Form DEL AM Filings

What Is SEC Form DEL AM?

SEC Form DEL AM is an important filing used under Securities Act Rule 473. It is submitted when a registrant wants to delay the effective date of a 1933 Act registration statement by filing a separate delaying amendment with the SEC.

This form is typically filed in connection with a pending registration statement when the issuer is not yet ready for the registration statement to become effective and wants to preserve flexibility in the SEC review and offering process. Once Form DEL AM is submitted, it formally places the delaying amendment on record with the SEC as part of the registration statement process. Companies that monitor similar registration statement categories often review the SEC Forms Index alongside filing activity to distinguish delayed amendments from original registration statement filings.

Form DEL AM ensures transparency by formally notifying the SEC that the registrant is delaying the effectiveness of the registration statement. It does not withdraw the registration statement itself; rather, it postpones its effectiveness until a later amendment is filed or the registrant otherwise proceeds.

Key elements typically found in SEC Form DEL AM include:

• Name of the registrant and related registration statement
• File number of the registration statement
• Statement that the filing is made under Securities Act Rule 473
• Confirmation that the effectiveness of the registration statement is being delayed
• Date of the delaying amendment filing
• Authorized signature or counsel's signature submitted to the SEC

SEC Form DEL AM Filing Deadlines

SEC Form DEL AM does not have a fixed filing deadline, unlike periodic reports or event-driven current reports. Instead, it is filed as needed when a registrant wants to delay the effectiveness of a Securities Act registration statement.

Key Things to Know About Form DEL AM Filing Rules

• Rule 473 Applies: A registrant uses Form DEL AM to submit a separately filed delaying amendment under Securities Act Rule 473 for a 1933 Act registration statement.
• Used When More Time Is Needed: This filing is commonly used when the issuer is not ready for the registration statement to become effective and wants to postpone effectiveness.
• Not a Withdrawal: Form DEL AM does not withdraw the registration statement. It only delays the effectiveness of the filing.
• Tied to Securities Act Registration Statements: The filing is associated with 1933 Act registration statements, such as Form S-1 or Form S-3 filings, and must reference the related file number.
• Event-Driven Filing: Because it is used only when a delaying amendment is needed, Form DEL AM is filed on an as-needed basis rather than according to a recurring reporting schedule.

Filings such as DEL AM are used during the registration statement process when an issuer delays the effectiveness of a public offering. Related offering activity can be monitored through the Initial Public Offerings (IPOs) section of Filing Insights. To monitor registration statement activity, effectiveness delays, and related filing changes, our EDGAR filing alerts help you track key SEC filings tied to public offerings and registration statement updates.