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Financial Instruments

Overview of ownership of assets and debt in the financial marketplace.

Business Librarian

Irene Weiner's picture
Irene Weiner
Contact:
518 8th St.
Baldwin City, KS 66006

Collins Library
Rm. 205
785-594-8445

Stock ownership

Corporate insiders – meaning a company's officers and directors, and any beneficial owners of more than ten percent of a class of the company's equity securities registered under Section 12 of the Securities Exchange Act of 1934 – must file with the SEC a statement of ownership regarding those securities.  An overview of pertinent filings is here: http://www.sec.gov/answers/form345.htm

For search instructions see: 
https://www.sec.gov/investor/pubs/edgarguide.htm#P329_34526
under:
Section F. Insider Transactions

To find major stock ownership, go to:
Yahoo! Finance

  1. Look up the stock ticker in the search box.
  2. Navigate down the left column to "ownership".
  3. You can choose from Major Holders, Insider Transactions, or Insider Roster.
  4. This will give you the most current number of directly held shares.

Splits

IPOs

Read about IPOs

Old Stock Certificates/ Obsolete Securities

We don't own these titles and you may not be able to request them on Interlibrary Loan.

However, you might be able to see them at a library near your home; you can do the following:
1.
Select the title. Once the library record appears,
2. Select the link,
Worldwide Libraries Own this Item

WMS worldwide libraries
2. Once the screen opens, enter your zip code to find a library near your home that owns the title.

Wall Street Journal article:

Wealth Management (A Special Report) --- The Value of Old Money: Those long-ago-issued stock and bond certificates you've discovered may actually be worth something; Here's how to find out Rosenthal, Rachel . Wall Street Journal , Eastern edition; New York, N.Y. [New York, N.Y]10 June 2013: R.4.

Note:

If you are not currently either on campus or already logged into your Baker Library account, you will be prompted to log in with your Baker ID to see this article.