SEC Form 424B1
SEC Form 424B1 is a form that a company must file to provide additional information that was not included in its initial prospectus filing upon registration. The Form 424B1 prospectus includes the following information: The number and type of shares a company is offering to the public Whether those securities are being sold by the company or by shareholders Whether and how much the company is profiting from the sale of stock by shareholders How the company plans to use the proceeds from the offering The company’s stock symbol The last reported price of the securities on the open market Information about risk factors involved in purchasing the securities on offer The company’s plan for distributing the securities in the offering A description of the securities in question The Securities Exchange Act of 1933 was created to help investors make informed decisions by requiring securities issuers to complete and file registration statements (including financial and material information) with the SEC before making an issue available for purchase by the public. The Form 424B1 will also direct investors as to where they can find more information about the company and its finances and may incorporate by reference other filings made by the company, including amendments to the Form 424B1 made after the date of its release and before the date of termination of the offering described therein. SEC Form 424B1 is filed pursuant to SEC Rule 424(b)(1) regarding the number and type of prospectuses that must be filed when a company issues a public offering. SEC Form 424B1 is a filing that provides additional information to an initial prospectus, in accordance with SEC Rule 424(b)(1) per the Securities Exchange Act of 1933.
What Is SEC Form 424B1?
SEC Form 424B1 is a form that a company must file to provide additional information that was not included in its initial prospectus filing upon registration. Companies are required to file prospectus Form 424B1 in accordance with SEC Rule 424(b)(1) per the Securities Exchange Act of 1933.
Understanding SEC Form 424B1
A prospectus is a formal document that is required by and filed with the Securities and Exchange Commission (SEC) that provides details about an investment offering to the public. A prospectus is filed for new or secondary offerings of stocks and bonds issued by a firm The document can help investors make more informed investment decisions because it contains a host of relevant information about the investment security.
SEC Form 424B1 is filed pursuant to SEC Rule 424(b)(1) regarding the number and type of prospectuses that must be filed when a company issues a public offering. As dictated in Rule 424(b), a company issuing a public offering must file ten copies of the relevant prospectuses with the SEC. The Form 424B1 prospectus includes the following information:
Other Considerations
The Securities Exchange Act of 1933 was created to help investors make informed decisions by requiring securities issuers to complete and file registration statements (including financial and material information) with the SEC before making an issue available for purchase by the public. Often registration statement filings required under the 1933 act are also registered statements under the Investment Company Act of 1940.
The Form 424B1 will also direct investors as to where they can find more information about the company and its finances and may incorporate by reference other filings made by the company, including amendments to the Form 424B1 made after the date of its release and before the date of termination of the offering described therein.
Form 424B1 includes the company’s most recent Annual Report on Form 10-K and registration statements for the offering in question. Furthermore, Form 424B1 will include information on the experts who prepared the prospectus and, perhaps, other related filings.
Related terms:
10-K
A 10-K is a comprehensive report filed annually by a publicly traded company about its financial performance and is required by the U.S. Securities and Exchange Commission (SEC). read more
Prospectus
A prospectus is a document that is required by and filed with the SEC that provides details about an investment offering for sale to the public. read more
Statement of Additional Information (SAI)
A statement of additional information (SAI) is a supplement to a mutual fund's prospectus containing additional information about the fund and its operations. read more
SEC Form 10
SEC Form 10 is a filing with the Securities and Exchange Commission (SEC) used to register a class of securities in preparation for potential trading on U.S. exchanges. read more
SEC Form 424B2
SEC Form 424B2 is the prospectus form that a company must file if it is making a primary offering of securities on a delayed basis. read more
SEC Form 424B3
SEC Form 424B3 is a form that companies who make amendments to their initial prospectus may be required to fill out. read more
SEC Form 424B4
SEC Form 424B4 is the prospectus form that a company must file to disclose information they refer to in SEC Forms 424B1 and 424B3. read more
SEC Form 485A24E
SEC Form 485A24E is a registration statement for separate accounts. read more
SEC Form N-CSR
SEC Form N-CSR is a form that a registered management investment company completes and files with the Securities and Exchange Commission (SEC), following the transmission of annual and semiannual reports to stockholders. read more
Securities Act of 1933
The Securities Act of 1933 is a piece of federal legislation enacted as a result of the market crash of 1929. read more