Form 1-Z/A Filings
SEC Form 1-Z/A is an amended exit report filed by Regulation A issuers to revise, supplement, or correct information previously reported on Form 1-Z
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What Is SEC Form 1-Z/A?
SEC Form 1-Z/A is an amendment to Form 1-Z, the Regulation A exit report used to report the termination or completion of certain offerings and, for eligible Tier 2 issuers, to certify the suspension of ongoing Regulation A reporting obligations. Form 1-Z/A is submitted through EDGAR when information contained in a previously filed Form 1-Z needs to be corrected, updated, or supplemented.
This form may be used when an issuer needs to correct offering results, revise the number or amount of securities sold, update proceeds or offering-expense information, or amend information relevant to a Tier 2 reporting-suspension certification. The original Form 1-Z for a Tier 1 offering is generally due no later than 30 calendar days after termination or completion of the offering, while Form 1-Z/A is filed as needed when changes to that submission become necessary.
Form 1-Z/A helps maintain an accurate public record of the issuer’s Regulation A exit and reporting status. Researchers following the issuer’s lifecycle can review the amendment alongside the original Form 1-A offering statement to understand how the capital raise progressed from qualification through completion, termination, or reporting suspension.
Key elements typically found in SEC Form 1-Z/A include:
- Issuer identification and filing information
- Offering statement file number
- Identification of the previously filed Form 1-Z being amended
- Corrected termination or completion information, where applicable
- Revised securities sold and offering amounts
- Updated gross proceeds, offering expenses, or net proceeds, where applicable
- Amended information concerning brokers, dealers, agents, or other service providers, where applicable
- Revised reporting-suspension information or certifications, where applicable
- Authorized signature and amendment filing information
Form 1-Z/A filings can also be reviewed within broader Regulation A offering histories to connect corrections to the issuer’s original offering, periodic reports, and exit activity.
SEC Form 1-Z/A Filing Deadlines
SEC Form 1-Z/A does not have a fixed recurring filing deadline. It is submitted when an issuer determines that information contained in a previously filed Form 1-Z must be corrected, supplemented, or updated.
| Filing Stage | Timeline | Details |
| Original Form 1-Z Filing | Before amendment | Establishes the Tier 1 exit report or, where applicable, the Tier 2 reporting-suspension certification |
| Amendment Need Identified | As needed | An error, omission, or updated fact affecting the original Form 1-Z is identified |
| Form 1-Z/A Filing | As needed | Filed electronically through EDGAR to amend the previously submitted Form 1-Z |
| Updated Public Record | Upon EDGAR acceptance | The amendment becomes part of the issuer’s public Regulation A filing history |
| Effect on Reporting Status | Depends on amendment | Any reporting consequences depend on the substance of the amendment and the issuer’s continuing eligibility under Regulation A |
For Tier 1 issuers, the underlying Form 1-Z generally must be filed within 30 calendar days after termination or completion of the offering. Form 1-Z/A does not create a new recurring deadline; its timing depends on when the issuer determines that the original filing requires amendment.
Key Things to Know About Form 1-Z/A Filing Rules
- Amendment to an Existing Form 1-Z: Form 1-Z/A is used to revise, supplement, or correct a previously submitted Form 1-Z rather than to create a new exit-reporting event.
- Can Address Different Form 1-Z Functions: Depending on the original filing, an amendment may relate to Tier 1 offering information or a Tier 2 certification concerning suspension of ongoing Regulation A reporting.
- No Fixed Amendment Deadline: Form 1-Z/A is generally filed as needed after the issuer identifies information in the original exit report that requires correction or supplementation.
- Original Form 1-Z Timing Still Matters: For Tier 1 offerings, the original exit report generally remains subject to the 30-calendar-day filing requirement following termination or completion.
- Does Not Replace Other Regulation A Reports: An amendment to Form 1-Z does not substitute for other reports that may remain required based on the issuer’s status and eligibility.
- Becomes Part of the EDGAR Record: The original Form 1-Z and Form 1-Z/A remain available as separate submissions, allowing investors and compliance teams to compare the amendment with the original filing.
Analysts can review Form 1-Z/A alongside Form 1-Z to determine exactly what offering or reporting-status information was changed after the initial exit report.
Researchers can also use Regulation A offerings to connect Form 1-Z/A amendments with the issuer’s original Form 1-A, subsequent reporting history, and eventual exit from the Regulation A reporting framework.
