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For state filing information go to www. NASAA. org. A mandatory capital commitment call does not constitute a new offering but is made under the original offering so no new Form D filing is required. o An issuer may file an amendment to a previously filed notice at any time. Manufacturing Real Estate Commercial Construction REITS Finance Residential Other Real Estate Retailing Restaurants Technology Computers Telecommunications Other Technology Travel Airlines Airports Lodging Conventions Touri ...

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What does Form D mean?

Form D is also known as the Notice of Sale of Securities and is a requirement under Regulation D, Section 4(6), and/or the Uniform Limited Offering Exemption of the Securities Act of 1933. 2.

Who is required to file a Form D?

Who must file: Each issuer of securities that sells its securities in reliance on an exemption provided in Regulation D or Section 4(a)(5) of the Securities Act of 1933 must file this notice containing the information requested with the U.S. Securities and Exchange Commission (SEC) and with the state(s) requiring it.

What is an S 4 filing?

Form S-4 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting companies to file in order to publicly offer new securities pursuant to a merger or acquisition.

How much does SEC filing cost?

SEC Filing Fees SEC does not maintain a list of filing fees, per se; most fees are calculated. The fee is $116.20 per $1,000,000 (prorated for amounts less than $1,000,000). It is calculated by multiplying the aggregate offering amount by . 0001162.

Where is the 10k on the SEC website?

To find a particular company's Form 10-K filings, use the Company Search for the SEC's EDGAR database. On the returned listing of filings for the company, enter \u201c10-K\u201d in the Filing Type box near the top of the page to filter for only Forms 10-K that have been filed.

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