Capital Markets Intelligence

  • Strategic Stock Surveillance
  • Shareholder and bondholder ownership analysis, targeting and profiling
  • Activist Watch

Strategic Stock Surveillance

Strategic decision making is essential for any successful company. To do so, companies must be equipped with the most complete and accurate information. For publicly-traded companies, this includes up-to-date information available about who your stockholders are and what they think about you.

Although accurate market information is necessary, ascertaining it can be a challenging process. Many institutional investors are required to make disclosures on their holders but this information only provides a partial snapshot in time and is outdated from the moment it is filed. The reason this information is dated is that institutional filings are only required to be made on a quarterly basis and, even then, minimally 45 days after quarter-end. The result of this regulatory construct is a gap of up to 135 days in receiving intelligence and, once received, is already outdated!

Our extensive experience, strong knowledge of the investment community and ability to provide timely and accurate market intelligence, while maintaining a low profile, separates us from our competitors. Our long-standing relationships with leading institutional investors, banks and brokerage firms allow us to identify ownership characteristics of major institutional investors, non-filing hedge funds and other entities. We analyze and provide comprehensive assessments of a client's entire ownership base – including institutions and the influence of proxy advisory firms, individuals, employees and non-U.S. investors.

Activist Watch

Corporate actions are currently subjected to greater scrutiny than at any other time. Activists use numerous techniques to mask their intended targets. Our Strategic Stock Surveillance Group provides clients with a thorough understanding of who owns their stock and who is buying their stock on a real-time basis, enabling us to provide insight and understanding of the shareholder composition, profile, and trading activity. We clarify whether the threat comes from an existing shareholder that has become dissatisfied or a new investor with a position that is most likely established to launch an activism campaign. We have substantial experience with the hedge funds that practice shareholder activism, and knowledge of the various approaches and the tactics they employ. The intelligence we provide clients in this highly-specialized area is invaluable.

Ownership Analysis, Targeting and Profiling

Using our vast database and proprietary analytics tools, Morrow Sodali can create a shareholder profile for your existing shareholder base and a targeting tool identify optimal potential shareholders. For this, we provide a detailed analysis of the investor community and help with the logistics for road shows.

For further inquiries, please contact our Business Development Department