Form 1-Z/A Filings

What Is SEC Form 1-Z/A?

SEC Form 1-Z/A is an amendment to Form 1-Z, the exit report under Regulation A that issuers file to report the termination or completion of a Regulation A offering and, where applicable, to suspend ongoing Regulation A reporting obligations. This form is submitted through EDGAR to update the information originally provided in the issuer’s exit report.

This form is typically filed when an issuer needs to correct offering results, update proceeds or securities sold, revise disclosures about selling agents or other service providers, or address other changes after the original exit report was submitted. Form 1-Z is generally due no later than 30 calendar days after the termination or completion of a Tier 1 offering, and amendments are filed as needed when updates are required.

Form 1-Z/A helps ensure that the SEC and investors have accurate, current information about the outcome of a Regulation A offering and its related reporting status. When reviewing Regulation A activity, users can reference the SEC’s Form 1-Z PDF for the underlying data fields and instructions used in the electronic submission.

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

• Issuer identification information (including name and CIK)
• Offering statement reference information (including file number)
• Updated offering status (termination or completion details)
• Revised securities sold and offering amounts
• Updated proceeds information and use of proceeds (as applicable)
• Amended disclosures on service providers, underwriters, or selling agents (as applicable)

SEC Form 1-Z/A Filing Deadlines

SEC Form 1-Z/A is filed on an amendment basis rather than on a fixed recurring schedule. The original Form 1-Z is generally due within 30 calendar days after the termination or completion of a Tier 1 Regulation A offering, and amendments are submitted as needed to update or correct the exit report information.

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

• Amendment-Based Filing: Form 1-Z/A is filed only when an issuer needs to revise, supplement, or correct information previously reported on Form 1-Z.
• Tied to Regulation A Exit Reporting: Form 1-Z serves as the exit report under Regulation A, including reporting tied to termination or completion of an offering and, where applicable, suspension of Regulation A reporting obligations under the rule.
• Timing Depends on the Underlying Exit Report: The underlying Form 1-Z for Tier 1 offerings is generally required no later than 30 calendar days after the offering is terminated or completed, while Form 1-Z/A is filed when updates are necessary.
• EDGAR-Submitted, Structured Disclosure: The Form 1-Z submission is completed through the SEC’s electronic filing system using the XML-based format specified by the SEC, and amendments update those filed data points.

To track Regulation A exit report amendments under the Securities Act, our platform, Free SEC Filing Alerts, helps you monitor filings such as Form 1‑Z/A, Form 1‑Z, Form 1‑A, and Form 1‑K, keeping you informed about small company capital raises, offering completions, and compliance reporting