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California Business Portal
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 Publicly Traded Disclosure Search
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The Publicly Traded Disclosure Search allows you to search for all publicly traded corporations that have filed a Corporate Disclosure Statement with the Secretary of State, search based on information contained in a specific statement and view abstracts of reported information. The information provided is based on information contained in a Corporate Disclosure Statement filed on a specific date.

Copies of the Corporate Disclosure Statement can be requested either by mail or in person in our Sacramento office. Fees and instructions for requesting copies of statements are included in our Business Entities Records Order Form (PDF file).

There is no fee associated with this search.

Specific reporting requirements for publicly traded corporations can be found in California Corporations Code sections 1502.1 and 2117.1 and in the instructions to the Corporate Disclosure Statement (PDF file). To search all corporations registered with the Secretary of State, please use the California Business Search.

Basic Search

The Basic Search provides the ability to search for:

  • All publicly traded corporations that have filed a Corporate Disclosure Statement;
  • Publicly traded corporations by full or partial name; and
  • Publicly traded corporations by the name of a director/executive officer or independent auditor.

For example, to search for all publicly traded corporations for which a specific individual is or was affiliated, enter the individual's name and select the Search button.

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Advanced Search

The Advanced Search provides the same functionality as the Basic Search but also provides the ability to refine your search to obtain more specific results by completing one or more of the optional fields.

For example, to search for all publicly traded corporations that filed a disclosure statement during a specific time period, reported filing corporate bankruptcy and made any loans to directors at a preferential rate:

  -   enter the "Disclosure Filing Date Range" (from and to date);
  -   check the "Corporation Bankruptcy" box in the "Corporation Disclosures" section;
  -   check the "Loans to Directors" box in the "Director/Executive Officer Disclosures" section; and
  -   select the Search button.

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Search Options, Results, and Definitions

     
   Compensation: Search for publicly traded corporations based on compensation paid by the corporation to each member of the board of directors and to each executive officer (as required to be reported by California Corporations Code sections 1502.1 and 2117.1).

  "Compensation" includes all plan and nonplan compensation awarded to, earned by, or paid to the person for all services rendered in all capacities to the corporation and to its subsidiaries, as the compensation is specified by Item 402 of Regulation S-K of the Securities and Exchange Commission (Section 229.402 of Title 17 of the Code of Federal Regulations).

Results will include corporations that have reported directors or executive officers paid an amount of compensation within the range entered.


   Corporation Disclosures: Search for publicly traded corporations based on the following corporation disclosures:

  Bankruptcy: Indicates whether or not an order for relief was entered in a bankruptcy case with respect to the publicly traded corporation during the 10 years preceding the date of the statement.

Legal Proceedings: Indicates if a publicly traded corporation was involved in legal proceedings as described below:

  -   Material pending legal proceeding(s): The corporation or any of its subsidiaries is a party to, or any of their property is the subject of, any material pending legal proceeding, other than ordinary routine litigation incidental to the business, as specified by Item 103, Part 229 of Regulation S-K of the Securities Exchange Commission (Section 229.103 of Title 17 of the Code of Federal Regulations). If yes, additional information regarding the proceedings is available by ordering a copy of the Corporate Disclosure Statement. This information is required to be included in Corporate Disclosure Statements filed on or after September 28, 2004.  

  -   Legally liable in any material legal proceeding (s): The corporation has been found, in any material legal proceeding, legally liable by entry of a final judgment or final order (that was not overturned on appeal) during the five years preceding the date of the statement. If yes, additional information regarding the proceedings is available by ordering a copy of the Corporate Disclosure Statement. This information is required to be included in Corporate Disclosure Statements filed on or after September 28, 2004.

  -   Federal security law violations: The corporation violated federal security laws or security or banking provision of California law during the previous 10 years for which the corporation was found liable in an action before a federal or state court or regulatory agency or a self-regulatory organization in which a judgment over ten thousand dollars ($10,000) was entered. This information is required to be included Corporate Disclosure Statements filed on or before September 27, 2004.

   Corporation Name: Search for publicly traded corporations by full or partial name (e.g. all publicly traded corporations with the word "technology").

   Corporation Number: The identification number assigned by the Secretary of State to a corporation at the time of formation or registration.

   Director/Executive Officer Name (Last, First, Middle)/Title: Search by individual name for all publicly traded corporations for which a specific individual is or was named as a director or executive officer. A search by individual name may be narrowed by selecting a specific title.

   Director/Executive Officer Disclosures: Search for publicly traded corporations based on the following disclosures:

  Shares/Options: Indicates the number of any shares issued, options for shares granted, and similar equity-based compensation granted to each member of the board of directors and to each executive officer (as required to be reported by California Corporations Code sections 1502.1 and 2117.1).

Bankruptcy: Indicates whether or not an order for relief has been entered in a bankruptcy case with respect to any director or executive officer during the 10 years preceding the date of the statement.

Fraud: Indicates whether or not any director or executive officer has been convicted of fraud during the 10 years preceding the date of the statement. Corporate Disclosure Statements filed on or after September 28, 2004 will only include this information if the conviction has not been overturned or expunged.

Loans To Directors: Indicates if a publicly traded corporation made loans to any directors at a preferential rate during the corporation's two most recent fiscal years (for corporate disclosure statements filed on or after September 28, 2004) or for the previous 24 months (for corporate disclosure statements filed on or before September 27, 2004). If the corporation made any such loans to its directors, additional information regarding the terms of the loans is available by ordering a copy of the Corporate Disclosure Statement.

"Loans" excludes an advance for expenses, the corporation's payment of life insurance premiums and an advance of litigation expenses as permitted according to the applicable laws of the state or place of incorporation. For California corporations, see California Corporations Code sections 315(d), 315(e) and 317, respectively.

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   Disclosure Filing Date: The date the Corporate Disclosure Statement was filed with the Secretary of State. Disclosure statements were not required before January 1, 2003.

   Disclosure Filing Date Range: Search for all publicly traded corporations that filed a Corporate Disclosure Statement during a specific time period. Disclosure statements were not required before January 1, 2003.

   Document Number: A number assigned by the Secretary of State to a specific document filed on behalf of a corporation.

   Executive Officer: The chief executive officer, president, any vice president in charge of a principal business unit, division, or function, any other officer of the corporation who performs a policymaking function, or any other person who performs similar policymaking functions for the corporation. *

   Independent Auditor: Search for publicly traded corporations by Independent Auditor name.

"Independent Auditor" is an individual or a business entity that meets the requirements for auditor independence as stated in Section 210.2-01 of Title 17 of the Code of Federal Regulations.

Based on the filing date of the Corporate Disclosure Statement, the following information about the Independent Auditor will be displayed:

  Prepared most recent auditor's report: The name of the Independent Auditor that prepared the most recent auditor's report on the corporation's annual financial statements.

Employed by the corporation as of the date of the statement: Corporate Disclosure Statements filed on or after September 28, 2004 contain the name of the Independent Auditor employed by the corporation as of the date of the statement.

Date of last report: Corporate Disclosure Statements filed on or before September 27, 2004 contain the date of the last report prepared for the corporation by the Independent Auditor.

   Publicly traded corporation: A California or foreign corporation, as defined in California Corporations Code section 162 or 171, respectively, that is "an issuer as defined in Section 3 of the Securities Exchange Act of 1934, as amended (15 U.S.C. Sec. 78c), and has at least one class of securities listed or admitted for trading on a national securities exchange, on the National or Small-Cap Markets of the NASDAQ Stock Market, on the OTC-Bulletin Board, or on the electronic service operated by Pink Sheets, LLC. (California Corporations Code sections 1502.1 and 2117.1.) *



    *   These definitions are provided based on current law. For definitions applicable to Corporate Disclosure Statements filed on or before September 27, 2004, please refer to Statutes of 2002, chapter 1015 (AB55 Shelly and Matthews).


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Search Tips

   Spacing and punctuation marks such as the period (.), colon (:), semicolon (;) and comma (,) are not considered when searching by individual or entity name.

   When searching by corporation name, a minimum of 3 characters must be entered. When searching by director/executive officer or independent auditor name, a minimum of 2 characters must be entered.

   When searching by corporation or independent auditor name, a character string search is performed in any part of name. (For example, searching for "for" will return names including the words "forms", "information", "format", etc.)

   When searching by director/executive officer name, a character string search is performed at the beginning of the name. (For example, searching for "Man" will return names such as "Manning", "Manley", "Mane", etc. but will not return names such as "Freeman", "Goodman", "Boman", etc.)

   Results will include only those records containing all of the search criteria selected. Entering a word that is not part of a name (including common words such as "the", "and", "corporation", etc.) may result in no matching record.

   To search by an individual name, only a last name is required; however, entering a first name will make your search more efficient. Searches may be performed by entering the entire name or only a portion of the name (at least 2 characters). For example, entering a last name of SMIT a first name of "J" will return every individual whose last name begins with SMIT (Smitt, Smith, Smithson, etc.) and whose first name begins with "J" (JD, Joe, Judy, etc.)

   If none of the fields are completed, the results will include all publicly traded corporations that have filed a Corporate Disclosure Statement with the Secretary of State. Completing one or more of the optional fields will provide a more specific list of results.

  To widen a search (more results):  
    -    enter only part of the name you are looking for in the name field. (For example, enter: "Ger" instead of "Gerald.")
    -    reduce the number of fields completed.

  To narrow a search (less results):  
    -    enter an exact phrase. (For example: If you enter "micron technology" only records containing the phrase "micron technology" will be returned, including Micron Technology Services, Inc., Micron Technology Foundation, etc.)  
    -    complete additional fields.

   Individual Name Search Examples:

Name Searched Results Include
First Middle Last Richard Smith Ben Smith Bob Smit Beverly M Smith R Bob Smith
    Smith Yes Yes No Yes Yes
B   Smith No Yes No Yes No
Bob   Smith No No No No No
  Bob   No No No No Yes
R   Smith Yes No No No Yes
Ben Thomas Smith No No No No No
B   Smit No Yes Yes Yes No


   Business Entity Name Search Examples:

Name Searched Results Include
  PricewaterhouseCoopers Apria Household Ice Thrice Personal Tours
Ice Yes Yes Yes
Price Yes No No
Pri Yes Yes No
Our No No Yes
Pers Yes No Yes


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   For additional information regarding the Publicly Traded Disclosure Search, please refer to the Frequently Asked Questions. If you need further information, please contact the Business Programs Division at (916) 651-9000.

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Technical Assistance

If you are experiencing problems with the Secretary of State website, please refer to Website Help for suggestions that may assist you in resolving the problem.

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