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Ten M&A-focused searches in our SEC Disclosure & Transactions section (a Countdown)

May 26, 2011

Photo by Patrick Hoesly. Some rights reserved.

What kind of M&A disclosure can you find on the knowledgemosaic platform?  Here’s a sampling of searches.  (All searches are on our SEC Filings page unless otherwise indicated.)

10.   My firm represents a company preparing to solicit shareholder approval for a proposed merger.  The deal involves a stock split and we want to see how others have drafted anti-dilution provisions.

Search parameters:    Scope: All Filings (Basic)   Entity: All Filers   Form Type: DEFM14A;   Text: (anti-dilution provisions OR adjustments to prevent dilution) AND (stock split NOT reverse stock split)   Time Frame: Last 3 Years

9.  I need a search to locate Escrow Agreements associated with merger agreements in which the Bank of New York Mellon is either the trustee or the escrow agent.

Search parameters:    Scope: All Filings (Basic)   Entity: All Filers   Subdocuments: Exhibits Only   Exhibits: All Exhibits   Text: “this escrow agreement” AND merger agreement AND (“bank of new york mellon as trustee” OR “bank of new york mellon as escrow agent”)  Date Range: Last 3 Years

8.  How can I use Knowledge Mosaic to find sample risk disclosure by Real Estate Investment Trusts with respect to termination fees associated with merger agreements?

Search page:  Risk Factors   Search parameters:    Risk Factor Term: Merger Agreements   SIC Code: 6798   Text: Termination Rights

7.   I would like to find examples of mergers or acquisitions with a two-step structure in which the target company is incorporated in California.

Search parameters:    Scope: All Filings (Expanded)   Entity: All Filers   Place of Incorporation:  California   Form Type: SC 14D9;   Text: two-step

6.   Can you recommend a search for finding precedent language in Contingent Value Rights Agreements drafted in the context of M&A transactions?  We’re especially interested in companies in the pharmaceutical industry.

Search parameters:    Scope: All Filings (Expanded)   Entity: All Filers   Subdocuments: Exhibits Only   Exhibits: All Exhibits   Text: this contingent value rights agreement AND (merger NEAR/4 agreement)   SIC: 2834   Time Frame: Last 3 Years

5.   My firm represents a pharmaceutical company that is anticipating a merger or acquisition situation.  Can I see some recent estimates of anticipated fees and expenses incurred for these deals for companies in that industry?

Search parameters:    Scope: All Filings (Expanded)   Entity: All Filers   Text: (estimate* NEAR/3 fees NEAR/5 incurred) PRE/20 (merger or acquisition)   SIC: 2834   Time Frame: Last 3 Years

4.   I’m looking for supplemental indentures filed in circumstances where the buyer in a business combination is assuming the rights and obligations of the seller.  Can you recommend a search? 

Search parameters:    Scope: All Filings (Basic)   Entity: All Filers   Subdocuments: Exhibits Only   Exhibit Label: supplemental indenture   Text: (merger OR acquisition OR business combination) AND (company PRE/2 assumes the obligations)   Date Range: 1/1/2006~present

3.   I am interesting in seeing stock purchase agreements by Delaware-incorporated companies in the context of a change in control of the company, that show how earn-out payments are calculated. 

Search parameters:    Scope: All Filings (Expanded)   Entity: All Filers   Subdocuments: Exhibits Only   Exhibits: Exhibit 2. Plans for Change of Control   Exhibit Label: stock purchase agreement   Place of Incorporation: Delaware   Text: earn-out payment near/2 calculat*

 2.  I am looking for tender offer filings which include an exchange offer that would convert Class B stock into Class A stock.

 Scope: All Filings (Basic)   Entity: All Filers   Form Group: Tender Offers (Schedule TO)   Text: (exchange near/2 offer) and (class B pre/2 into class A)

1. We need examples of transaction agreements involving a national bank (national bank, national association, N.A., or a bank holding company or a financial services holding company that owns a national bank, or any other of their affiliates) which contain a restrictive covenant (e.g., a non-compete or non-solicitation covenant).

Entity: All Filers   Subdocuments: Exhibits Only   Exhibits: Exhibit 10. Material Contracts   Text: ((stock OR Asset or merger) near/3 Agreement) AND (non-compet* or restrictive covenant)   SIC: 6021~6029

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