WO2014176658A1

WO2014176658A1 - Computer system and user interfaces for corporate governance data visualization

Info

Publication number: WO2014176658A1
Application number: PCT/CA2013/000550
Authority: WO
Inventors: Kenneth R. Watson; Mark C. Mcloughlin; Tony FABRIKANT
Original assignee: Tsx Inc.
Priority date: 2013-04-30
Filing date: 2013-06-05
Publication date: 2014-11-06

Abstract

A server and a method for outputting data for rendering corporate governance data on a display to client devices are provided. The server includes a network interface, a memory storage unit and a processor for carrying out the method. The method involves receiving corporate governance data, storing the corporate governance data, receiving a query, retrieving a data record, and transmitting output data to a display.

Description

COMPUTER SYSTEM AND USER INTERFACES FOR CORPORATE GOVERNANCE

DATA VISUALIZATION

FIELD [0001] The present specification relates generally to computers and methods carried out by computers, and more particularly to computers maintaining data records and computer-based methods for maintaining and managing data records.

BACKGROUND

[0002] Companies make certain decisions by carrying conducting votes in which the investors in the company cast votes. For publicly traded companies, the results of the votes must be reported to a governing body. In addition, when a publicly traded company casts votes for shares it holds in another company, the voting company must report how it had voted its shares.

[0003] US 2010/0312602, which is incorporated herein by reference, may be referenced for other computer systems, servers, devices, and user interfaces, which that can be adapted to process and output data as discussed herein.

SUMMARY

[0004] In accordance with an aspect of the specification, there is provided an application server for outputting data for rendering corporate governance data on a display. The application server includes a network interface for receiving the corporate governance data from a data source. The corporate governance data includes a plurality of data records. The plurality of data records includes a cumulative data record. The cumulative data record includes cumulative results on a vote issue. The network interface is configured to receive input representing a query for a requested data record from an electronic device and to transmit output data to a display. The output data is for rendering a representation of at least a portion of the requested data record. The application server further includes a memory storage unit for storing the plurality of data. In addition, the application server includes a processor in electrical communication with the network interface and the memory storage unit. The processor is configured to retrieve the requested data record from the memory storage unit. [0005] The plurality of data records may further include a voter data record. The voter data record may include voter data corresponding to cast votes.

[0006] The network interface may be configured to receive the corporate governance data from a plurality of data sources.

[0007] The plurality of data sources may include a first data source providing the cumulative data record and a second data source providing the voter data record from.

[0008] The cumulative data record may be in a first format and the voter data record may be in a second format. The first format may be different from the second format.

[0009] The processor may be further configured to normalize at least one of the first data record and the second data record into a normalized format. [0010] The processor may be further configured to correlate the requested data record with an additional data record from the plurality of data records. The requested data record may be the cumulative data record and the additional data record may be a voter data record. The voter data record may include voter data corresponding to cast votes. [0011] In accordance with an aspect of the specification, there is provided a method of outputting data for rendering corporate governance data on a display. The method involves receiving the corporate governance data from a data source. The corporate governance data includes a plurality of data records. The plurality of data records includes a cumulative data record. The cumulative data record includes cumulative results on a vote issue. The method further involves storing the plurality of data records in a memory storage unit. In addition, the method involves receiving input representing a query for a requested data record. Furthermore, the method involves retrieving the requested data record from the memory storage unit. Also, the method involves transmitting output data to a display. The output data is for rendering a representation of at least a portion of the requested data record.

[0012] The plurality of data records may further include a voter data record. The voter data record may include voter data corresponding to cast votes.

[0013] Receiving the corporate governance data may involve receiving the corporate governance data from a plurality of data sources.

[0014] Receiving the corporate governance data may involve receiving the cumulative data record from a first data source and receiving the voter data record from a second data source.

[0015] Receiving the cumulative data record may involve receiving cumulative data record in a first format and receiving the voter data record involves receiving the voter data record in a second format. The first format may be different from the second format.

[0016] The method may further involve normalizing at least one of the first data record and the second data record into a normalized format. [0017] The method may further involve correlating the requested data record with an additional data record from the plurality of data records. The requested data record may be the cumulative data record and the additional data record may be a voter data record. The voter data record may include voter data corresponding to cast votes.

[0018] Transmitting output data may involve transmitting output data to render a table presenting data associated with the requested data record and the voter data record.

[0019] Transmitting output data may involve transmitting output data to render a chart presenting data associated with the requested data record and the voter data record. [0020] Transmitting output data may involve transmitting output data to render a grid arrangement presenting data associated with the requested data record and the voter data record.

[0021] Rendering a representation may involve rendering a plurality of tiles. Each tile of the plurality of tiles may correspond to a data record of the plurality of data records. The colors may be used to identify results of the vote.

[0022] Transmitting output data may involve transmitting output data to render a grid arrangement presenting data associated with the requested data record and the voter data record.

[0023] Receiving input representing a query may involve receiving input representing a query for cumulative data records of large companies.

[0024] The method may further involve receiving input representing a second query for voter data records associated with a cumulative data record. [0025] In accordance with an aspect of the specification, there is provided a non- transitory computer readable medium encoded with codes. The codes are for directing a processor to receive, via a network interface, the corporate governance data from a data source. The corporate governance data includes a plurality of data records. The plurality of data records includes a cumulative data record. The cumulative data record includes cumulative results on a vote issue. The codes are also for directing a processor to store the plurality of data records in a memory storage unit. In addition, the codes are for directing a processor to receive, via a network interface, input representing a query for a requested data record. Furthermore, the codes are for directing a processor to retrieve the requested data record from the memory storage unit. The codes are also for directing a processor to transmit, via a network interface, output data to a display. The output data for rendering a representation of at least a portion of the requested data record.

BRIEF DESCRIPTION OF THE DRAWINGS [0026] Reference will now be made, by way of example only, to the accompanying drawings in which:

[0027] Figure 1 is a schematic representation of a system for outputting data for rendering corporate governance data;

[0028] Figure 2 is a schematic representation of a data server in accordance with the embodiment shown in Figure 1 ;

[0029] Figure 3 is a schematic representation of a electronic device in accordance with the embodiment shown in Figure 1 ;

[0030] Figure 4 is a schematic representation of an application server in accordance with the embodiment shown in Figure 1 ;

[0031] Figure 5 is a flow chart of a method of outputting data for rendering corporate governance data;

[0032] Figure 6 is a sequence diagram illustrating the method of shown in Figure 5;

[0033] Figure 7 is a diagram of corporate governance data visualization output in accordance with an embodiment;

[0034] Figure 8 is a diagram of a selection user interface displaying selectable tiles for corporate governance data visualization in accordance with the embodiment shown in Figure 7;

[0035] Figure 9 is a diagram of a ballot result category user interface for displaying ballot results of the corporate governance data in accordance with the embodiment shown in Figure 7;

[0036] Figure 10 is a diagram of an issuer ballot result user interface for displaying details of ballot results of the corporate governance data in accordance with the embodiment shown in Figure 7;

[0037] Figure 11 is a screen shot showing a user interface accepting a query;

[0038] Figure 12 is a screen shot showing results of the query in accordance with the embodiment shown in Figure 11 ;

[0039] Figure 13 is a screen shot showing an additional query in accordance with the embodiment shown in Figure 11 ; [0040] Figure 14 is a screen shot a tile representation in accordance with the embodiment shown in Figure 11 ; and

[0041] Figure 15 is a screen shot a tile representation zoomed in and in accordance with the embodiment shown in Figure 14.

DETAILED DESCRIPTION OF THE EMBODIMENTS

[0042] Referring now to Figure 1 , a computer system that can be configured to process, store, and output corporate governance data is generally shown at 50 and discussed herein. It is to be understood that the system 50 is purely exemplary and with the benefit of this description, it will become apparent to those skilled in the art that variations on system 50 are contemplated. In general, the computer system 50 generates data for output at a user interface. In the present embodiment, the computer system 50 includes an application server 62, data servers 52, 54, 56, and electronic devices 57, 58, 59 interconnected by a network 66.

[0043] The data servers 52, 54, 56 can be any type of corporate governance data source configured to provide data corresponding to results from prior external votes. It is to be appreciated that, with the benefit of this specification, prior external votes can include proxy votes cast by any investor. In particular, the external votes include prior votes cast by investors associated with the electronic devices 57, 58, 59 as well as other companies associated with other electronic devices. As an example, the data servers 52, 54, 56 can be a publicly available data source such the Electronic Data- Gathering, Analysis, and Retrieval ("EDGAR") database maintained by the Securities and Exchange Commission ("SEC"). As another example, the data servers 52, 54, 56 can be a commercial data provider of corporate data. It is to be re-emphasized that the structure shown in figure 1 is a non-limiting representation. Although the present embodiment shown in figure 1 includes three data servers 52, 54, 56, it is to be understood that the system 50 can be modified to include more or less data servers. Furthermore, in other embodiments, each data server 52, 54, 56 can provide different types of data records or the data servers 52, 54, 56 can be mirrors of each other to provide redundancy in the system 50 as well as faster access times.

[0044] The corporate governance data from the data servers 52, 54, 56 is not particularly limited and includes a wide variety of data. In particular, the format and the types of data are not limited. For example, in the present embodiment, the corporate governance data can include portions of various forms filed at the SEC such as a proxy statement (Form DEF 14-A). It is to be appreciated, with the benefit of this description, that the corporate governance data is not limited to the filings directly related to a proxy vote. For example, the corporate governance data can also include relevant information relating to the corporation which can affect a proxy vote. Examples of other filings that can be included in corporate governance data such as annual and quarterly reports (Forms 10-K and 10-Q, respectively), interim reports (Form 8-K), press releases from a company, and data provided by third party providers, such as rating agencies.

[0045] In a general sense, the electronic devices 57, 58, 59 can be any type of computing device configured to communicate over the network 66 for sending and receiving data. In particular, the electronic devices 57, 58, 59 can include programming instructions in the form of codes stored on a computer readable medium. The programming instructions can direct a processor to perform the functions described in greater detail below. The electronic devices 57, 58, 59 are not particularly limited and can include any one of a personal computer, a laptop computer, a portable electronic device, a mobile computing device, a portable computing device, a tablet computing device, a notebook computer, a personal digital assistant, a cell phone, a smart phone, a printer, a scanner, a router or the like. It is to be emphasized that these particular client machines are merely examples and that a vast array of other types of computing devices capable of functioning as one or more of the electronic devices 57, 58, 59 are within the scope of the invention. In addition, although the present embodiment shown in figure 1 includes three electronic devices 57, 58, 59, it is to be understood that the system 50 can be modified to include more or less electronic devices and the electronic devices can include various types of devices or can be similar devices. [0046] In the present embodiment, the electronic devices 57, 58, 59 are configured with accounts maintained at the application server 62. Accordingly, credential verification can be performed there-between before data is sent from the application server 62 to the electronic devices 57, 58, 59. It is to be appreciated that this feature allows the application server 62 to control the dissemination of the corporate governance data such that the operator of the application server 62 can charge a fee for obtaining corporate governance data and providing the corporate governance data in various representations to the electronic devices 57, 58, 59. For example, in some embodiments, the application server 62 can filter the corporate governance data on an account setting, so that, for example, a specific account member, such as one of a corporate secretary or related personnel of an account can access data for that account.

[0047] The application server 62 is configured to obtain corporate governance data from one or more data servers 52, 54, 56, which can be public or proprietary data sources of financial and corporate governance data. It is to be appreciated that the application server 62 can be any type of server configured to collect corporate governance data received from the data servers 52, 54, 56 and receive input corresponding to a query from the electronic devices 57, 58, 59 via the network 66. The configuration of the computing environment of the application server 62 is not particularly limited and can be any one of several high performance commercially available server systems. Alternatively, the application server 62 can be a desktop personal computer or any one of the devices mentioned above in connection with the electronic devices 57, 58, 59. It is to be appreciated that less powerful computing devices can be used for the application server 62 to reduce costs for systems not requiring a server with large processing power, such as a system having to a relatively small amount of client machines. [0048] The network 66 is not particularly limited and can include any type of network such as the Internet, an intranet or a local area network, or a mobile network. In some embodiments, the network 66 can also be modified to include a peer to peer network.

[0049] In general terms, the system 50 is configured to output data for rendering corporate governance data on a display. It is to be re-emphasized that the system 50 shown in figure 1 is a non-limiting representation only. Notwithstanding the specific example, it is to be understood that other equivalent systems can be devised to perform the same function as the system 50. For example, although the present embodiment depicts the electronic devices 57, 58, 59 as being separate device connected to the network 66, the system 50 can be modified such that the electronic devices 57, 58, 59 and the application server 62 operate from the same computing device for sharing resources. For example, each issuer (also referred to herein as a company) can have an application server 62 at the issuer's location such that corporate governance data can be directly inputted in the application server 62 without using separate electronic devices 57, 58, 59. As another example, although the present embodiment depicts the network 66 as a single network, other embodiments can include a one or more private networks and/or one or more public networks, where each network can be behind a firewall. For example, separate networks can be used for connecting the application server 62 to each of the data servers 52, 54, 56 and the electronic devices 57, 58, 59.

[0050] Referring to figure 2, a schematic block diagram of the electronic components of a computer that can be used as one or more of the data servers 52, 54, 56 is shown. It should be emphasized that the structure in figure 2 is purely exemplary and that several different implementations and configurations for the data servers 52, 54, 56 are contemplated. In the present embodiment, the data servers 52, 54, 56 are configured to provide a response to a query received over the network 66 to provide corporate governance data. Each of the data servers 52, 54, 56 includes a processor 70, a network interface 74, and a memory storage unit 78. The network interface 74 and the memory storage unit 78 are each in electrical communication with the processor 70.

[0051] The processor 70 is generally configured to execute programming instructions 200 for receiving requests for corporate governance data via the network interface 74. In the present embodiment, the request received by the processor 70 includes a data message identifying a specific data record 202-1 , 202-2, or 202-3. The programming instructions 200 further cause the processor 70 to retrieve the data records 202-1 , 202-2, or 202-3 identified in the request. The programming instructions 200 further direct the processor 70 to transmit the data record 202-1 , 202-2, or 202-3 via the network interface 74.

[0052] The network interface 74 is not particularly limited and can include various network interface devices such as a network interface controller ("NIC"). In particular, the network interface 74 is generally configured to send and receive data from the network 66. For example, the network interface 74 can send data to the network 66 and receive data from the network 66 using a data link layer standard such as Ethernet, Wi- Fi, or Token Ring. Alternatively, for variations where the corporate governance data source is provided by a mobile server, the network interface can also send and receive data via m obile network (such as, but not limited to, fourth generation (4G), third generation (3G), code division multiple access (CDMA), Groupe Special Mobile (GSM) or Long Term Evolution (LTE) standards).

[0053] The memory storage unit 78 can be of any type such as non-volatile memory (e.g. Electrically Erasable Programmable Read Only Memory (EEPROM), Flash Memory, hard disk, floppy disk, optical disk, solid state drive, or tape drive) or volatile memory (e.g. random access memory (RAM)). Although the memory storage unit 78 is generally a type of non-volatile memory because of the robust nature of non-volatile memory, some embodiments can use volatile memory in situations where high access speed to the corporate governance data is desired. In the present embodiment, the memory storage unit 78 is a non-volatile memory unit storing plurality of corporate governance data records 202-1 , 202-2, and 202-3. In the present embodiment, each of the corporate governance data records 202-1 , 202-2, and 202-3 can represent a separate SEC filing. Alternatively, each of the corporate governance data records 202- 1 , 202-2, and 202-3 can include data related to a group of companies sharing a common characteristic, such as a common industry.

[0054] Referring to figure 3, a schematic block diagram of the electronic components of the electronic devices 57, 58, 59 is shown. It should be emphasized that the structure in figure 3 is purely exemplary and that several different implementations and configurations for the electronic devices 57, 58, 59 are contemplated. In the present embodiment, each of the electronic devices 57, 58, 59 can be any type of computing device used to communicate with the application server over the network 66. Each of the electronic devices 57, 58, 59 includes a processor 82, network interface 86, an output device 90, an input device 94, and a memory storage unit 98 in electrical communication with each other.

[0055] The processor 82 is generally configured to execute programming instructions 204 for sending and receiving data via the network interface 86. In particular, the processor 82 is configured to command the components of the electronic devices 57, 58, 59.

[0056] The network interface 86 is not particularly limited and can include various network interface devices such as a network interface controller (NIC). In particular, the network interface 86 is generally configured to send and receive data from the network 66 and can include devices such as those described above in connection with the data servers 52, 54, 56.

[0057] The output device 90 is not particularly limited and can include a variety of different types of devices such as various types of screens which can include an array of light emitting diodes (LED), liquid crystals, plasma cells, organic light emitting diodes (OLED), or an electrophoretic ink (E-ink) screen. In addition, the output device 90 can include printers for printing projections, speakers or another processor configured to forward the projection to another device for use. It is to be appreciated that the electronic devices 57, 58, 59 can each be configured to display a user interfaces such as those described elsewhere herein using the output device. [0058] The input device 94 is not particularly limited and can include a variety of different types of devices receive input at an issuer. For example, the input device 94 can be a touch-screen, keyboard, and/or mouse. It is to be appreciated that variations are contemplated. For example, in some embodiments, the output device 90 and the input device 94 that can be combined in a touchscreen configured to receive input and display output. It is to be appreciated that the electronic devices 57, 58, 59 can receive related input, which can trigger the electronic device 57, 58, 59 to request additional data, for example, from the application server 70 regarding the data to be rendered on the display device 90.

[0059] Similar to the memory storage unit 78, the memory storage unit 98 can be of any type such as non-volatile memory including types mentioned above. Although the memory storage unit 98 is generally a type of non-volatile memory because of the robust nature of non-volatile memory, some embodiments can use volatile memory in situations where high access speed is desired. In the present embodiment, the memory storage unit 98 is a non-volatile memory unit storing a governance database 208. The governance database 208 includes data relating to the corporate governance of a corporation stored locally on the electronic devices 57, 58, 59 for faster retrieval. It is to be appreciated, with the benefit of this specification, that the governance database 208 generally stores corporate governance data that is frequently requested by the processor 82 such that the electronic devices 57, 58, 59 does not constantly request the data from the data servers 52, 54, 56. Accordingly, when the governance database 208 has received corporate governance data, the governance database 208 can be used to provide the corporate governance data on a fast basis.

[0060] It is to be appreciated that, in general, each of the electronic devices 57, 58, 59 includes programming instructions 204 in the form of codes stored on a computer readable medium. For example, the electronic devices 57, 58, 59 can be any one of a personal computer, a laptop computer, a portable electronic device, a gaming device, a mobile computing device, a portable computing device, a tablet computing device, a personal digital assistant, a cell phone, a smart phone or the like. In the present embodiment, the electronic devices 57, 58, 59 are configured to receiving input corresponding to governance data and issue data of an issuer.

[0061] It is to be appreciated that variations are contemplated. For example, in other embodiments, the governance database 208 can be stored on an external memory storage device (not shown) connected to the network 66 or omitted to say processor resources at the electronic devices 57, 58, 59. [0062] Referring to figure 4, a schematic block diagram of the electronic components of a computer that can be used as the application server 62 is shown. It should be emphasized that the structure in figure 4 is purely exemplary and that several different implementations and configurations for the application server 62 are contemplated. In the present embodiment, the application server 62 can be any type of computing device configured to receive data, store the data, receive a query, and retrieving the appropriate data record. The application server 62 includes a processor 102, a network interface 106, and a memory storage unit 110 in electrical communication with each other. It is to be appreciated that in the present embodiment, the application server 62 can be optionally configured to store and maintain the corporate governance ballot categories and items and can further be configured to process data from the data servers 52, 54, 56 to optimize the process for retrieving requested data records.

[0063] The processor 102 is generally configured to execute programming instructions 212 for receiving a query and returning a data record requested in the query.

[0064] The network interface 106 is not particularly limited and can include various network interface devices such as a network interface controller (NIC). In particular, the network interface 106 is generally configured to send and receive data from the network 66 and can include devices such as those described above in connection with the data servers 52, 54, 56. The network interface 106 can be of the same type as the network interface 74 and/or the network interface 86. Alternatively, the network interface 106 can be of a different type.

[0065] Similar to the memory storage unit 78, the memory storage unit 110 can be of any type such as non-volatile memory including types mentioned above. Although the memory storage unit 110 is generally a type of non-volatile memory because of the robust nature of non-volatile memory, some embodiments can use volatile memory in situations where high access speed is desired. In the present embodiment, the memory storage unit 110 is a non-volatile memory unit storing an application database 216. The application database 216 includes data relating to the corporate governance of a corporation stored locally on the application server 62 for faster retrieval. In the present embodiment, the application database 216 has been normalized to further optimize the retrieval of a data record. However, it is to be appreciated by a person of skill in the art that the normalization step is optional. In particular, storing the application database 216 locally on the application server 62 can reduce the amount of communication between the application server 62 and the data servers 52, 54, 56. For example, the data servers 52, 54, 56 may be configured to provide data in the form of data feeds, and the application server 62 may be configured to capture the data from the feeds and store captured data in the application database 216, after performing any normalization or data formatting that may be required. In some embodiments, the database 216 can be implemented on a server that is distinct and remote from the application server 62. [0066] Referring now to figure 5, a method of outputting data for rendering corporate governance data on a display is represented in the form of a flow-chart and indicated generally at 500. In order to assist in the explanation of the method 500, it will be assumed that the method 500 is performed using the system 50. Furthermore, the following discussion of the method 500 will lead to further understanding of the system 50 and its various components. However, it is to be understood that the system 50 and/or the method 500 can be varied, and need not work exactly as discussed herein in conjunction with each other, and that such variations are within the scope of the present invention. It is to be emphasized that method 500 need not be performed in the exact sequence as shown and that various blocks can be performed in parallel rather than in sequence; hence the elements of the method 500 are referred to herein as "blocks" rather than "steps".

[0067] Block 510 comprises receiving the corporate governance data from a data source, such as data servers 52, 54, 56. The corporate governance data is not particularly limited and in the present embodiment, the corporate governance data includes a plurality of data records. The plurality of data records includes at least one cumulative data record. The cumulative data record includes cumulative results on a vote issue. For example, the cumulative data record can include a portion of a filing reporting the results of a shareholder vote. As another example, the cumulative data record can be pre-parsed on the data servers 52, 54, 56. [0068] In addition to cumulative data records, the corporate governance data can optionally include voter record data. Voter data records include voter data corresponding to cast votes. For example, where a company is required to disclose how the company voted their shares of other companies, a voter data record can be generally assembled. It is to be appreciated that for a broad general reporting document can include data associated with both a cumulative data record and a voting data record. For example, if Co1 owns shares in Co2, Col 's annual 0-k filing will include results of Col 's votes and another filing will report how Co1 voted the shares of Co2. Accordingly, the first type of result is associated with a cumulative data record and the second type of results is associated with a voter data record. [0069] Although the present embodiment does not distinguish between the functionality of the data servers, some embodiments can include data servers dedicated to one of cumulative data records or voter data records. Furthermore, it is to be appreciated that the format of various types of data records such as the cumulative data record and the voter data records can be different. Therefore, in order to properly analyze and compare various forms of data, one of the data record types can be normalized into a normalized format.

[0070] Table I shows a non-limiting illustrative example of three cumulative data records of the corporate governance data available from the data servers 52, 54, 56. In the example shown, the corporate governance data includes the results of votes at three companies Co1 , Co2, and Co3 to re-elect their respective board of directors. It is to be appreciated that data associated with each company in Table I can be stored in a separate corporate governance data records 202-1 , 202-2, and 202-3.

Table I

[0071] In Table I, Column 1 , labelled "Data Record", represents a record identifier associated with a company. It is to be appreciated that the organization of the data records on in the memory storage unit 78 is not particularly important. In the present embodiment, the each of the corporate governance data records 202-1 , 202-2, and 202- 3 are associated with a company. In other embodiments, the corporate governance data records 202-1 , 202-2, and 202-3 can be associated with each vote, such as a horizontal line of Table I. In further embodiments, the corporate governance data records 202-1 , 202-2, and 202-3 can be organized by voting subject or other criteria used for classification.

[0072] In Table I, Column 2, labelled "Company", represents a company identifier associated with a company. In the illustrated example shown in Table I, each company is company identified by a reference number. It is to be appreciated, with the benefit of this specification, that the company identifier is not particularly limited and can include other manners by which a company can be identified. For example, in other embodiments, the company identifier can be a ticker symbol, the company name or the company registration number.

[0073] Column 3, labelled "Market Cap", represents market capitalization of the company which is the total value of the issued shares of the company. It is to be appreciated by a person of skill in the art that the market capitalization continually changes as the price of the shares of the company increases or decreases due to market forces. In the present embodiment, the market capitalization data stored on the data servers 52, 54, 56 can be connected to a market feed (not shown) to obtain real time data. In another embodiment, the data servers 52, 54, 56 can store the closing values of the market capitalization updated periodically, such as daily or according to any other frequency. It is to be appreciated, with the benefit of this description, that periodic updating of the values in Column 3 results in an approximation of the market capitalization of the company and may not reflect sudden changes in the market.

[0074] Column 4, labelled "Director", represents an identifier associated with a specific director of the company which is the total value of the issued shares of the company. In the illustrated example shown in Table I, each director is company identified by a unique combination of characters such as "D1", "D2", etc.. It is to be appreciated, with the benefit of this specification, that the company identifier is not particularly limited and can include other manners by which a director can be identified. For example, in other embodiments, the director identifier can be a name or shorthand name of the director.

[0075] Column 5, labelled "Re-elected to Board?", represents the results of the a vote on the issue of whether to re-elect a presently sitting director. In the illustrated example shown in Table I, there are two possible results of the vote, YES or NO. It is to be appreciated, with the benefit of this specification, that for other issues, more than two possible results are possible.

[0076] It is to be emphasized that the contents of Table I are for illustrative purposes, and that the corporate governance data available from data servers 52, 54, 56 can include fewer or more proxy data records associated with a company. Furthermore, it is to be appreciated that the proxy data records can include issues other than elections of directors on which a vote is carried out. For example, proxy data records can include votes related to changing the nature of the business or changing portions of the articles of incorporation. However, the contents of Table I will be referred to hereafter to further explanation of the present description.

[0077] Block 520 comprises storing the plurality of data records in the application database 216 of the memory storage unit 110. In the present embodiment, the contents of Table I are merely stored into the application database.

[0078] Block 530 comprises receiving input representing a query for a requested data record. The manner by which the input is received is not particularly limited. In the present embodiment, the request is received via the network 66 from one of the electronic devices 57, 58, 59. For example, the electronic devices 57, 58, 59 can render various menus on the output device 90 to solicit input via the input device 94. The menu rendered can provide options via checkboxes to allow for a search to be further narrowed. The electronic devices 57, 58, 59 can subsequently compile the results to generate properly execute the query. In other embodiments, the query can be entered in natural language and various natural language processing operating can be carried out to parse the query for subsequent execution.

[0079] In the present embodiment, in the queries can include limits on the stocks to search for such a minimum market capitalization of $200 million. [0080] Block 540 comprises retrieving the requested data record from the memory storage unit 110. In the present embodiment, the processor 102 is configured to execute a search in response to the query received in block 530. The manner by which the processor 102 retrieves the data record from the corporate governance data is not particularly limited and can include carrying out various search algorithms.

[0081] Block 550 comprises transmitting output data to an output device 90, such as a display, of the electronic devices 57, 58, 59. The output data is configured to be read by the electronic devices 57, 58, 59 for rendering a representation of at least a portion of the requested data record. The manner by which block 550 is carried out is not particularly limited. In the present embodiment, the output data is returned to the electronic devices 57, 58, 59 to render a table presenting data associated with the requested data record and voter data record. In another embodiment, the output data is returned to the electronic devices 57, 58, 59 to render a chart presenting data associated with the requested data record and voter data record. In a further embodiment, the output data is returned to the electronic devices 57, 58, 59 to render a chart and/or grid presenting data associated with the requested data record and voter data record.

[0082] In a further embodiment, the output data is returned to the electronic devices 57, 58, 59 to render a plurality of tiles. Each tile of the plurality of tiles corresponds to a data record of the plurality of data records and colors are used to identify results of the vote. It is to be appreciated that when rendered properly on the screen it will be easier to identify a tile that is of a different color.

[0083] It is to be appreciated that variants of the method 500 described above are contemplated to be within the scope of this description. For example, in another embodiment, the method 500 can be modified to further involve correlating a requested data record with an additional data record from the plurality of data records. The requested data record is the cumulative data record and the additional data record can be a voter data record including voter data corresponding to cast votes. Although the present embodiment demonstrates a single query, it is to be appreciated that the number of queries are not particularly limited such that block 530 can be repeated multiple times. For example, a second query can be received directing the processor 102 to retrieve voter data records associated with a cumulative data record previously requested in step 530.

[0084] Referring to figure 6, a sequence diagram of the method 500 is shown in accordance where two queries are carried out by an electronic device. The application server 62 obtains corporate governance data from the data server 52, 54, 56 as such data becomes available. As shown in figure 11 , the data server 52, 54, 56 continually sends corporate governance data to the application server. It is to be appreciated that the frequency at which the data server 52, 54, 56 sends corporate governance data to the application server 62 is not particularly limited. For example, in other embodiments, the application server 62 can be configured to obtain corporate governance data from the data server 52, 54, 56 at periodic intervals.

[0085] The electronic device 57, 58, 59 sends an initial query to the application server 62 and obtains a result that is then displayed at the electronic device 57, 58, 59. A subsequent query for additional data, such as the top ten shareholders and their votes, triggers a response from the application server 62. Using an initial query and subsequent query can advantageously reduce the amount bandwidth consumed and increase the response speed from the application server.

[0086] Figures 7-15 demonstrate the system 50 carrying out various blocks of the method 500 described herein using various embodiments.

[0087] Referring to figure 7, several user interfaces 600 of corporate governance data outputted according to the system described herein is shown. Such user interfaces 600 are configured to provide corporate governance data to users, such as corporate secretaries, related to investor vote prediction based on voting and ownership profiles of institutional voters. Further, the user interfaces 600 can also output corporate governance vote data as discussed above.

[0088] Referring to figure 8, a selection user interface 620 is shown. The interface 620 is configured with a plurality of selectable tiles 622 arranged in a square/rectangular grid. The selection user interface 620 can be displayed on a touch-screen display and each tile 622 can be configured to respond to touch input. Mouse input is also contemplated.

[0089] Each tile 622 is square or rectangular in shaped and is configured to display a number 624 and an indication of a related data object 626, as well as a transient indication 28 of the presence of new related data objects 626. The numbers 624 show the numbers of related data objects. The indications of related data objects 626 show the names of such objects. The transient indication 628 can be added and removed to indicate that new data objects are available. Examples of data objects include visualization reports, individual or institutional contacts, and similar.

[0090] Each tile 622 is further configured to receive touch/click input and in response trigger opening of a user interface of the related data object 26. In the example illustrated, one tile 22 is configured to open a voter reports user interface, another tile 622 is configured to open a voter contacts user interface, and another tile is configured to open a proposal reports user interface.

[0091] The selection user interface 620 thus provides for navigation and drill-down of corporate governance data.

[0092] Figure 9 shows a ballot result category user interface 630 for displaying ballot result data of the corporate governance data. In this example, the ballot result data is aggregated across a group of issuers.

[0093] A selector 632 is provided to filter votes by different statutes, such as cast, outstanding, and for/against. The selector 632 can include a radio button or other interface element.

[0094] A plurality of category display elements 634 graphically illustrate vote results based on predefined corporate governance ballot categories, such as directors, compensation, etc. Each category display element 634 includes a category name (e.g., "Directors") and a graph 636 (e.g., a sectioned bar graph) configured to display the vote results for that category. The category display elements 634 can be arranged in a predefined pattern, such as the listing illustrated.

[0095] The graph 636 of each category display element 634 is configured represent at least two types of vote results: for and against. The graph 636 can be configured to further display one or more of abstentions and outstanding votes (i.e., votes not yet cast). Each graph is segmented into result regions of size proportional to the number of votes. In the example illustrated, the graph shows a "for" region 642 representative of the number of votes in favor of the category, an "against" region 644 representative of the number of votes against the category, and an "abstention" region 646 representative of the number of votes abstained. Each of the regions of the graph 636 can be provided with a different visual distinction, such as a different color or shading, which can be selected according to the result (e.g., "for" as green, "against" as red).

[0096] A button 648 or other kind of user interface element can be provided to trigger output of the ballot result data in a format different from that displayed in the ballot result category user interface 30. Such a format can include a spreadsheet file format or the like.

[0097] The ballot result category user interface 30 can be displayed on a touch-screen display and the category display elements 34 can be configured to respond to touch input. Mouse input is also contemplated. In this embodiment, each category display element 34 is configured to respond to a touch/click input by triggering the opening of a ballot result subcategory user interface, which can be similar or the same as the ballot result category user interface 30 and can display data of sub-categories of the category represented by the touched/clicked category display element 34. For example, the "social" category can be drilled-down to social sub-categories such as "environment", "ethical", "humanitarian", etc.

[0098] Figure 10 shows an issuer ballot result user interface 650 for displaying details of ballot results for a single issuer.

[0099] The user interface 650 includes a plurality of display elements 652 configured to display vote data for items in a particular category or sub-category for a selected issuer. In the example shown, each display element 652 shows the vote results for a particular director running for or elected to a seat on the issuer's board.

[00100] Each display element 652 can be configured to output a graph (e.g., a bubble plot) showing the vote results for the items of the category. In this example, the graph is configured to show votes for and against an item (e.g., director), as well as votes abstained and votes outstanding. Accordingly, a "for" bubble 654, an "against" bubble 656, an "abstention" "bubble" 658, and an "outstanding" bubble 659 are provided with relative sizes representative of the number of votes. The bubbles can also be configured to display percentages or other numerical indication of the underlying vote counts. Each of the bubbles of the display element 652 can be provided with a different visual distinction, such as a different color or shading, which can be selected according to the result (e.g., "for" as green, "against" as red).

[00101] A button 662 or other kind of user interface element can be provided to trigger output of the data in a format different from that displayed in the user interface 650. Such a format can include a spreadsheet file format or the like.

[00102] Another button 664 or other kind of user interface element can be provided to trigger output of the drill-down data in a pivot view for additional visualization.

[00103] Figures 11 to 15 show another embodiment in use. In particular, figure 11 shows a user interface accepting a query for "mega" and "large" US issuers. Figure 12 shows various results of the query being displayed. Figure 13 illustrates an additional query being performed to retrieve voter data records. Figure 14 and 15 illustrate a tile representation discussed above.

[00104] Referring to figure 11 , a screenshot of an interface for receiving an initial query is shown generally at 700. In the present embodiment, the query is an issuer filter allowing various criteria to be selected using checkboxes in windows 705, 710, and 715. The cap group window 705 provides for the selection of a filter to apply based on the size (ie, market capitalization). The manner by which the filter is implemented is not particularly limited. For example, in the present embodiment allows for a selection of mega, large, mid, small and micro sizes. However, in other embodiments, there selection can be limited to more or less than the groups shown. In further embodiments, the definition of the groups can also be defined quantitatively. The exchange window 710 provides for the selection of a filter to apply based on the exchange in which the stock trades, small and micro sizes. In further embodiments, the definition of the groups can also be defined quantitatively. The sector and industry window 715 provides for the selection of a filter to apply based on the sector and industry to which the stock belongs.

[00105] It is to be appreciated that some embodiments, the windows 705, 710, and 715 can be linked to an electronic device 57, 58, 59 such that preferences are selected automatically (e.g., if the logged in user is from a Mega corp in Minerals, then this filter is applied by default). It is to be understood that is an initial query that returns a list of categorized voting results.

[00106] Referring to figure 12, a screenshot of an interface for receiving an additional query is shown generally at 720. In the present embodiment, the result of the initial query entered in the interface 700 is shown presented. In particular, a first selectable list 725 of board proposals is presented. It is to be appreciated that the proposals presented in the first selectable list 725 have been categorized manually or by the application server 62. By selecting a category from the first selectable list 725, a second selectable list 730 is presented on the interface 720. In the present embodiment, the second selectable list 730 presents issuers voting on the selected board proposal from the first selectable list 725. As shown in figure 12, selecting an issuer from the second selectable list provides an expanding table segment of major shareholders of the issuer. It is to be appreciated that the content of the drop down list is not limited and can be a list of top ten shareholders by value.

[00107] Referring to figure 13, a screenshot of another interface for receiving an additional query is shown generally at 740. In the present embodiment, an expanded view of the selectable list 730 is shown expanded to fit a screen.

[00108] Referring to figure 14, a screenshot of an interface for presenting data in a tile format is shown generally at 750. In the present embodiment, the corporate governance data is presented in windows 755, 760, and 765. The finance group presented in window 755 includes results of votes associated with companies in the finance sector. The miscellaneous group presented in window 760 includes results of votes associated with companies in a miscellaneous sector. The producer manufacturing group presented in window 765 includes results of votes associated with companies in the "producer manufacturing" sector. It is to be appreciated, with the benefit of this description that presenting data in the tile format where the outcome of the vote is represented by color allows for easy identification of votes that are exceptions to the norm. For example, as shown in figure 14, a tile 770 is different from the remaining tiles. Accordingly, if exceptions were to be examined in close detail, the tile 770 can be easily located. [00109] Referring to figure 15, a screenshot of another interface for receiving an additional query is shown generally at 780. In the present embodiment, an expanded view of the selectable list 730 is shown expanded to fit a screen.

[00110] While specific embodiments have been described and illustrated, such embodiments should be considered illustrative and should not serve to limit the accompanying claims.

Claims

What is claimed is:

1. An application server for outputting data for rendering corporate governance data on a display, the application server comprising: a network interface for receiving the corporate governance data from a data source, the corporate governance data having a plurality of data records, the plurality of data records including a cumulative data record, the cumulative data record having cumulative results on a vote issue, the network interface configured to receive input representing a query for a requested data record from an electronic device and to transmit output data to a display, the output data for rendering a representation of at least a portion of the requested data record; a memory storage unit for storing the plurality of data; a processor in electrical communication with the network interface and the memory storage unit, the processor configured to retrieve the requested data record from the memory storage unit.

2. The application server of claim 1 , wherein the plurality of data records further includes a voter data record, the voter data record including voter data

corresponding to cast votes.

3. The application server of claim 2, wherein the network interface is configured to receive the corporate governance data from a plurality of data sources.

4. The application server of claim 3, wherein the plurality of data sources comprises a first data source providing the cumulative data record and a second data source providing the voter data record from.

5. The application server of claim 4, wherein the cumulative data record is in a first format and the voter data record is in a second format, the first format being different from the second format.

6. The application server of claim 5, wherein the processor is further configured to normalize at least one of the first data record and the second data record into a normalized format.

7. The application server of claim 6, wherein the processor is further configured to correlate the requested data record with an additional data record from the plurality of data records, wherein the requested data record is the cumulative data record and the additional data record is a voter data record, the voter data record including voter data corresponding to cast votes.

8. A method of outputting data for rendering corporate governance data on a

display, the method comprising: receiving the corporate governance data from a data source, the corporate governance data having a plurality of data records, the plurality of data records including a cumulative data record, the cumulative data record having cumulative results on a vote issue; storing the plurality of data records in a memory storage unit; receiving input representing a query for a requested data record; retrieving the requested data record from the memory storage unit; and transmitting output data to a display, the output data for rendering a

representation of at least a portion of the requested data record.

9. The method of claim 8, wherein the plurality of data records further includes a voter data record, the voter data record including voter data corresponding to cast votes.

10. The method of claim 9, wherein receiving the corporate governance data

comprises receiving the corporate governance data from a plurality of data sources.

11.The method of claim 10, wherein receiving the corporate governance data

comprises receiving the cumulative data record from a first data source and receiving the voter data record from a second data source.

12. The method of claim 11 , wherein receiving the cumulative data record involves receiving cumulative data record in a first format and receiving the voter data record involves receiving the voter data record in a second format, the first format being different from the second format.

13. The method of claim 12, further comprising normalizing at least one of the first data record and the second data record into a normalized format.

14. The method of claim 8, further comprising correlating the requested data record with an additional data record from the plurality of data records, wherein the requested data record is the cumulative data record and the additional data record is a voter data record, the voter data record including voter data

corresponding to cast votes.

15. The method of claim 14, wherein transmitting output data comprises transmitting output data to render a table presenting data associated with the requested data record and the voter data record.

16. The method of claim 14, wherein transmitting output data comprises transmitting output data to render a chart presenting data associated with the requested data record and the voter data record.

17. The method of claim 14, wherein transmitting output data comprises transmitting output data to render a grid arrangement presenting data associated with the requested data record and the voter data record.

18. The method of claim 14, wherein rendering a representation comprises rendering a plurality of tiles, each tile of the plurality of tiles corresponding to a data record of the plurality of data records, wherein colors are used to identify results of the vote.

19. The method of claim 18, wherein transmitting output data comprises transmitting output data to render a grid arrangement presenting data associated with the requested data record and the voter data record.

20. The method of claim 8, wherein receiving input representing a query comprises receiving input representing a query for cumulative data records of large companies.

21. The method of claim 8, further comprising receiving input representing a second query for voter data records associated with a cumulative data record.

22. A non-transitory computer readable medium encoded with codes, the codes for directing a processor to: receive, via a network interface, the corporate governance data from a data source, the corporate governance data having a plurality of data records, the plurality of data records including a cumulative data record, the cumulative data record having cumulative results on a vote issue; store the plurality of data records in a memory storage unit; receive, via a network interface, input representing a query for a requested data record; retrieve the requested data record from the memory storage unit; and transmit, via a network interface, output data to a display, the output data for rendering a representation of at least a portion of the requested data record.