Form 487 Filings

What Is SEC Form 487?

SEC Form 487 is a filing used for a pre-effective pricing amendment under Rule 487 of the Securities Act of 1933. It allows an eligible registrant to designate the date and time that a registration statement, or a pre-effective amendment to that registration statement, will become effective, as described in the SEC’s Filing Acts and Related Form Types.

This form is most commonly associated with certain investment company registration statements, where pricing and series-specific details are finalized shortly before effectiveness. A Form 487 filing is used to amend the registration statement for timing and pricing-related effectiveness purposes while keeping the underlying registration statement as the governing disclosure framework.

Key elements typically found in SEC Form 487 include:

• Name of the registrant and series or portfolio identified in the filing
• Reference to the registration statement being amended under Rule 487
• Proposed date and time that the filing will become effective
• Confirmation that the filing is a pre-effective pricing amendment (where applicable)
• Identification of the securities and offering structure covered by the registration statement
• Exhibits and consents included with the submission, as applicable

SEC Form 487 Filing Deadlines

SEC Form 487 is event-driven and filed as needed when an eligible registrant wants to designate a specific effectiveness date and time under Rule 487. Timing depends on when pricing and related information are finalized and when the registrant intends the filing to become effective.

Key Things to Know About Form 487 Filing Rules

• Eligibility Under Rule 487: Form 487 applies only where the registrant and filing qualify for effectiveness pursuant to Securities Act Rule 487.
• Pre-Effective Pricing Amendment Use: Form 487 is used to submit a pre-effective pricing amendment and to specify an effective date and time.
• Effectiveness is Designated: The filing is used to set the effective date and time, rather than relying solely on standard SEC effectiveness timing.
• Filing Is Event-Driven: There is no fixed calendar deadline; the form is filed as needed based on pricing finalization and the intended effectiveness schedule.
• Must Align With the Registration Statement Record: The Form 487 submission is part of the registration statement filing set and must be consistent with the registration statement and related materials.

To track investment company registration statements under the Securities Act of 1933, our platform helps you monitor filings such as Form 487, Form 485BPOS, and Form 486APOS. Visit how to navigate the EDGAR system to know more about tracking SEC filings & insight