Form 1-U/A Filings

What Is SEC Form 1-U/A?

SEC Form 1-U/A is an amended current report filed under Regulation A that issuers use to update, correct, or supplement information previously reported on Form 1-U. It is filed when an issuer needs to revise disclosures after a Form 1-U has already been submitted.

This form is typically filed to fix errors, add missing information, or reflect updates to an event previously reported, such as changes in control, material events, or other reportable items under Form 1-U. A Form 1-U/A allows the issuer to maintain accurate public disclosure on EDGAR and ensure the market has updated information.

Form 1-U/A supports transparency by providing a formal mechanism to amend a prior current report, without changing the underlying reporting framework for Regulation A issuers. While Form 1-U has a defined event-based reporting trigger, the amendment is generally filed as needed to correct or update the prior filing.

Key elements typically found in SEC Form 1-U/A include:

Identification of the previously filed Form 1-U being amended, including filing date and accession number

• A description of the event originally reported on the Form 1-U
• A clear explanation of what information is being corrected, supplemented, or updated
• Updated disclosures corresponding to the applicable Form 1-U item(s) being amended
• Any revised exhibits or attachments included to support the amended disclosure
• Confirmation that the amended filing is submitted under Regulation A, and the current reporting requirements

SEC Form 1-U/A Filing Deadlines

SEC Form 1-U/A is filed on an event-driven, corrective basis rather than on a fixed periodic deadline. While the underlying Form 1-U current report is generally due within four business days of the triggering event, the amendment is typically filed when updates or corrections are necessary to keep the public record accurate.

Key Things to Know About Form 1-U/A Filing Rules

• Amendment Is Corrective and Event-Driven: A Form 1-U/A is generally filed when an issuer needs to correct, clarify, or supplement a previously filed Form 1-U current report, rather than on a standalone deadline.
• Form 1-U Timing Still Matters: The original Form 1-U filing requirement is tied to a triggering event and is generally due within 4 business days; the amendment is typically filed after the original filing to update the record.
• Amendments Must Clearly Identify the Prior Filing: A Form 1-U/A should clearly identify the previously filed Form 1-U being amended and specify what information is being changed or added.
• EDGAR Accuracy and Tracking: Issuers and stakeholders often use tools such as the SEC Forms Index and filing databases to confirm form types, including 1-U/A as an amendment to a Regulation A current report.
• Used Alongside Other Regulation A Reports: Regulation A Tier 2 issuers may also file periodic and exit reports, and amendments can be monitored through a real-time EDGAR database

To track Regulation A current report amendments under the Securities Act, our platform helps you monitor filings such as Form 1‑U/A, Form 1‑U, Form 1‑K, and Form 1‑SA, keeping you informed about small-company capital-raising and compliance reporting.