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Director and Officer Changes Search Guide
Who is this article for?Users who need to achieve this specific goal.
No elevated permissions are required.
1. General overview
- The Audit Analytics Director/Officer Change database covers all SEC registrants who have disclosed a director or officer change in Item 5.02 of an 8-K or 8-K/A since August 2004 and in 6-K and 6-K/A filings since January 2018.
- Per SEC requirements this includes all '33 and '34 Act filers.
2. Common uses
-
- Track Director and Officer changes to monitor for independence and relationships
- Use D&O changes to support business development initiatives
- Easily find departures triggered by internal or external investigations
- Know the reasons behind executive departures - resignations, terminations, etc. - to manage client relationships
- Follow board committee appointments and departures
The D&O Changes database is available online, through WRDS, and through data feeds [Feed17] with the relevant subscription.
- Saved Search Alert: Yes
- Daily Summary Email: Yes
3. Collection methodology
- The data has been extracted by filtering SEC filings for keywords and then manually analyzing the relevant director/officer change information.
- 6-K -> use keywords
- 8-K -> review everything in Item 5.02
4. Searching
The Director & Officer Changes search page offers the following filters:
| Name | Description | Data Dictionary Field(s) | Sort By? |
|---|---|---|---|
| Search by Ticker or CIK Code | Filter results to a specific population |
CIK Code Ticker |
Yes |
| Position | Filter by director/officer title as given in the filing. Reflects only the first position when there are multi8ple titles for one change | Title | No |
| Reason | Indicates the reason for the change | Reason | No |
| Market Index | Filter by principal exchange | Market | No |
| Text Search | Search full disclosure or last name using Boolean or text search | N/A | No |
| Action | Filters by the action that describes the change that has taken or will take place | Action | No |
| Market Cap | Filter by a range of market capitalization as of stock price | Market Cap ($) | Yes |
| Revenues | Filter by a range of past year’s total revenue | Revenue ($) | Yes |
| Search Industries | Filter by companies’ industry(s) |
SIC Code NAICS Code |
No |
| Company Location | Filter by current business address location(s) |
State Code State Name State Region County City |
Yes |
| File Date | Filter by date on which the filing was submitted to the SEC | Filing Date | Yes |
| Effective Date | Filter by date the change becomes effective, if given | Effective Date | No |
| Filter by Market | Filter by principal exchange | Market | No |
5. Results
- View results at the bottom of the page.
- Access the following via hyperlinks:
- Download D&O Changes Data Dictionary
- CSV file downloads:
- Download Director & Officer Changes data
- Definitions for all CSV fields are in the Data Dictionary
- Overview of individual company profiles
- Filing type (opens disclosure text for an entry):
- View all changes for a company in its overview profile.