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CXO PROJECT
Of
300 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

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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 22nd July 2014
Signature of Co. Supervisor

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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.

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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 us
grow 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 Companys Data Analyst of inspecting, cleaning,
transforming, and modeling data with the goal of discovering useful information, suggesting
conclusions, 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 that
data 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.

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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

CERTIFICATE

ACKNOWLEDGEMENT

EXECUTIVE SUMMARY

TABLE OF CONTENTS
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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INTRODUCTION

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LIST OF FIGURES
Description

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Line Of Business
PROJECT IN THE COMPANY
Directorship/Management:

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FIGURE No.

Page No.

1
2

15
18

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 contain
the 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 persons 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

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

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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 are
current 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
Key Positions - Board of Directors and Key Management Positions:
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 date.
In case retirement date is mentioned, capture it. Else take the annual meeting date or just 31st
December of the year he/she retired.

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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 executives 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

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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

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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 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.
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 employees.
Data analysts not only to understand and interpret data, but also to work with the organizations
leadership teams to facilitate strategic decisions

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SCOPE OF THE PROJECT

This research provides me with an opportunity to explore in the field of Data Research
Analyst.
This research also provides the feedback of people involved in the Data Research
Analyst Process.

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Apart from that it would provide me a great deal of exposure with the high profile
managers of the company.

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RESEARCH METHODOLOGY USED IN THIS PROJECT

RESEARCH DESIGN
Research design was adopted for the Exploratory Research Study. The main purpose of the
study was to formulate the problem in DATA ANALYSIS for investigation. The major emphasis
is to improve the RESEARCH DATA. The methods were used for the study-:
DATA Collection Methods
In the survey only one types of data were collected-:
1. SECONDARY DATA
Secondary data are those which have already been collected by someone else and hence passed
through the statistical process.
2. SECONDARY DATA COLLECTION
Secondary data were collected from the following sources-:
(A) Sec.gov
(B) Company Websites
(C) Google Finance

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(D) Yahoo.com

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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 man
months 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.

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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

300 plus

Skill development

Staffing

G.A.T.E

Talent Acquisition

Transformation
Outsourcing

Product
Development

On Demand

Map My Worth

Out Research
Outsourcing

Career Runway
Program

Contract Staffing

Job 4 Me

Technical
Assessment

Remote Infrastructure
Management
Technology Consulting

Data Management
Services

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Figure 1

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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 them
with 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 in
the staffing space. With companies across the globe laying critical emphasis on their human
resources management, our cost effective & consultative expertise makes us different from
others 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 covering
wide 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 world
wide)
Technology Consulting (Expert consultation on all sorts of Technology concerns)
Data Management Services (One stop shop for all Data related solutions)

Product Development

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

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Innovation is the fuel for growth. They believe in developing new ideas to cater the changing
needs 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.

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About 300 plus

Collaborated with AON Hewitt for candidate pre-assessment through G.A.T.E. Tool
Customized G.A.T.E. tool to generate Employability Report Card for each candidate to
qualify for our training program.
Initiated Certification in Corporate Excellence Program for fresher.
Improved Employability among engineers through their training program.
Received ISO 9001:2008 Certification for Quality Management System in 2013.
800+ trainees placed in last 18 months
75% training to placement conversion.
Delivered multiple projects on Data Analytics and Market Research for various clients
with exceeding expectations in last 3 years
1800 months of project delivery experience
100% refranceable clients
115 plus experienced technical experts on their
technologies which makes them portal independent

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panel which covers wide range of

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PROJECT IN THE COMPANY

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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 persons 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

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

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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 Executives
and Directors:
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.

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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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 Companys 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].

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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 executives 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.

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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:
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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 recent
management 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).

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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 positions:
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 PresidentDirector, 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 tenure
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.

Designation
Senior Vice President

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The case will be captured as below:

Name
Date/Tenure
Paul Glyer
1-Jan-1989 to 31-Dec-2013

Follow the rule sets listed below when capturing or verifying the Designations of Directors or Executives:
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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 single
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, it is
a helpful practice to go through the Table of Contents in the beginning of the filing.

Directorship/Management:

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

Key Positions - Board of Directors and Key Management Positions:

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
date.
In case retirement date is mentioned, capture it. Else take the annual meeting date or just 31st
December of the year he/she retired.

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End Date

For Other Senior Management Designations

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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
date.
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
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 its
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

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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 year
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 Executives
and Directors:
This should be copied from the mentioned Sources (websites, and SEC).
The contents of the biography can cover an executives 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

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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

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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 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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LITERATURE REVIEW

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DATA COLLECTION
Sources of Information:
The four main sources to be used for the project include, in order of priority:
1. Company
Website:-We
have
two
types
of
website
a. Corporate Websites (For example www.paccar.com, www.chevron.com
b. Consumer Websites (For example - www.apple.com, amazon.com )
For Corporate Websites, kindly follow the below mentioned steps:
Visit Company Website for the latest information relating to the Board of Directors
(B.O.D) and the Senior Management/Executive Team.
Look for keywords such as Board of Directors, The Board, Leadership Team, Executive
Team, Management, etc under sections such as
a) About Us
b)Leadership/Senior Management Team/Executive Team
c) Corporate Governance and d) Investor Relations.
From the Company Website, capture the exact Name, Designations and
Biographies of all Directors and Leadership/Senior Management Team/Executive
Team.
For Consumer Websites, kindly follow the below mentioned steps:
Visit Company Website for the latest information relating to the Board of Directors
(B.O.D) and the Senior Management/Executive Team.
Look for keywords such as site search or site map, and look for keywords such as Board
of Directors, The Board, Leadership Team, Executive Team, Management, etc under
sections such as:a) About Us
b) Leadership/Senior Management Team/Executive Team
c) Corporate Governance
d) Investor Relations.

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From the Company Website, capture the exact Name, Designations and
Biographies of all Directors

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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 Exchange
Commission (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.

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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 from
www.sec.gov:

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

Fig 5

Fig 6

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

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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 we
have entered CIK as 1028918)

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Fig 7

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Step 4: After typing your CIK number either press Enter or click on the Find Companies
button as shown below (marked as red).

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Fig 8

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

Fig 9

This page shows the Companys Name with its CIK (marked as green) and companys list of
filings. But we are concerned with the filings which has all the records of Executives in the
company. 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.

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example, the Companys 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

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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.

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Fig 11

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Step 8: After clicking on the latest file a page will appear as below. We will click on the first
link marked as red

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Fig 12

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Step 9: After step 8, a proxy statement page will appear which has all the records of the
Executives in the company.

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Fig 13

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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.

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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

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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

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Following are the steps to be followed to capture data from Google Finance:
Step 1: Go to http://www.google.com/finance

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Company

Name

in

Search

Box

and

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Step 2: Enter the assigned

For example - Apple Inc

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

enter.

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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.

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Step-2: Go to Companys official Press Release

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Step-3: Capture the appointment date

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For Resignation Dates

Step-1: Go to www.google.com and type in search Executive Name resigns Company Name
For e.g. Resignation Date of Steve Jobs of Apple Inc.

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Step-2: Go to Companys official Press Release

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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

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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).

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Provide information available about the Companys 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:

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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 executives 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 degrees from bio - Dont miss the degree information given in the Biography
Multiple degrees have been taken for a specific degree with one or two different
specialization 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

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Missing Designations Most of the errors are coming wherein people are missing
designations from SEC filings

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Errors Related to Committees:

Wrong Reporting year for committees
Wrongly taking two separate committees for one committee. For Example: Loren Buffy
is the member of Nominating and Corporate Governance Committee. In this case - You
should have to capture it as it is given but not as two separate committees i.e. Nominating
Committee and Corporate Governance Committee)
Taking committees for previous directors
Sentence Case Error

Errors Related to Source Links:

Missing Source Links.
Not providing source link for some specific information related to dates, age and degrees
etc.
One of the examples of the errors being made - For Example : If an executive is found in
2013 def filing but his appointment date for a specific designation is founds in 8-k filing
than you have to provide both the source links related to this executive i.e. one source
link should be provided in the source link box and the second source link in the comment
box with a specification

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Some useful Information :-

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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 cross
check start and end date on Excel using ( 8-k )

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Use COMMENTS wisely If you are really unable to find information, please write
down in the comment box. PLEASE DONT MISUSE comment 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. Holding
companies 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

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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

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Training manual
Company website
Sec.gov
Google finance