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  1. #1
    Join Date
    Nov 2016
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    Default Find Company Shareholder Info for a Publicly Traded Company

    My question involves business law in the state of: USA

    Is there a resource to find out who a company's shareholders are? I'd rather not list the co. name, but the info I am getting is that they are a USA-based publicly traded company, and that they trade on NASDAQ and S&P500. I tried searching the SEC site, incl. EDGAR, but couldn't come up with anything. Not sure what the requirements to list with the SEC are.

    Is there some other place to look?

    Thanks in advance.

  2. #2
    Join Date
    Jul 2018
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    1,988

    Default Re: Find Company Shareholder Info for a Publicly Traded Company

    No.

  3. #3

    Default Re: Find Company Shareholder Info for a Publicly Traded Company

    Publicly traded companies in the US are required to file, among many other things, an annual proxy statement with the SEC.

    That document must list, among many other things:
    --any shareholders of the company that are known to own at least 5% of the company's stock, and
    --the shareholdings of the directors of the company and the shareholdings of certain company officers

    You can find these documents using the EDGAR search tool on the SEC website. Look for the 'DEF 14A' in the list of documents under the company search results.

    That won't give you a complete list of shareholders, which wouldn't generally be available anyway. But it will give you some information about key shareholders.

  4. #4
    Join Date
    Sep 2010
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    19,431

    Default Re: Find Company Shareholder Info for a Publicly Traded Company

    Quote Quoting MiddlePart
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    Publicly traded companies in the US are required to file, among many other things, an annual proxy statement with the SEC.
    Technically, they're only obligated to do this if the management wants to use proxy votes at the annual meeting. Since most companies DO this, it's a pretty common filing.

  5. #5
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    Mar 2013
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    17,513

    Default Re: Find Company Shareholder Info for a Publicly Traded Company

    If a publicly traded company has an "Investor Relations" page on its website the major shareholders might be listed there.

  6. #6
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    Nov 2016
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    107

    Default Re: Find Company Shareholder Info for a Publicly Traded Company

    Quote Quoting pg1067
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    No.
    Well, ok then.

    -------------

    Got it - 'Financial Information' (proxy pdf file) on their page.

    Thanks guys!

    --edit--

    If not in that proxy pdf, would their contact info (address, email address) be found anywhere, in any SEC filings, or....?

  7. #7
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    Mar 2013
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    Default Re: Find Company Shareholder Info for a Publicly Traded Company

    Quote Quoting riffwraith
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    If not in that proxy pdf, would their contact info (address, email address) be found anywhere, in any SEC filings, or....?
    Do you mean contact information for the shareholders?

    Why do you want this information?

    What's your goal.

  8. #8

    Default Re: Find Company Shareholder Info for a Publicly Traded Company

    If not in that proxy pdf, would their contact info (address, email address) be found anywhere, in any SEC filings, or....

    That would be in the corporation shareholder record, no where else.

  9. #9
    Join Date
    Nov 2016
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    107

    Default Re: Find Company Shareholder Info for a Publicly Traded Company

    K, thanks.

  10. #10
    Join Date
    Oct 2014
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    7,627

    Default Re: Find Company Shareholder Info for a Publicly Traded Company

    Quote Quoting riffwraith
    View Post
    If not in that proxy pdf, would their contact info (address, email address) be found anywhere, in any SEC filings, or....?
    Note that the SEC does not maintain full shareholder lists. It only gets the names of those shareholders of reporting companies that own at least 5% of the outstanding shares. And it is just the names that the SEC requires the company to provide, not contact information. The company may have that information for some of its shareholders, but likely not all of them. Most investors in publicly traded companies do not obtain shares directly from the company. They buy through a broker and the broker holds the shares for the shareholder in "street name." That means what the company sees as the shareholder info is the broker's information, not the the individual who bought the shares through the broker. It would be the broker then that has the contact information.

    The company isn't going to release a full list of shareholders to you and certainly not with contact information for each one, even for those that it has that information. Nor will the brokers give you that data either. They need to protect the privacy of their shareholders. At best I see you getting the names of the 5% shareholders from the SEC filings.

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