TFSD Ownership Database [540]

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	540
TFSD Ownership Database

Last Loaded on Web: Monday, April 01, 2013

Last Update To Bluesheet: January 14, 2010

Bluesheet Contents PDF version

File Description	Print Counterparts	Document Types Indexed	Contact	Additional Indexes	Rates
Subject Coverage	Dialog File Data	Geographic Coverage	Terms and Conditions	Sort
Sources	Related Search Aids	Special Features	Sample Record	Rank
Tips	Database Content	DIALINDEX/OneSearch Categories	Basic Index	Predefined Format Options

File Description [top]

The TFSD Ownership Database contains public corporate ownership information which is generated from three publications containing data produced by CDA/Spectrum: Spectrum 3 (institutional holdings), Spectrum 5 (5% ownership holdings), and Spectrum 6 (ownership by insiders). This database details the common stock holdings of major institutions, corporate insiders, and 5% beneficial owners for over 10,000 companies. This information is derived from filings made with the U.S. Securities and Exchange Commission (SEC) on a quarterly or as-required basis as ownership of stock changes. The data indicate specific institutions and individuals, their relationship to the company, their holdings, and their most recent trades.

When more than one record exists for a company, the main record lists holders of common stock, while other records list holders of other kinds of stock. These typically list a single holder of a special issue stock.

Tips [top]

USE FILE 540

to get ownership information on over 10,000 U.S. public companies.

SET H 80

to accomodate wide tabular records.

USE CO=

to locate a company's record.

EXPAND CO=MACDERMID and SELECT the appropriate entry.

Subject Coverage [top]

General stock and company information including SIC (Standard Industrial Classification) Codes, CUSIP (Committee on Uniform Security Identification Procedures) Number, Class of Stock, Market Value, Outstanding Shares, and more
Details of Institutional Holdings
Details of 5% Ownership Holdings
Details of Insiders Ownership
Ownership Summary

Sources [top]

TFSD Ownership Database is drawn from three publications:

SPECTRUM 3 - Institutional Stock Holdings Survey
SPECTRUM 5 - 5% Beneficial Ownership
SPECTRUM 6 - Insider Ownership

Data is collected from the following reports, filed with the Securities and Exchange Commission (SEC). These reports, along with the SPECTRUM publications in which they are found, are as follows:

SPECTRUM 3 - 13F
SPECTRUM 5 - 13D, 13G, and 14D-1
SPECTRUM 6 - FORM 3 and FORM 4.

Print Counterparts [top]

None

Dialog File Data [top]

Dates Covered:	Current data
File Size:	23,183 records as of January 2010
Update Frequency:	Monthly Reload

Related Search Aids [top]

For Tips about searching File 540, TFSD Ownership Database, please see: http://support.dialog.com/searchaids/dialog/f540_tips.shtml

Database Content [top]

Directories
Numeric Data

Document Types Indexed [top]

Geographic Coverage [top]

US Only

Geographic Restrictions [top]

None

Special Features [top]

ERA Available
KWIC and HILIGHT Available

DialIndex/OneSearch Categories [top]

ACRONYM	CATEGORY NAME
OWNERS	Ownership
TICKERDI	Company Directories with Ticker Symbols

Contact [top]

TFSD Ownership Database is produced by Thomson Financial Securities Data. Questions concerning file content should be directed to:

Thomson Financial Securities Data
Database Services
2 Gateway Center
Newark, NJ 07102

Telephone:	973-622-5200
800 Line:	888-989-8373
Fax:	973-622-1421

Terms and Conditions [top]

For Dialog's Redistribution and Archive Policy, enter HELP ERA online. The following terms and conditions also apply.

This database is copyrighted by Thomson Financial Securities Data. While every attempt has been made to ensure the accuracy of these products, Thomson Financial Securities Data makes no warranties or representations regarding its accuracy or completeness, and each subscriber to or user of product understands that Disclosure Incorporated disclaims any liability for any damages (even if Thomson Financial Securities Data has been advised of such damages) in connection with its use.

Dialog Standard Terms & Conditions apply.

SAMPLE RECORD [top]

	`DIALOG(R)File 540:TFSD Ownership Database`
	`(C) 2000. All rts. reserv.`

	`00117377`
/CO, CO=	`YORK GROUP INC`

EX=,TS=	`Exchange: NASDAQ National Market System Ticker Symbol: YRKG`

CU=	`CUSIP No: 98663210`

SC=	`SIC Codes: 3995`
PC=	`Primary SIC Code: 3995`

SS=	`Estimated Number of Shareholders: 43`

CK=	`Class of Stock: COM`
OS=	`Outstanding Shares: 8,941,000`
CP=	`Closing Price: 4.00`
MV=	`Market Value($MIL): 35`
MD=,PD=	`as of: 06/30/2000`

	`INSTITUTIONAL HOLDINGS (SPECTRUM 3)`
	`LATEST QTR FILING`
	`INSTITUTIONAL HOLDER RANK CHG IN SHS SHARES HELD DATE`
/HN,HN=	`AXA FINANCIAL, INC. 16 11,400 11,400 03/31/2000`
	`BARCLAYS BANK PLC 13 600 23,810 03/31/2000`
	`BRANDYWINE ASSET MGMT, INC. 8 0 198,900 12/31/1999`
	`BRINSON PARTNERS, INC. 6 -4,500 405,063 03/31/2000`
	`C H DEAN & ASSOC INC 10 -2,600 64,700 06/30/2000`
	`CARDINAL CAPITAL MGMT LLC 18 -11,500 0 03/31/2000`
	`DALTON GREINER HARTMAN MAHER 1 63,100 651,400 03/31/2000`
	`DIMENSIONAL FD ADVISORS, INC 2 83,400 589,450 03/31/2000`
	`FIRST MANHATTAN CO (CAP MGMT 11 -11,700 62,600 03/31/2000`
	`FIRST UNION CORPORATION 18 -339,800 0 03/31/2000`
	`FLEET BOSTON CORPORATION 4 0 451,500 03/31/2000`
	`KENNEDY CAPITAL MGMT, INC. 9 -7,500 133,700 03/31/2000`
	`LEGG MASON FUND ADVISORS, IN 7 900 201,100 03/31/2000`
	`MERRILL LYNCH CAPITAL MARKET 17 0 75 03/31/2000`
	`NATIONAL CITY BK OF CLEVELAN 15 0 12,000 03/31/2000`
	`PIONEER INVESTMENT MGMT INC. 5 0 444,200 06/30/2000`
	`SPEAR, LEEDS & KELLOGG 14 13,580 13,580 03/31/2000`
	`SUNTRUST BANKS INC 3 -10,000 501,300 03/31/2000`
	`VIRGINIA INVT COUNSELORS, IN 12 -1,150 47,000 03/31/2000`
HX=,HC=,HH=	`TOTAL OF 17 OWNERS -215,770 3,811,778`
MH=	`MARKET VALUE(MILLIONS) 15 06/30/2000`
	`OWNERSHIP BY 5% OWNERS (SPECTRUM 5)`
	`NAME OF OWNER LOCATION SHARES HELD DATE FORM`
/FO,FO=	`DALTON GREINER HARTMAN MAHER&C UNITED STATES 588,300 12/31/1999 13G`
	`DIMENSIONAL FD ADVISORS, INC. UNITED STATES 506,050 12/31/1999 13G`
	`ELDER GROUP INC UNITED STATES 699,600 09/10/1997 13G`
	`ELDER, ALAN H UNITED STATES 859,659 12/31/1999 13G`
	`FIRST MANHATTAN CO (CAP MGMT) UNITED STATES 540,400 12/31/1998 13G`
	`FIRST MANHATTAN COMPANY UNITED STATES 74,300 12/31/1999 13G`
	`FIRST UNION CORPORATION UNITED STATES 339,800 12/31/1999 13G`
	`FLEET BOSTON CORPORATION UNITED STATES 451,500 12/31/1999 13G`
	`KENNEDY CAPITAL MGMT, INC. UNITED STATES 141,200 12/31/1999 13G`
	`PIONEER INVESTMENT MGMT INC. UNITED STATES 444,200 11/30/1999 13G`
	`SUNTRUST BANKS INC UNITED STATES 511,300 12/31/1999 13G`
FX=,FH=	`TOTAL OF 11 OWNERS 5,156,309`
MF=	`MARKET VALUE(MILLIONS) 20 11/30/1999`

	`OWNERSHIP BY INSIDERS (SPECTRUM 6)`
	`RELATION FILING`
	`NAME OF INSIDER SHIP RANK LATEST TRADE SHARES HELD DATE`
/DO,DO=	`BABCOCK DICK VP 15 1,025 1,025 12/1999`
	`BECK DAVID F VP 9 -8,000 32,000 08/1997`
	`ELDER ALAN H D 6 0 132,867 10/1999`
	`ELDER GROUP INC D 1 15,000 614,600 09/1998`
	`FOLEY GEORGE L JR VP 12 0 10,000 05/1999`
	`JOHNSON KENNETH L VP 11 -72,200 27,040 08/1998`
	`NICHOLS GERARD K VP 8 -5,000 37,540 08/1999`
	`NUSS ELDON P D 10 -57,500 30,000 09/1997`
	`PENDLETON KIRK P D 14 2,000 2,000 02/1998`
	`RAKICH ROBERT T D 13 1,000 6,000 09/1998`
	`RUNNELS GERALD OX 3 -5,000 239,952 08/1998`
	`RUNNELS GERALD D VP 4 -10,000 229,952 08/1999`
	`SEVEDGE ROGER W D 5 0 164,552 02/1998`
	`TRULOVE HOWARD JOE VP 2 0 284,262 10/1999`
	`WILCOCK BILL W P 7 -5,000 106,300 11/1999`
DX=,DL=,DH=	`TOTAL OF 15 OWNERS -143,675 1,918,090`
ML=	`MARKET VALUE(MILLIONS) 7 12/31/1999`

	`OWNERSHIP SUMMARY`
	`NO. OF MARKET VALUE FILING`
	`OWNERS SHARES HELD ($MILLIONS) DATE`
	`INSTITUTIONS (SPEC 3) 17 3,811,778 15 06/30/2000`
	`5% OWNERS (SPEC 5) 11 5,156,309 20 11/30/1999`
	`CORPORATE INSIDERS (SPEC 6) 15 1,918,090 7 12/31/1999`

BASIC INDEX [top]

SEARCH SUFFIX	DISPLAY CODE	FIELD NAME	INDEXING	SELECT EXAMPLES
None	None	All Basic Index Fields	Word	S YORK
/CO	CO	Company Name¹	Word	S YORK(W)GROUP/CO
/DO	DO	Insider Name¹	Word	S DICK(1N)BABCOCK/DO
/FO	FO	5% Owner Name¹	Word	S SUNTRUST(1N)BANKS/FO
/HN	HN	Institutional Holder Name¹	Word	S LEGG(W)MASON/HN

¹Searchable in the Basic Index and in the Additional Indexes.

ADDITIONAL INDEXES [top]

SEARCH PREFIX	DISPLAY CODE	FIELD NAME	INDEXING	SELECT EXAMPLES
None	AZ	DIALOG Accession Number
CK=	CK	Class of Stock	Phrase	S CK=COM
CO=	CO	Company Name¹	Phrase	S CO=YORK GROUP?
CP=	CP	Closing Price	Numeric	S CP=4.00:8.00
CU=	CU	CUSIP Number	Phrase	S CU=98663210
DH=	None	Total Shares Held by Insiders	Numeric	S DH=1.5M:2M
DL=	None	Total of Latest Trades by Insiders	Numeric	S DL=-150K:-130K
DO=	DO	Insider Name¹	Phrase	S DO=BECK DAVID?
DX=	None	Total Insiders	Numeric	S DX=15:20
EX=	EX	Exchange	Phrase	S EX=NASDAQ?
FH=	FH	Total Shares Held by 5% Owners	Numeric	S FH=5M:6M
FO=	FO	5% Owner Name¹	Phrase	S FO=DALTON GREINER?
FX=	None	Total 5% Owners¹	Numeric	S FX=10:15
HC=	None	Total Latest Quarter Change in Shares	Numeric	S HC=-300K:-200K
HH=	None	Total Shares Held by Institutional Holders	Numeric	S HH=3M:5M
HN=	HN	Institutional Holder Name¹	Phrase	S HN=BARCLAYS BANK?
HX=	HX	Total Institutional Holders	Numeric	S HX=15:25
MD=	MD	Market Value Date	Phrase	S MD="06/30/2000"
MF=	SH	5% Owner Market Value	Numeric	S MF=18M:20M
MH=	SH	Market Value of Shares Held by Instit Holders	Numeric	S MH=12M:16M
ML=	SH	Inside Owners Market Value	Numeric	S ML=5M:10M
MV=	MV	Market Value of all Outstanding Shares	Numeric	S MV=32M:38M
NU=	CN	DISCLOSURE Company Number	Phrase	S NU=M200888000
OS=	OS	Outstanding Shares	Numeric	S OS=8M:10M
PC=	PC	Primary SIC Code	Phrase	S PC=3995
PD=	None	Publication Date	Phrase	S PD=20030930
SC=	SC	Standard Industrial Classification (SIC) Code	Phrase	S SC=3995
SS=	SS	Estimated Number of Shareholders	Numeric	S SS=40:50
TS=	TS	Ticker Symbol	Phrase	S TS=YRKG

SORT [top]

SORTABLE FIELDS	EXAMPLES
CK, CO, CP, CU, DH, DL, DX, EX, FH, FX, HC, HH, HX, MD, MH, MV, NU, OS, PC, SS, TS	SORT S3/ALL/TS PRINT S5/5/1-20/PC

RANK [top]

RANK FIELDS	EXAMPLES
All phrase- and numeric-indexed fields in the Additional Indexes can be ranked.	RANK HN S3

USER-DEFINED FORMAT OPTIONS [top]


User-defined formats may be specified using the display codes indicated in the Search Options tables.	TYPE S3/CO,MH,MD/1-3

PREDEFINED FORMAT OPTIONS [top]

NO.	DIALOGWEB FORMAT	RECORD CONTENT
1	--	DIALOG Accession Number
2	Medium	Basic Company Information
3	--	Company Name, Class of Stock, and Ownership Summary
4	--	Company Name, Class of Stock, and Ownership by 5% Owners SPECTRUM 5
5	--	Full Record
6	Short	Company Name and Class of Stock
7	Long	Company Name, Class of Stock, and Institutional Holdings SPECTRUM 3
9	Full	Full Record
17	--	Company Name, Class of Stock, and Ownership by Insiders SPECTRUM 6
K	--	KWIC (Key Word In Context) displays a window of text; may be used alone or with other formats

DIRECT RECORD ACCESS [top]

FIELD NAME	EXAMPLES
DIALOG Accession Number	TYPE 0003435/8 DISPLAY 0003536/3 PRINT 0003571/5

Rates [top]

Rates For File: TFSD Ownership Database[540]
Cost per DialUnit:                 $2.91
Cost per minute:                   $2.75
Rank Elements                      $0.00

Format    Types   Prints
     1    $0.00    $0.00
     2    $8.00    $8.00
     3    $8.00    $8.00
     4   $27.00   $27.00
     5   $67.00   $67.00
     6    $2.00    $2.00
     7   $27.00   $27.00
     9   $68.00   $68.00
    17   $27.00   $27.00
KWIC95    $0.00       NA
KWIC96    $0.00       NA

REDIST/COPY Multiplier Table:

      Range      Multiplier
        1-2       1.00
       3-25       1.50
     26-100       3.00
    101-200       4.00
    201-500       6.00
   501-1000       8.00
 1001 or more    10.00

ARCHIVE Multiplier Table:

      Range      Multiplier
       1-25       1.50
     26-200       3.00
    201-500       6.00
   501-1000       8.00
 1001 or more    10.00

[top]