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Form N-23C-2/A Filings

SEC Form N-23C-2/A is an amended filing used by registered closed-end investment companies to update a previously filed Rule 23c-2 notice of intention to call or redeem their own securities under the Investment Company Act of 1940.

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What Is SEC Form N-23C-2/A?

SEC Form N-23C-2/A is an amendment to a previously filed Form N-23C-2. It is used by a registered closed-end investment company when it needs to revise or update its notice of intention to call or redeem its own securities under Rule 23c-2, typically before the scheduled redemption date.

Key elements typically found in SEC Form N-23C-2/A include:

  • Name of the registrant and Investment Company Act file number
  • Title of the class or series of securities proposed to be redeemed
  • Date set for the call or redemption
  • Applicable provisions of the charter, indenture, or other governing instrument
  • Updated or corrected redemption details reflected in the amendment
  • Signature of an authorized officer on behalf of the company

SEC Form N-23C-2/A Filing Deadlines

SEC Form N-23C-2/A does not have a separate fixed annual deadline. It is an event-driven amendment filing used when a previously filed Rule 23c-2 notice needs to be revised in connection with a proposed redemption.

Filing Stage Timeline Details
Initial Rule 23c-2 Notice At least 30 days before redemption date The company files notice of its intent to call or redeem securities
Form N-23C-2/A Amendment As needed Filed electronically to amend or update a previously submitted Rule 23c-2 notice
Publication Notice At least 10 days before publication Applies if notice of the call or redemption must be published in a newspaper or otherwise
Redemption Date On the date set for redemption Securities are called or redeemed under the terms of the governing instrument

Key Things to Know About Form N-23C-2/A Filing Rules

  • Amendment to Prior Notice: Form N-23C-2/A is used only to amend a previously filed Form N-23C-2 notice under Rule 23c-2.
  • Rule 23c-2 Timing Still Applies: The underlying Rule 23c-2 notice generally must be filed at least 30 days before the date set for the call or redemption, unless specific relief applies.
  • Used by Closed-End Investment Companies: The form applies to registered closed-end investment companies redeeming their own securities under Investment Company Act Rule 23c-2.
  • Information May Be Limited in Certain Redemptions: If all of the outstanding securities of a class or series are being redeemed, the notice may state only the title of the securities, the redemption date, and the applicable governing provisions.
  • Event-Driven Filing: There is no fixed periodic deadline for Form N-23C-2/A. It is filed as needed when redemption terms or notice details are revised.

To monitor amended redemption notices, fund disclosures, and related SEC activity, our SEC filing monitoring alert helps you review closed-end fund filings, compare amendments, and follow filing activity through top filing agents

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