
SEC Form PRE 14C
This form must be filed with the SEC 10 days before definitive information statements are distributed to shareholders and helps the SEC protect shareholders' rights by ensuring that they receive key information, clearly presented. Where a shareholder vote is not being solicited, such as when a company has obtained shareholder approval through written consent in lieu of a meeting, a company may satisfy its Section 14 requirements by filing an information statement with the SEC and then mailing these statements to its shareholders. In this case, the disclosure information filed with the SEC and mailed to shareholders is enumerated in SEC Schedule 14C. As with the proxy solicitation materials filed in Schedule 14A, a Schedule 14C Information Statement must be filed in advance of final mailing to the shareholder and is reviewed by the SEC to ensure that all important facts are disclosed.

What Is SEC Form PRE 14C?
SEC Form PRE 14C is a preliminary document filed with the Securities and Exchange Commission (SEC). It must be filed by a registrant prior to its annual or special shareholder meetings to provide preliminary information related to a subject other than a merger, contested solicitation, or special meeting.
The information provided on form PRE 14C allows shareholders to make informed decisions about their votes, or how to delegate their voting rights to a proxy in the event that they are unable to attend the meeting in person.



Understanding SEC Form PRE 14C
SEC Form PRE 14C provides security holders, who are entitled to vote on issues for which the company is not soliciting proxies, with the information required by Schedule 14A. The form also provides information about the interest of certain persons in favor or in opposition to matters to be acted upon and proposals by security holders. The form is required to state that proxies are not solicited.
SEC Form PRE 14C is required under Section 14(c) of the Securities Exchange Act of 1934. This form must be filed with the SEC 10 days before definitive information statements are distributed to shareholders and helps the SEC protect shareholders' rights by ensuring that they receive key information, clearly presented.
Solicitations, whether by management or shareholder groups, must disclose all important facts concerning the issues on which shareholders are asked to vote. The disclosure information filed with the SEC and ultimately provided to the shareholders is enumerated in SEC Schedules 14A.
Proxy Considerations
Where a shareholder vote is not being solicited, such as when a company has obtained shareholder approval through written consent in lieu of a meeting, a company may satisfy its Section 14 requirements by filing an information statement with the SEC and then mailing these statements to its shareholders. In this case, the disclosure information filed with the SEC and mailed to shareholders is enumerated in SEC Schedule 14C.
As with the proxy solicitation materials filed in Schedule 14A, a Schedule 14C Information Statement must be filed in advance of final mailing to the shareholder and is reviewed by the SEC to ensure that all important facts are disclosed. However, Schedule 14C does not solicit or request shareholder approval (or any other action, for that matter), but rather informs shareholders of an approval already obtained and corporate actions which are imminent.
Related terms:
Proxy Materials
Proxy materials are filed to shareholders before annual meetings to disclose important information and give them a chance to vote on basic issues. read more
Proxy Statement
A proxy statement is a document the SEC requires companies to provide shareholders that includes information needed to make decisions at shareholder meetings. read more
Schedule 14C
Schedule 14C lays out certain disclosure requirements for companies with securities registered with the Securities and Exchange Commission. read more
Securities Exchange Act of 1934
The Securities Exchange Act of 1934 was created to govern securities transactions on the secondary market and ensure fairness and investor confidence. 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 DEFM14A
SEC Form DEFM14A is a form filed with the SEC by a registrant when a shareholder vote is required on an issue related to a merger or acquisition. read more
SEC Form PRE 14A
SEC Form PRE 14A is a form that must be filed with the Securities and Exchange Commission on matters requiring a shareholder vote. read more
SEC Form PRER14A
SEC Form PRER14A is a filing with the SEC that must be filed for a registrant when preliminary proxy materials are revised. read more
SEC Form PRRN14A
SEC Form PRRN14A is a filing with the SEC when non-management preliminary proxy soliciting materials are revised and a shareholder vote is required. read more
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (SEC) is a U.S. government agency created by Congress to regulate the securities markets and protect investors. read more