Lexis®  Securities Mosaic®
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FAQs

What is Lexis Securities Mosaic?

Lexis Securities Mosaic is a research platform offering powerful searching on primary materials relevant to securities disclosure, transactions, regulation, enforcement, and compliance. We offer databases of SEC EDGAR Filings, Comment Letters, No-Action Letters, 144As, and more.


How is Lexis Securities Mosaic different from other, similar products in the market?

The key is that all these databases are available on one platform, for a single subscription. Only Lexis Securities Mosaic offers access to the full range of essential regulatory and disclosure materials for a single, flat-rate subscription, with everything you need in one place.


How does Lexis Securities Mosaic fit with other LexisNexis products in the securities practice area?

Lexis Securities Mosaic is a deep research platform offering powerful, granular access to materials important to transactional attorneys. Lexis.com and Lexis Advance offer broader research databases for transactional and litigation attorneys alike (including searchable court cases). Also for securities practitioners, LexisNexis offers products for practical guidance (Lexis Practice Advisor) and current awareness (Law360).


Who uses Lexis Securities Mosaic?

We primarily serve lawyers and legal researchers, especially in Securities and adjacent corporate practice areas, but also compliance officers, corporate secretaries, analysts, business journalists, and other professionals who work with the data we provide. Our subscribing organizations include most of the top North American Law Firms, major Fortune 500 companies, top accounting firms, financial institutions, federal agencies, and academic institutions.


How long has Lexis Securities Mosaic been around?

Lexis Securities Mosaic was born in 2001, going by the name of Securities Mosaic until 2010. It became part of the LexisNexis family in 2013.


What advantages does Lexis Securities Mosaic give me over a free site like Google or sec.gov?

There are many, but the main advantage is increased efficiency, which saves you time, and therefore money. The advanced search templates and powerful workflow tools available from Lexis Securities Mosaic will not only allow you to do your work more quickly, but will also yield more relevant – and thus more valuable – results.


How can I use Lexis Securities Mosaic to search on a company’s beneficial owners?

Where you search depends on exactly what you're looking for. Beneficial Ownership tables are a required part of every company's Annual 10-K Report (and can also be found in Registration Statements and certain Proxy Statements), and may be all you need. Otherwise, supplement with event-driven filings--those triggered by specific changes to a company's ownership makeup. These include the ubiquitous forms 3 and 4 for 10%+ owning “insiders,” and Schedules 13D and 13G for 5%+ “outsider” owners. For the latter, use our Beneficial Ownership Form Group.


When I’m doing an SEC Filings search, how can I get a snapshot of company information for a filer?

Our SEC Filings page results display allows you an optional expanded view for more detailed information about each filer on your list. Just click on the + Company link on the right hand side of your screen to view company information for a single record--or, if you prefer, for all results in the frame. For even more detail, click the Info link next to each filer’s name. In addition to offering industry and financial information, this page allows you to run, with a single click of the mouse, a query for all filings made by the company.


How can I sign up to receive (or opt out of) Lexis Securities Mosaic news emails?

If you receive your Lexis Securities Mosaic news emails directly from us, you can now reconfigure your news profile yourself, anytime, anywhere, using our new News Preferences page. Want to add the Securities Mosaic® Blogwatch to your current news lineup? Now you can do so online. Leaving for a two-week vacation in Maui and want to suspend reception of all news publications? You can do that too. Just log in on your personal account and you’re ready to roll.


How can I get coverage and other essential data details for a given search page?

To get information on data sources, coverage, and update schedules, just click the Data Details link, located in the upper right corner of ever search page on Lexis Securities Mosaic.


How can I search on company proposals to shareholders?

To locate proposals to shareholders in proxy statements, begin by selecting Form Group Proxies (Preliminary) - PRE or Proxies (Definitive) - DEF (or both) on our SEC Filings page. Then refine with text search or other relevant filters. Boolean operators and nested searching may be invaluable for more targeted searches. For example, to find proposals to split the CEO and Chairman of a company into two positions, try this text string: ((propose or proposal) w/15 split) w/25 ((ceo OR chief executive) w/10 chairman).


How can I search SEC Filings by industry sector?

Narrowing your search by SIC or NAICS codes allows you great precision in filtering companies belonging to a certain industry. However, if efficiency is more important to you than precision, we recommend our Industry menu (which is extracted from the NAICS list). To scroll through industries beginning with a certain letter of the alphabet, click into the menu and type the letter until you see your entry. For example, to locate companies in the “Computer and Electronic Manufacturing” industry, click on the Industry menu and type the letter C until that entry appears.


How can I find a list of subsidiaries for a company?

To locate a company's list of subsidiaries, start on our SEC Filings page, and select the radio button next to "Exhibits Only." Enter the parent company in the Company Name box, then select Exhibit 21: Subsidiaries of the Registrant in the Exhibit Numbers menu. It's generally best to limit your search to the last 12 months at first; you can always widen the time frame if that yields no results.


How can I use Lexis Securities Mosaic to search on IPOs?

We offer an IPO search that lets you pull up only those filings associated with initial public offerings (including registration statements, prospectuses, and pricing supplements) and gets rid of everything else. Check “Limit Search to IPOs” under the “Forms & Exhibits” section of our SEC Filings page and combine with any other relevant parameters. To see only one result per company, consider limiting your form type to initial registrations (S-1, F-1, S-11, N-2).


How can I find an example of a Merger Agreement using Lexis Securities Mosaic?

The fastest, easiest way is to go to our Model Business Documents search page. Just type in “merger agreement,” or select it from the list of documents, and you’ll see thousands of results. Use the sidebar filters to refine further.


How can I find reverse mergers on Lexis Securities Mosaic?

The rough-and-ready way to find reverse merger activity on our SEC Filings page is to do a search on 8-K Item 5.06, “Change in Shell Company Status,” using our 8-K Item search scope. In a reverse merger transaction, a private company (the operating company) is absorbed into a public shell company, thus changing the status of that company and triggering the need for Item 5.06 disclosure. The search, of course, can be refined by including additional search parameters, such as company location, industry, or time frame.


What are the system requirements to access Lexis Securities Mosaic?

Lexis Securities Mosaic is a web-based service. To access, we recommend using one of the following browser versions:

  • Internet Explorer® 9 or higher
  • Google Chrome 49 or higher
  • Firefox 40 or higher