis/St. Paul Business Journal) This link opens in a new window
Contains full-text articles from the Minneapolis/St. Paul Business Journal which provides in-depth news about Minnesota companies, the local business environment, and the Annual Book of Lists. It also contains additional business journals from other cities that covers regional news from across the United States. Users must sign up for a free account using their UST email with a separate password. Available only to current UST students, faculty, and staff. Works best with Chrome.