Form DEFA14C Filings

What Is SEC Form DEFA14C?

SEC Form DEFA14C is an important filing required under Section 14(c) of the Securities Exchange Act of 1934 and Schedule 14C. It is used to officially file definitive additional information statement materials that supplement a definitive information statement relating to corporate actions approved without a proxy solicitation, and companies.

This form is typically filed when a company provides shareholders with supplemental definitive communications relating to actions approved by written consent or otherwise taken without a meeting, such as charter amendments, mergers, share issuances, reverse stock splits, or other corporate actions described in a Schedule 14C process. Once DEFA14C is submitted, it becomes part of the official SEC record for the information statement matter and can be reviewed through an SEC filing search tool.

Form DEFA14C ensures transparency by formally notifying investors and regulators of additional definitive materials associated with a Schedule 14C filing. While the filing provides supplemental information, the timing of the related corporate action remains subject to the applicable Schedule 14C framework.

Key elements typically found in SEC Form DEFA14C include:

• Name of the registrant and, if applicable, the filing party
• Description of the Schedule 14C matter or corporate action involved
• Text of the additional definitive information statement materials
• Date the additional materials were first used or made available to security holders
• Filing fee information, if applicable
• References to related Schedule 14C materials or corporate actions

SEC Form DEFA14C Filing Deadlines

SEC Form DEFA14C does not have a single fixed filing deadline in all cases. It is generally filed as needed in connection with definitive additional information statement materials relating to a Schedule 14C matter. These timing requirements are important because the related corporate action under Rule 14c-2 generally cannot be taken until at least 20 calendar days after the definitive information statement is first sent or given to stockholders.

Key Things to Know About Form DEFA14C Filing Rules

• Used for Additional Definitive Materials: A company uses Form DEFA14C to file supplemental definitive materials connected to a Schedule 14C information statement matter.
• Not a Proxy Solicitation Filing: Form DEFA14C relates to Section 14(c) information statement procedures, which generally apply when stockholder action is taken without soliciting proxies.
• Often Connected to Written Consent Actions: These filings commonly relate to actions approved by stockholders through written consent instead of a meeting.
• Timing Depends on the Underlying Matter: There is no single universal deadline for DEFA14C, but the related corporate action is generally subject to the waiting period required under Rule 14c-2.
• Used in Multiple Scenarios: Form DEFA14C may be used for mergers, charter amendments, reverse stock splits, share issuances, governance changes, and other Schedule 14C-related corporate actions.

To monitor additional information statement materials, written consent actions, and related disclosure changes, our platform helps you track key SEC filings like Form DEFA14C, Form DEF 14C, and Form 8-K, ensuring you stay informed about important corporate actions.