SEC MEF Filings

An SEC MEF filing is an SEC filing that concerns registration of up to an additional 20% of securities for an offering, pursuant to the 1933 Securities Act Rule 462(b). Rule 462(b) says that a registration statement and any post-effective amendments for up to an additional 20% of securities will become effective upon filing with the SEC if the registration is for the same class of securities already approved for registration by the SEC.

The term SEC filling generally refers to formal documents submitted to the U.S. Securities and Exchange Commission. Broker-dealers, public companies and some insiders must make SEC filings regularly. These filings provide important information about companies to investors and finance professionals. The EDGAR database makes many SEC filings available to the public online.

SEC MEF filings may apply to the following 1933 Act registration forms described as follows:

• S-1 is a basic form used when other forms are neither authorized nor required. It is not used to register securities of foreign governments or their political subdivisions.
• S-2 is used by companies required to report under the Securities Exchange Act of 1934 for at least three years.
• S-3 is for companies required to report for at least 12 months which have adhered to the timely filing requirements of form S-2.
• S-11 is used to register securities of real estate investment trusts and some other real estate companies.
• SB-1 can be used by some small business issuers to register offerings of no more than $10 million of securities.
• SB-2 can be used by some small business issuers to register offerings that will be sold for cash.
• F-1 is used by eligible foreign private issuers.
• F-2 is used by eligible foreign private issuers with an equity float of a minimum of $75 million worldwide, have reported under the ’34 Act for at least three years, or are registering non-convertible, investment-grade securities.