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Subject:
Shareholder lists
Category: Business and Money Asked by: vercingatorix-ga List Price: $200.00 |
Posted:
26 Nov 2002 08:16 PST
Expires: 26 Dec 2002 08:16 PST Question ID: 114883 |
I wish to legally acquire a full or partial shareholder list for AT&T or any of its many spinoff entities or derivations, including SBC Communications, BellSouth, Verizon Communications, Qwest Communications, NCR, Lucent Technologies, or Agere. To get paid, the researcher needn't provide me with an actual list, though that would be nice. Pointing me to where I can get it would be sufficient. The money I posted is a start. For good information (ie. a very large list), I'll pay quite a bit more. I know I can get a list of major shareholders from the SEC. This is not what I want. I also realize I'm not likely to be able to get a complete list. But I want as large a list as possible. The size of the holdings is not important. In other words, I'm not just looking for a list of high-net-worth investors. Anbody who owns a few shares of one of the above stocks is fine. And names alone won't cut it. The list must contain addresses, and phone numbers would be a nice extra. Please don't lead me to legal links regarding the means to access shareholder lists. I understand that stockholders can access shareholder lists under certain circumstances that vary according to the laws of the state of incorporation. I'm looking for a place where I can get a whole or partial list from a third party, without jumping through the hoops. A somewhat outdated list would be acceptable, though there are limits. (Telling me everybody who owned AT&T stock in 1967 is not a valuable service). | |
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There is no answer at this time. |
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Subject:
Re: Shareholder lists
From: bootsy-ga on 02 Dec 2002 18:10 PST |
Hate to break it to you but what you are asking for is not possible, at any price. Major shareholders are easy - there are financial services firms that compile holdings for stocks (investment banks subscribe to these services, you can also get such info via a bloomberg terminal). But the information is limited to what is disclosed publicly - ie, large shareholders (funds, large investors, individuals with substantial ownership). What it seems you are looking for is something a little deeper - for example, what individuals might hold. Just not possible...you're talking about info that is known only to schwab, etrade, brokers, etc...and that information is NEVER made public except by court order. Sorry...good luck. Besides...something tells me these people wouldn't want any more junk mail or cold calls or solicitations to join class-action lawsuits. |
Subject:
Re: Shareholder lists
From: vercingatorix-ga on 03 Dec 2002 06:45 PST |
"Hate to break it to you but what you are asking for is not possible, at any price." Actually, that's not entirely true, though it's correct 99% of the time. A number of small, local companies make their shareholder lists public. Very few large companies do, of course, and none of the ones I listed above do that. However, partial shareholder lists do hit the public record from time to time. They're accidentally published during legal procedures or leaked during merger talks, or just pass from hand to hand one too many times and end up plastered on a Web site. Once the list is in the public record, it's fair game. I was just hoping that someone here knew about a situation in which all or part of a shareholder list fell into the public domain. If it did happen, it's worth money to me. If not, I've lost just $0.50 for the listing fee. And for the record, I don't care how much stock they hold. Only that they hold stock. |
Subject:
Re: Shareholder lists
From: pafalafa-ga on 19 Dec 2002 17:56 PST |
I can't weigh in too knowledgably on this discussion, but I did want to add what seems to me a tantalizing possibility. In a recent announcement of the annual meeting from Gap Inc., there is the following text [http://www.gapinc.com/financmedia/proxy_stmt/pdf/proxy_02.pdf]: "You must be a shareholder of record at the close of business on March 15, 2002 to vote at the Annual Meeting. A complete list of shareholders entitled to vote at this meeting will be available for inspection at our offices at Two Folsom Street, San Francisco, California for a period of ten days before the Annual Meeting." So apparently, the full list is made public sometimes, at least for limited scrutiny. How this works, whether or not the list is obtainable, why the Gap did it (do all public companies do it?) is beyond my ken. Perhaps a Google Answerer can provide more insight here. |
Subject:
Re: Shareholder lists
From: pafalafa-ga on 19 Dec 2002 18:00 PST |
Also have a look at: http://216.239.33.100/search?q=cache:Vfkt_-A2hQ8C:www.law.wfu.edu/courses/Corporations-Palmiter/Materia/Notes/IVA4_Notes.htm+%22list+of+shareholders%22+AT%26T&hl=en&ie=UTF-8 (sorry for the long URL) regarding Shareholder Right of Inspection. There may be more possibilities than first supposed for seeing the list(s) in question. |
Subject:
Re: Shareholder lists
From: vercingatorix-ga on 20 Dec 2002 13:41 PST |
Most if not all states require that some people with legitimate reasons have access to the shareholder list at set times. However, nowhere is most state laws does it say anything about copying the list. Shareholder lists may contain thousands of names. In the case of the companies I seek, tens of thousands. It's not something you could copy casually. |
Subject:
Re: Shareholder lists
From: arimathea-ga on 25 Dec 2002 17:00 PST |
SEC Rule 14a-7 says that if a company solicits proxies for the votes of its shareholders at a meeting, any shareholder eligible to vote and contesting the proposal can ask the company to provide a shareholder list so that the shareholder may contact other shareholders. If a company is unwilling to provide the list, it may instead offer to mail the shareholder's materials to other shareholders at his expense. The requesting shareholder must prove to the company that he does own shares and provide an affidavit or similar document describing what he is proposing in the solicitation or mailing. The requesting shareholder must also attest that the list will only be used with respect to the meeting for which the company is soliciting proxies. The company must notify the shareholder, within five business days of receiving the request, whether it will provide a shareholder list or mail the shareholder's materials. If the company decides to mail the shareholder's materials, it must also disclose how many shareholders will be solicited and what the solicitation will cost. The shareholder can also request that the company provide the shareholder list or mail his materials if the solicitation relates to a "going private" transaction or a "roll-up" of a limited partnership. SEC Rule 14d-5 relates to people making tender offer bids for securities. The target company must notify a bidder no later than the second business day after the bidder's request as to whether it will forward the bidder's tender offer materials to stockholders or provide a list of investors who hold the relevant stock. If the company decides to mail the tender offer materials, it has to start sending them out within three business days of getting the materials. On the other hand, if the company intends to hand over a stockholder list, it has three business days after receiving the bidder's request. Usually, companies opt to send out the bidder's materials rather than furnish a shareholder list. These are the only instances in which federal securities laws allow access to shareholder lists. However, a corporation's charter and by-laws, or the laws of the state where it is incorporated or does business, may provide for access to shareholder lists in other circumstances, usually when an investor shows a legitimate corporate purpose. Investors with questions about access to shareholder lists and relevant federal securities laws should contact the Office of Consumer Affairs, Securities and Exchange Commission, Washington, D. C. 20549. Questions relating to shareholder lists also may be directed to the state regulatory authority that oversees state securities laws or corporate matters for the state where the company is incorporated. SEC rules prohibit these companies from providing the lists except in the two above circumstances. |
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