cxo project

8/10/2019 Cxo Project

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CXO PROJECT

Of300 PLUS

Summer Internship/Project Report Submitted in

Partial fulfillment of BBA + MBA Programme

2010-2015

By

Manisha Gautam

10IMB016

School of Management

Gautam Buddha University

Gautam Buddha Nagar- 201308


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To Whomsoever It May Concern

This is to certify that Manisha Gautam, student of Integrated MBA 9th

Semester at School of

Management, Gautam Buddha University, Greater Noida has done a project work entitled

“ DATA ANALYST ” at our organization from 1st June 2014 to 22

nd July 2014

Signature of Co. Supervisor

Name and Designation of the Co Supervisor


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ACKNOWLEDGEMENT

It is high privilege for me to express my deep sense of gratitude to all those faculty members

who helped me in the completion of the project, especially my internal/External guide

Mithun Sarkar who was always there at hour of need.

My special thanks to Dr.Varsha Dixit (Faculty, School of Management, G.B.U) for helping me

in the completion of project work and its report submission.

Manisha Gautam


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EXECUTIVE SUMMARY

300 plus organization formed in 2011 promoted by a group of individuals who have significant

experience in service delivery and client management and have decades of experience working

for fortune 100 organizations. They “Delivery with Certainty & Quality” approach is helping usgrow at CAGR of 110%. This is an exclusive organization which conducts a unique fresher

program to help organizations get quality, ready to deploy engineers (On & Off-campus) with

significantly reduced effort & zero cost.

The technology expert recruiters offer niche skill hiring with better conversion and improved

joining ratio. They have a lot of experienced technical experts on our panel spread across

various technologies which make us portal independent for our staffing solutions.

They Manage, interpret, convert and analyze data with accuracy, quality and speed with 1800

man months of strong delivery experience.

Most of their clients are fortune 500 / CMMI level 5 companies, all of them are 100% Reference

able.

The Project is all about 300 Plus Company‟s Data Analyst of inspecting, cleaning,

transforming, and modeling data with the goal of discovering useful information, suggestingconclusions, and supporting decision making. This project is associated with the care area of

Data Analyst .

The Project comprises of how the company hire the employee for the high post and used thatdata for the same.

The Areas of the study in this project are US Based Companies and UK Based Companies

,sec.gov website under this it include 3 filling i.e def 14a, 10-k and 8k with respect to 5.02

The basic objective of the research is to analyze how to gather data and maintain that according

to time to time and with the help of that data how to fill the key designation and some non-key

designation of companies requirement and hire the best Employee for them.

In order to do the study, Secondary data was collected. The sources of secondary data from the

organization website, Sec.gov, Google finance.


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TABLE OF CONTENT

TITLE PAGE NO.

CXO PROJECT 1

CERTIFICATE 2

ACKNOWLEDGEMENT 3

EXECUTIVE SUMMARY 4

TABLE OF CONTENTS

INTRODUCTION 7-10

OBJECTIVE OF THE PROJECT 11

SCOPE OF THE PROJECT 12

RESEARCH METHODOLOGY 13

ORGANIZATION OVERVIEW 14-17

PROJECT IN THE COMPANY 18-29

LITERATURE REVIEW 30

DATA COLLECTIONS & ANALYSIS 31-50

FINDINGS & CONCULSION 51-53

SUGGESTION 54

LIMITATIONS 55

REFERENCES 56


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LIST OF FIGURES

Description FIGURE No. Page No.

Line Of Business 1 15

PROJECT IN THE COMPANY 2 18

Directorship/Management: 3 25-26


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INTRODUCTION

Name of the Project : CXO Project

Brief Summary of the Project :

To capture and verify the information about key decision makers ( such as Board Member, CEO,CFO, President, Vice President etc.) from various online sources.

End Product: A relationship mapping platform that will contain about 2 million profiles of key

decision makers from private, public, and nonprofit sector companies ( The platform will containthe data captured and verified by you ).

Following is the list of information of an executive to be captured:

Name

Age

Founder

Designation of the person in the company

Committee membership details

Biography (A description about person’s career etc.)

Source Link ( Source of the information)

Getting Started

Before start a Company, Export Company Detail in Excel and match the executive from the

Website and filings with Excel.

Go through the entire latest filing at least once in order to ensure that the analyst has not missed

out any important information

Company Name

All Companies' Names will be provided by Evalue serve

Click on the allocated companies appearing in the Tool

Verifying the company name

Within the given CIK Number, cross-verify the Company's Name on the Tool with the Company Name appearing in the SEC website. In case, the name does not match with the one on the tool,

& then inform Evalueserve


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Name of Executive

Names of all Executives or Directors should be captured in Sentence Case

If the middle name is an initial it should have a dot following the first name. e.g.: Alfred G.

Coolly.

Junior or Senior after the full name should be written as “Jr.” or “Sr.”. In some cases it is

Mentioned as Senior, we should change it to “Sr.” No need to put a comma before Jr or Sr.

Age

Always capture the latest age and age disclosed year.

Age disclosed year should be the year of filing from which age has been picked In case age in not available leave it blank.

Age Disclosed Year

All entries that have age should also have age disclosed year. In case age is not disclosed, then

The Age Disclosed Year Box is left blank.

While capturing the age of the executive from the 10-K filing, should write the Age Disclosed

Year as the same as end of the Company‟s Financial Year (since different companies have

different financial year periods).

Foundership

This is a binary field and should only be either “Yes” or “No”.

Capture Founders and Co-Founders.

Do not capture trustees or agents.

Education Details

Capture the name of the college wherever available in Sentence Case.

Capture the passing years for whichever degrees are available

Order of capturing degrees – Ph.D., M.Phil, Masters, Bachelors, and Professional Certifications.

Some key professional certifications like CFA etc, In case of multiple educational qualifications, capture all using the multiple degree columns

Available. In case they are not available, capture the highest degree.


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Designation

For each executive follow the following guidelines for capturing the positions held by an

executive:

Key Positions - Board of Directors and Key Management Positions:

For all the key positions, capture ALL instances (exact dates), irrespective of whether they arecurrent or historical designations

Executive Designation Details

Are required to capture the following executives – Board of Directors, Key Management

Executives and Other Senior Management Executives for the last ten years, (i.e. 2003-present).

Board of Director s- Include all Directors which are part of the Board of Directors of the

company. A few examples are:

Chairman of the Board (including Vice-Chairman of the Board; Co-Chairman of the Board;Deputy Chairman; Executive Chairman; Non-Executive Chairman)

Directors Lead Directors

Independent Directors

Start Date

For Key Positions - Board of Directors and Key Management Positions: Start date should be the date on which the executive started on his/her current role.

If date is not available and only year is available, select 1st January of that year as the Start date.

In case the date/year is not available, select 1-Jan-1925 (set default) as the start date.

End Date


End date should be the date on which the executive left his/her position.

If date is not available and only year is available, select 31st December of that year as the End da In case retirement date is mentioned, capture it. Else take the annual meeting date or just 31st

December of the year he/she retired.

Committee Membership

In order to find information regarding Committee Memberships, analysts are required to

go to any of the following sources: Website (Under Officers & Directors, Committee Memberships, or in biographies of

directors)

DEF 14A (In biographies of directors or under Committees in the filing.) 10-K (In biographies of directors or under Committees in the filing)


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The link may be provided by Evalueserve and may need to be changed by

Biography

Analyst should capture the most recent & most comprehensive biography from the source. The contents of the biography can cover an executive‟s historical positions in the same

Company or other companies.

Source link

Company website:- open a company website and look for key words on the

company webpage such as Board of Director ,The board , Leadership Team,

Management etc .under the following section:-

About us

Our company Corporate governance

Investor Relations

Filling def 14a , 10k and 8k:- Click on the link below and search for your

company using the CIK or Ticker Symbol boxhttp://www.sec.gov/search/search.htm Search for DEF 14A and 10-K fillings in

the filling type box on the company filling


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OBJECTIVES OF THE PROJECT

The basic objective of the my research is to analyze how to gather data and maintain that accord

to time to time and with the help of that data how to fill the key designation and somenon-key designation of companies requirement and hire the best Employee for them.

Analyzes extensive data sets through innovative data analysis and visualization tools.

Learn analysis practices and put into work to identify patterns and trends to examine data

Data analytics is widely used by many business organizations to better understand their employee

Data analysts not only to understand and interpret data, but also to work with the organization‟s

leadership teams to facilitate strategic decisions

.


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ORGANIZATION OVERVIEW

We are a young & dynamic organization formed in 2011 promoted by a group of individuals

who have significant experience in service delivery and client management and have decades of

experience working for fortune 100 organizations. Our “Delivery with Certainty & Quality”approach is helping us grow at CAGR of 110%. Ours is an exclusive organization which

conducts a unique fresher program to help organizations get quality, ready to deploy engineers

(On & Off-campus) with significantly reduced effort & zero cost.

Our technology expert recruiters offer niche skill hiring with better conversion and improved

joining ratio. We have a lot of experienced technical experts on our panel spread across various

technologies which make us portal independent for our staffing solutions.

We Manage, interpret, convert and analyze data with accuracy, quality and speed with 1800 manmonths of strong delivery experience. We provide 0-2 years of experienced resources on 2 days

lead time for short term projects on very low cost, we are capable of providing “Just In Time”resources.

Most of our clients are fortune 500 / CMMI level 5 companies, all of them are 100% Reference

able.


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Line Of Business

Figure 1

300 plus

Skill development Staffing Transformation

Outsourcing

Product

Development

G.A.T.E Talent Acquisition On Demand

Research

Map My Worth

Career Runway

Program

Contract Staffing Remote Infrastructure

Job 4 Me Technical

Assessment

Technology Consulting

Data Management

Services


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Skill Development

To adjust in this competitive world of work, higher and better level of skill & knowledge is

needed. And major challenge is to make the available Human Resource employable and get them

a suitable job. 300Plus has designed innovative & unique programs for fresher so as to help themwith both campus & off-campus opportunities.

G.A.T.E. (A holistic employability assessment tool made in collaboration with AON

Hewitt, it assesses candidates on psychometrics, aptitude, technical, communication and

corporate fitment aspects and categorizes it as employable, trainable or not- fit)

Career Runway Program (An innovative Campus Train & Place program)

Job 4 Me (A unique fresher program for off campus placements)

Staffing

The staffing solutions division of 300 Plus is one of the best provider of end to end solutions inthe staffing space. With companies across the globe laying critical emphasis on their human

resources management, our cost effective & consultative expertise makes us different fromothers in providing highly qualified & skilled manpower, who know their business.

Talent Acquisition (Sourcing Experienced candidates at middle & senior level)

Technical Assessment (A strong team of highly experienced technical panel coveringwide range of technologies to do initial screening of candidates for our clients)

Transformation Outsourcing

Following a new business model that help their clients in transforming their business processes.They follow a collaborative approach with a high client focus throughout the whole outsourced process. It results in best in market cost, time & effort benefits.

On Demand Research (Expert Primary & Secondary Research Services)

Remote Infrastructure Management (Helping you manage your IT infrastructure worldwide)

Technology Consulting (Expert consultation on all sorts of Technology concerns)

Data Management Services (One stop shop for all Data related solutions)

Product Development

Innovation is the fuel for growth. They believe in developing new ideas to cater the changingneeds of the market. The recruitment market needs innovation, independence, and effective

ideas. In the same process they are developing to enhanced products beneficial for all.

Map My Worth (An online tool to map technical worth & get better jobs)


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PROJECT IN THE COMPANY

Fig 2


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Name of the Project : CXO Project

Brief Summary of the Project :To capture and verify the information about key decision makers ( such as Board Member, CEO,

CFO, President, Vice President etc.) from various online sources. .

Following is the list of information of an executive to be captured:

Name

Age Whether the person is the founder of the company or not

Designation of the person in the company

Committee membership details

Biography (A description about person‟s career etc.) Source Link ( Source of the information)

Getting Started

Before start a Company, Export Company Detail in Excel and match the executive from the

website and filings with Excel.

Go through the entire latest filing at least once in order to ensure that the analyst has not missed

out any important information

Company Name

All Companies' Names will be provided by Evalue serve

Click on the allocated companies appearing in the Tool

Verifying the company name

Within the given CIK Number, cross-verify the Company's Name on the Tool with the Company

Name appearing in the SEC website. In case, the name does not match with the one on the tool,

Please inform Evalueserve


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For each executive verify /input the following information

Name of Executive

Follow the rule sets listed below while capturing or verifying the names of Executives and

Directors should always copy/paste the exact name of the Executives or Directors from the

Website or Filings (instead of typing). This will help in avoiding spelling errors.

Names of all Executives or Directors should be captured in Sentence Case

If the middle name is an initial it should have a dot following the first name. e.g.: Alfred G.

Coolly.

Junior or Senior after the full name should be written as “Jr.” or “Sr.”. In some cases it is

mentioned as Senior, we should change it to “Sr.” No need to put a comma before Jr or Sr.

Eg: John Yates Sr.

All nicknames should be removed. Jeffery 'Jeff' Stan should be changed to Jeffery Stan.

In case of names with apostrophes, alphabets before and after the apostrophe should be capital.

Eg: Bob O'Brien.

Remove Mr/Ms/Mrs from the names. However we should include “Dr. “ and “Sir”.

Name with “Mc” in the surname should be captured as Brian McGill. Where M and G both

should be capitalized.

Always capture both executive and non-executive members of the Board.

In case you find that the executive has passed away while looking for his/her appointment

Termination .date, they must write “Late” at the end of his/her name within brackets.

For example, if Peter McGill has passed away, capture his name as “Peter McGill (Late)”.

Add Missing Executive

There will be a list of Directors/Executives on the left side of the page

Cross-check this list from the above sources and add the missing Executives & Directors


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Provide information available about the Companies Directors and Senior Executives for

the last ten years (2003-present)

Apart from the DEF 14A, the analyst has to look into 10-K filings for any additional

information & then add names of any missing Executives & Directors from the Tool

Age

Follow the rule sets listed below when capturing or verifying the age of Executives and Directors

Always capture the latest age and age disclosed year.

Age disclosed year should be the year of filing from which age has been picked. For example:

Age is available in 2003 and 2005 filing. It should be taken from the 2005 filing. If the age

was 58 years in the 2005 filing, it should be captured as 58 and the age disclosed year should be

2005.

In case age in not available leave it blank.

Age Disclosed Year

Follow the rule sets listed below when capturing or verifying the age disclosed year of Executive

and Directors:

All entries that have age should also have age disclosed year. In case age is not disclosed, thenthe Age Disclosed Year Box is left blank.

While capturing the age of the executive from the 10-K filing, should write the Age Disclosed

Year as the same as end of the Company‟s Financial Year (since different companies have

If you do not find an exact end date, then he/she has to capture the last day of the year in

which the filing was released. [All 10-K filings mention the financial period of the company

in the beginning of the filing].

For example: In case the 10-K filing is for the year ending 31st May 2009 and the filing dates

25th August 2009, the Age Disclosed Year would be captured as2009 and the End Date

Would be captured as 31-Dec-2009. However, in case the 10-K filing is for the year ending

31st December 2012 and the filing date is 20th Feb 2013, the Age Disclosed Year would

Be captured as 2012, and the End Date would be captured as 31-Dec-2013.


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Foundership

Follow the rule sets listed below when capturing or verifying whether the Director or Executive

Officer is a founder of the company:

This is a binary field and should only be either “Yes” or “No”.

Capture Founders and Co-Founders.

Do not capture trustees or agents.

Do not leave the field blank. It is a compulsory field.

For example: The biography of Robert L.G. Watson in the DEF 14A 2013 of Abraxas Petroleum

Corp mentions, “Mr. Watson has been involved in the oil and gas industry for his entire

business career and is the founder of Abraxas.” In case the person is a founder or a co-founder

of the company it is clearly stated in his/her biography

Education Details

Capture three of the highest degrees of the Executive available.

Then follow this order for preference when capturing degrees – Ph.D., M.Phil, Masters,

Bachelors, and Professional Certifications. Some key professional certifications like CFA etc,

given them preference over Bachelors‟ degree.

In case of multiple educational qualifications, capture all using the multiple degree columns

available. In case they are not available, capture the highest degree.

Follow the guidelines listed below for the three data points to be captured for Educations Details: College Name: Capture the name of the college wherever available in Sentence Case.

Passing Year: Capture the passing years for whichever degrees are available

Degree:

- Capture the name of the degree in sentence case if possible.

- In case a qualification is mentioned after an executive‟s name, add it to

the degree column.

- For example: Angela Knight CBE, Ian Dewar FCA MA (Cantab), Michael

Williams FCI. In these examples, the degrees given after the names such as

CBE, FCA MA (Cantab), and FCI should be captured in the degree column.Designation

For each executive follow the following guidelines for capturing the positions held by an

executive:



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For all the key positions, capture ALL instances (exact dates), irrespective of whether they are

current or historical designations. Refer to example given below:-

( Actel Corporation) Mr. East has been a Director, and served as our President and

Chief Executive Officer (“CEO”), since December 1988. From April 1979 until joining us,

Mr. East served in various positions with Advanced Micro Devices, a semiconductor

manufacturer, including Senior Vice President of Logic Products from November 1986 to

November 1988. From December 1976 to March 1979, he served as Operations Manager for

Raytheon Semiconductor, a semiconductor manufacturer. From September 1968 to December

1976, Mr. East served in various marketing, manufacturing, and engineering positions for

Fairchild Camera and Instrument Corporation, a semiconductor manufacturer.

In the above example, we capture the positions of Director and Chief Executive Officer,

irrespective of whether they are current or historical positions. For the other designations apart

from the six listed in Top Designations, we capture only the current or the most recentmanagement position and ignore the historical data. For the start date of the management

position, we capture the date as the date of joining the company, or the oldest appointment

date available.

The case will be captured as below:

Name Date/Tenure Designation

John C. East 1-Jan-1988 to 28-Feb-2010 Director

John C. East 1-Dec-1988 to 31-Dec-2010 Chief Executive Officer

John C. East 1-Dec-1988 to 31-Dec-2010 President

Executive Designation Details

Are required to capture the following executives – Board of Directors, Key Management

Executives and Other Senior Management Executives for the last ten years, (i.e. 2003-present).

Board of Director s- Include all Directors which are part of the Board of Directors of the

company. A few examples are:

Chairman of the Board (including Vice-Chairman of the Board; Co-Chairman of the Board;

Deputy Chairman; Executive Chairman; Non-Executive Chairman)

Directors

Lead Directors

Independent Directors

Key Management Positions: Only the following are to be included as key management position

Chief Executive Officer (including Co-Chief Executive Officer).


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Chief Financial Officer (including Co-Chief Financial Officer).

Chief Operating Officer (including Co-Chief Operating Officer).

General Counsel.

Other Senior Management Designations: Few examples of other senior management

positions are:

Group President

Group Vice President

Group Senior Vice President

Executive Vice President

Senior Vice President

President

Treasurer

Controller, Secretary, etc

Other Senior Management:

For other senior management positions, capture only the current or latest positions.

Refer to example below:-

(Beckman Coulter, Inc.) Mr. Glyer was named Senior Vice President, Strategy and Business

Development in February 2006. He previously served as Vice President Corporate Development since

July 2005 and Vice President and Treasurer since February 2003. Prior positions were: Vice President-

Director, Financial Planning since November 1999 and Vice President-Director, Finance for Diagnostics

Development and Corporate Manufacturing since February 1999 and Assistant Treasurer and then

Treasurer from 1989 to 1999. Mr. Glyer joined Beckman Coulter, Inc. in 1989.

In the above example, we capture his designation on our tool as Senior Vice President, covering his tenu

in the company. That is, the Start Date is 1-Jan-1989 (his date of joining the company) and the End Date

would be taken as the current year filing date. We do not capture his historical positions, that is, Vice

President Corporate Development; Vice President and Treasurer; Vice President-Director, Financial

Planning; Vice President-Director, Finance for Diagnostics Development and Corporate Manufacturing;

Assistant Treasurer; Treasurer.

The case will be captured as below:

Name Date/Tenure Designation

Paul Glyer 1-Jan-1989 to 31-Dec-2013 Senior Vice President

Follow the rule sets listed below when capturing or verifying the Designations of Directors or Executive


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Sentence case to be followed for all designations

Designations should be captured EXACTLY as they are given in the biographies. E.g. Executive

Director, Senior Independent Director, Non-Executive Chairman.

Use full designation instead of abbreviations. For example, Chairman should be

mentioned as Chairman of the Board, CEO as Chief Executive Officer, COO as Chief

Operating Officer,etc

All designations for the same person should be captured in multiple rows with Start Date and

End Date.

In case the same individual is Director and Chairman of the Board for the same duration in a sing

company, this should be captured in two rows and not as Director & Chairman of the Board

Chairman of Compensating Committee or any department need not be captured

In order to find information regarding Executive Officers, you can use the Executive

Compensation Table in the DEF 14A. Alternatively, they can also find exhaustive biographies in

the 10-K, in case they are not available in the DEF filings.

In order to find the source of biographies for Directors and Executive Officers from the filings, ita helpful practice to go through the Table of Contents in the beginning of the filing.

Directorship/Management:

The list of Director and Executives mapping to Directorship/Management positions

Fig 3


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Start Date

For Key Positions - Board of Directors and Key Management Positions:

Start date should be the date on which the executive started on his/her current role.

If date is not available and only year is available, select 1st January of that year as the Start date.


For Other Senior Management

The start date should be captured as the date of joining the company. In case the date of joining

the company is not available, please capture the oldest appointment date that is available.


End Date



If date is not available and only year is available, select 31st December of that year as the End

date.

In case retirement date is mentioned, capture it. Else take the annual meeting date or just 31st


For Other Senior Management Designations


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If date is not available and only year is available, select 31st December of that year as the End

date.

In case retirement date is mentioned, capture it. Else take the annual meeting date or just 31st


Committee Membership

Various committees are formed by the Board of Directors. All committees consist of members of

the Board. There are various committees in a company, and a member of the Board can belong to

more than one committee at a time. A few examples of these committees are Audit Committee,

Governance Committee, Finance Committee, etc. Each committee has a designated Director as it

Chairman.

Sources to Capture Committees

In order to find information regarding Committee Memberships, it is required to go to any of

the following sources:-

Website (Under Officers & Directors, Committee Memberships, committee composition or in

biographies of directors)

DEF 14A (In biographies of directors or under Committees in the filing.)

10-K (In biographies of directors or under Committees in the filing)

Committee Names

From the drop-down box available on the tool, capture all the Committees names represented by

the director from the drop down box. In case the name of the Committee is not available in the

drop-down box, select „Other‟ and enter the name manually.

Reporting Year


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The Reporting Year under committees is the year from where you capture the information

regarding Committee Memberships.

For example, if you capture Committees from the website, then he/she has to take the current yea

to be the reporting year. If you capture the Committee Memberships from DEF 14A for the year

2010, the year of reporting will be 2010.

Please ensure that you capture information from only the latest filing available. In case

committee membership information is not available in the latest filing, you are not required to

find the information from historical filings.

Please also ensure that Committee Memberships are captured only for the current Board of

Directors and not for historical Directors

Biography

Follow the rule sets listed below when capturing or verifying the biographies of Executivesand Directors:

This should be copied from the mentioned Sources (websites, and SEC).

The contents of the biography can cover an executive‟s historical positions in the same

company or other companies.

In case you find that biographies in different sources have different information contained in

them, they can add the second biography in the tool as well, along with the name of the source,

below the first biography.

For example the biography captured in the tool is from the DEF filing and you find an

updated biography on the website. He/she can copy the biography from the website below

the first biography and mention “from website” before that.

Source Link

Company website

Sec.gov:- def14a, 10-k & 8k

Google finance

Sources of Information

Company website:- open a company website and look for key words on the

company webpage such as Board of Director ,The board , Leadership Team,

Management etc .under the following section:-

About us


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Our company

Corporate governance

Investor Relations

Filling def 14a , 10k and 8k:- Click on the link below and search for your

company using the CIK or Ticker Symbol box

http://www.sec.gov/search/search.htm Search for DEF 14A and 10-K fillings in

the filling type box on the company filling page Download all the SEC fillings

(DEF 14A & 10-K) for the last ten years (2003-present) Check table of contents to

find the position in the filing where details of Directors and Executives are given

different financial year periods.

If you do not find an exact end date, then he/she has to capture the last day of the

year in which the filing was released. [All 10-K filings mention the financial

period of the company in the beginning of the filing].

For example: In case the 10-K filing is for the year ending 31st May 2009 and thefiling dates 25th August 2009, the Age Disclosed Year would be captured as2009

and the End Date Would be captured as 31-Dec-2009. However, in case the 10-K

filing is for the year ending 31st December 2012 and the filing date is 20th Feb

2013, the Age Disclosed Year would Be captured as 2012, and the End Date

would be captured as 31-Dec-2013.


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LITERATURE REVIEW

.


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Fig-4

2). Company Filings (Def 14 A and 10K):-

Similar to SEBI (Securities & Exchange Board of India), U.S. has U.S. securities and ExchangeCommission (which could be accessed via www.sec.gov ).

Through sec.gov website, we can access all the data of top level executives from various U.S.

based organizations.

By using the website, we look out for company filings to validate the data we have captured and

add any missing or extra information. The following are the steps to follow to capture data fromwww.sec.gov:


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Step 1: Go to the site www.sec.gov

Fig 5

Step 2: Click on the More Search Options as shown below

Fig 6


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Step 3: After clicking More Search Options, a page to search company fillings will appear.

Enter your CIK in the CIK box as shown in the image below (For example, here wehave entered CIK as 1028918)

Fig 7


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Step 5: After completing Step 5 a page like below will appear.

Fig 9

This page shows the Company‟s Name with its CIK (marked as green) and company‟s list of

filings. But we are concerned with the filings which has all the records of Executives in thecompany. Such information is given in a document proxy statement which is found in the filing

type DEF 14A & annual information form which is found in the filing type 10-K .

Under the Filing Type Box, first type DEF 14A marked as red and press Enter.

example, the Company‟s Name is PACIFIC PREMIER BANCORP INC. and its CIK is #

1028918


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Step-6 After entering DEF 14A, list of all the files of type DEF 14A of each year will appear.

Note: in this example, the latest filing year is 2013, which goes till 1998 but we will take the

records from the latest filing year up to 2003 years‟ filing

Fig 10


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Step7: we will click on document of the latest filing.

In our example, the latest filing is of 2013; the red mark shows that we will first work on this

2013 filing.

Fig 11


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Step 10: Scrolling down few pages, you will find the list of Directors either in a tabular form or

in a paragraph form. In our example, the list of directors is given in paragraph format.

Fig 14


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Step 11:After Capturing all the information available in def 14a, we will go to 10-k, and will

repeat the same procedure till step 4, and in step 5 , instead of writing def 14a, now we will write

10-k

Fig 15

Step 12: After entering 10-K, list of all the files of type 10-K of each year will appear.

Note: In this example, the latest filing year is 2013, which goes till 1998 but we will take the

records from the latest filing year up to 2003 years‟ filing.

Fig 16


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Step 13: Now, click on document of the latest filing.

In our example, the latest filing is of 2013; the red mark shows that we will first work on this

2013 filing

Note: For 10-K also, we will repeat the same procedure as mentioned in steps 8-10

3). Google Finance – This should be used when we are unable to extract the data from corporate

website / consumer website and www.sec.gov

Following are the steps to be followed to capture data from Google Finance:

Step 1: Go to http://www.google.com/finance

http://www.sec.gov/http://www.google.com/financehttp://www.google.com/financehttp://www.sec.gov/


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Step 2: Enter the assigned Company Name in Search Box and press enter.

For example - Apple Inc

Step 3: Scroll down through the page and click on Executives under Website Links


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It would direct you to the company website.

Important Note: Never and ever capture information from Reuters


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4). Google Search- For resignation and appointment dates (if not Found in above sources).

- For Appointment Date

Step-1: Go to www.google.com and type in search Company Name Appoints Executive Name

For e.g. Appointment Date of Timothy Cook of Apple Inc.

Step-2: Go to Company‟s official Press Release


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Step-2: Go to Company‟s official Press Release

Step-3: Capture the resignation date


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4.) 8-K- It should be used to find end dates of executives whose names appears in latest filing

but are not available on company website

Step 1. Go to sec.gov, then go to More Search Option then select filing type as 8-K

Step2. Find 5.02


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Step 3. Only open 5.02 filings of 2013 and only capture end dates or start dates.

Collection of Information For the Last Ten Years (2003 – Present).

Provide information available about the Company‟s Directors and Senior Executives for

the last ten years (2003-present).

Apart from DEF 14A, you need to look through 10-K for any additional information –

first DEF 14A and then 10-K for the relevant years Directors‟ biographies are normally found in DEF 14A

Executive Officers‟ biographies are normally available in 10-K, however this is not

a set rule

Add any missing names of Directors and Senior Executives on the tool


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FINDINGS & CONCULSION

MOST COMMON ERRORS

Errors related to Missing executives

Do not miss any executive from the website or from the filings

Errors Related To Names:

Sentence Case Error or formatting Error

Dr. Word not prefixed before the name of the executive if the executive holds a Ph.D.

degree and Dr. word is given in his biodata.

Number is taken with name of the executive that are not roman numbers but related to

some information regarding the executive (For example: Robert William (2) or Robert

William 2)

Always take full name - Do not take incomplete name or nick name.

"Late" has not been mentioned after the name of the executive even when he/she has

passed away. Or "taken" late word after the name of the executive on the basis of his/her

term expires

Errors Related to Age:

Age not captured or latest age not taken.

Errors Related to Age Disclosed Year:

Wrong age disclosed year taken (mostly occurred in case of age taken from 10-k filing )

Firstly, you should know that age disclosed year is the year in which the latest age is

disclosed. So, in case you have found an executive from 10-k filing and information

regarding his/her age is also given, you should take the age disclosed year according to

the period of report. However, in case you have found a sentence, which is given above

the executive‟s information- “all the information given below regarding the age etc. is of

31st

March 2014, you have to take the age disclosed year according to the above

statement and you should ignore the period of report in this case)

In case you have found age for an executive from website then do not take the age

disclosed year as 2014 now. Firstly, you should have to cross verify in the latest filing.


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Errors Related to Biodata:

Missing biodata from website/filings.

Capture the most beneficial Bio, that is, containing the most information

Errors Related to Educational Qualification:

Sentence case error or formatting error.

Self- modification of degree - Capture/copy the degree as given in the source. e.g. – If it

is given that Master of Business Administration in Marketing is given for an executive. In

this case do not take – MBA in Marketing. Please capture the information as given. In

this case the degree to be captured will be - Master of Business Administration in

Marketing

Missing degree‟s from bio - Don‟t miss the degree information given in the Biography

Multiple degrees have been taken for a specific degree with one or two differentspecialization For Example: If an executive holds MBA in Management and Marketing

we will capture it as a single degree instead of two separate degrees

Errors Related to Designations:

Errors related to tenure concept. Please re read the tenure concept and DO NOT MAKE

any mistakes

Start date/End date errors i.e. do not take default dates when exact dates are given in the

filings or given in 8-K filing. Go through the def 14a/10-k filings and most importantly

the 8-k filings properly

Incomplete designations i.e. not taken department information with a specific designation

- for example, if it is given that an executive is VP in Finance, then you must capture the

designation as complete – Vice President, Finance

Formatting errors for designations not given in the drop down list on the CXO tool – for

example errors are coming related to sentence case not being taken properly

Missing Designations – Most of the errors are coming wherein people are missing

designations from SEC filings


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SUGGESTION

Tips for Improvement:

People should be Calm And must be highly focused towards the work

Adopt a systematic process of capturing data from website and SEC filings i.e.

o (First, Read the history of the company from website or wikipedia)

o Second, start working on the first executive given in the website (if website is

available) and cross check simultaneously in the latest filings of SEC or in all the

filings of SEC. It will help in reducing any missing information regarding the

executive.

Check 8-k properly specially 5.02

When you are done with website, def14a and 10k , Then Export to excel and now crosscheck start and end date on Excel using ( 8-k )

Use COMMENTS wisely – If you are really unable to find information, please write

down in the comment box. PLEASE DON‟T MISUSE commen t box. Only use the

Comment box for the assigned purpose


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LIMITATION OF THE STUDY

The limitations faced during the project are:-

About – LP and GP:

A general partnership is one in which all of the partners have the ability to actively manage or

control the business. This means that every owner has authority to make decisions about how the

business is run as well as the authority to make legally binding decisions. Unless the partners

have a partnership agreement, each partner will have equal authority.

Additionally, a limited partnership has both limited and general partners. A limited partner is one

who does not have total responsibility for the debts of the partnership. The most a limited partner

can lose is his investment in the business. The trade off for this limited liability is a lack of

management control: A limited partner does not have the authority to run the business. He is

really more or less an investor in the business.

A limited partnership must have at least one general partner. The general partner or partners are

responsible for running the business. They have control over the day-to-day management of the

business and have the authority to make legally binding business decisions.

About Holding company:

A holding company is a company or firm that owns other companies' outstanding stock. The

term usually refers to a company that does not produce goods or services itself; rather, its

purpose is to own shares of other companies. Holding companies allow the reduction of risk for

the owners and can allow the ownership and control of a number of different companies. Holdingcompanies can own and control several subsidiary companies in different industries, thus

reducing the risk to the holding company's owners. Small businesses are often subsidiaries of

holding companies, which enables them to take exchange of the holder's equity for capital

improvements.

Some of the examples of holding companies are - JPMORGAN CHASE & CO. , U.S.

BANCORP

Difference between Mergers & Acquisitions:

Merger is considered to be a process when two or more companies come together to expand their

business operations. In such a case the deal gets finalized on friendly terms and both the

companies share equal profits in the newly created entity. When one company takes over the

other and rules all its business operations, it is known as acquisitions. In this process of

restructuring, one company overpowers the other company and the decision is mainly taken

during downturns in economy or during declining profit margins.


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REFERENCES

Training manual

Company website

Sec.gov

Google finance

cxo project

Documents