Combined SEDAR + SEC Searching

1. By design, Avantis will return results from both jurisdictions if you have them both selected in the database selector
2. All active criteria will apply to results for both jurisdictions UNLESS the criteria are marked with a “CA” or “US” superscript, in which case they will not limit all of your search results but will instead only limit the results from that specified jurisdiction.
   

Video: Combined SEDAR + SEC Searching

Search Examples

1. ~Profile Type~  -  this has no “CA” or “US” in superscript so it applies to both jurisdictions
2. ~Document Category~  -  this has no “CA” or “US” in superscript so it applies to both jurisdictions 
3. ~Form Type (“US”)~  -  this has a “US” in superscript so it applies to only US results and has no effect on Canadian results
4. ~Document  Type (“CA”)~  -  this has a “CA” in superscript so it applies to only Canadian results and has no effect on US results
   
5. ~Industry [NAICS]~  -  this has no “CA” or “US” in superscript so it applies to both jurisdictions
   

Example #1 – mixing an unlimited criteria with a jurisdiction-specific criteria

1. SEC documents of ALL categories from coal mining issuers
1. NAICS applies to both jurisdictions, so the NAICS code will limit your SEC results to those filed by coal mining issuers
   
2. But no SEC ~Form Type~ or ~Document Category~ was chosen to limit the type of filing so your SEC results will span all document categories
   
2. SEDAR annual reports from coal mining issuers 
1. NAICS applies to both jurisdictions, so the NAICS code will limit your SEDAR results to those filed by coal mining issuers
   
2. In addition to that, the ~Document Type (“CA”)~ applies to SEDAR filings only (as indicated by the “CA” superscript) so your selection of [Annual Reports] will limit SEDAR results to only these kinds of filings
   

Example #2 – mixing a Canadian value with a contradictory US value

1. If, for example, you select Canadian [Annual Reports] in the ~Document Category~ criteria of a combined SEDAR + SEC search, and then click on the ~Profile Type~ criteria and select [Insider (“US”)], you will get zero results
1. The reason for this is that only Canadian companies file Canadian annual reports, and only US filers can have a profile type of Insider.  So Avantis will look for Canadian annual reports filed by US insiders, and it will find none.
   
2. In this case, both ~Document Category~ and ~Profile Type~ are jurisdiction-independent criteria that will affect both SEDAR and SEC search results
   
1. Although the specific value of [Insider (“US”)] under the ~Profile Type~ criteria is jurisdiction-specific, the overall ~Profile Type~ criteria is jurisdiction-independent so selections in this criteria apply to both SEDAR and SEC results

Example #3 – mixing CA and US jurisdiction-specific criteria 

1. If, for example, you select [Annual Reports] in the ~Document Type (“CA”)~ criteria of a combined SEDAR + SEC search, and then click on the ~Form Type (“US”)~ criteria and select [10-K – Annual Report Pursuant to Section 13 and 15(d)] in it, you will get annual reports from SEDAR and 10-Ks from the SEC.
1. The [Annual Reports] selection in the ~Document Type (“CA”)~ criteria only affects Canadian SEDAR search results and will limit them to being annual reports
   
2. The [10-K – Annual Report Pursuant to Section 13 and 15(d)] selection in the ~Form Type (“US”)~ criteria only affects US SEC results and will limit them to being 10-Ks
   

Example #4 - mixing criteria from the same jurisdiction that, nevertheless, contradict each other

1. If, for example, you developed the above search from example #3 by adding another criteria that restricted BOTH jurisdictions, such as ~Document Category~, and selected a conflicting value in it, such as [Financial Statements], you will get zero results
1. On the Canadian side, you’ve already stipulated you wanted only [Annual Reports] (in the ~Document Type (“CA”)~ criteria), and now you’ve added the stipulation that these annual reports also have to be [Financial Statements], which is impossible
   
1. A filing can be either a Canadian annual report or a Canadian financial statement, but cannot be both
2. In this case, even if we had no US-specific criteria in our search at all, we would still have a conflict with our Canadian search and would receive no results from it
2. Likewise, on the US side you’ve already stipulated that you wanted only  [10-K – Annual Report Pursuant to Section 13 and 15(d)] (in the ~Form Type (“US”)~ criteria) and now you’ve added the stipulation that these 10-Ks must also be Canadian financial statements (because the ~Document Category~ criteria applies to both CA and US  results since it has no superscript limiting to applying to only one jurisdiction), which is impossible
   
1. A filing can be either a US 10-K or else a Canadian financial statement, but it cannot be both
   

Retaining your criteria selections

1. When you log out and back into Avantis, your selections will be remembered
2. When you switch your jurisdictions from SEDAR + SEC to only SEDAR or only SEC, your selected criteria will be affected by the switch
   
1. Any criteria that do not apply to your active jurisdiction will temporarily disappear
   
2. When you switch back to SEDAR + SEC, Avantis will remember the criteria it removed when you switched to only one jurisdiction, and it will add those back to your search panel automatically