What is an SEC filing number?
Reporting File Number. This is a number with an 811- prefix assigned to filers registered under the Investment Company Act of 1940. CIK. The Central Index Key (CIK) is a ten digit number assigned by the SEC to each entity that submits filings.
How many copies of a prospectus that is used after the effective date of a registration statement must be filed with the SEC?
10 copies
(b) Within 5 days after the effective date of a registration statement or the commencement of a public offering after the effective date of a registration statement, whichever occurs later, 10 copies of each form of prospectus used after the effective date in connection with such offering shall be filed with the …
What is a 425 SEC filing?
What Is SEC Form 425? SEC Form 425 is the prospectus document companies must file to disclose information about their business combinations. A business combination may refer to a merger between two or more companies, or a consolidation.
What is an s1 SEC filing?
SEC Form S-1 is an SEC registration required for U.S. companies that want to be listed on a national exchange. It is basically a registration statement for a company that is usually filed in connection with an initial public offering.
What is a 424B5 filing?
SEC Form 424B5 is a corrected prospectus addendum that a company must file when it realizes that previously-stated offering information is incorrect or incomplete. Companies must file Form 424B5 as a provision under the Securities Exchange Act of 1933.
What do you need to know about SEC Form 497?
SEC Form 497 is a regulatory document that investment companies such as mutual funds use to file their definitive materials in the Securities and Exchange Commission’s ( SEC’s) Electronic Data Gathering, Analysis, and Retrieval ( EDGAR) filing system.
What is the SEC Rule for variable contracts?
497VPI: Initial summary prospectus for variable contracts filed pursuant to Securities Act Rule 497 (k) 497VPU: Updating summary prospectus for variable contracts filed pursuant to Securities Act Rule 497 (k)
Where can I find all the SEC filings?
In the U.S., all companies that file with the SEC must provide and upload their documentation to the EDGAR website. This electronic depository allows investors to access all the filings of a specific company. Documents that can be retrieved on EDGAR include quarterly and annual corporate reports and financial statements.
What kind of documents are required to file with the SEC?
Definitive materials include such documents as proxy statements, prospectus publications, annual and semiannual mutual fund shareholder reports, Statements of Additional Information (SAI), just to name a few common examples. In the U.S., all companies that file with the SEC must provide and upload their documentation to the EDGAR website.
