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Form N23C3B/A Filings

SEC Form N23C3B/A is an amendment filing used by registered closed-end investment companies or business development companies to amend a previously filed Form N-23C-3 submitted pursuant to Rule 23c-3(c). It is used when a filer needs to update or correct information relating to a discretionary repurchase offer previously reported to the SEC.

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What Is SEC Form N23C3B/A?

SEC Form N23C3B/A is an amendment to Form N23C3B, the submission type used for a notification of repurchase offer filed pursuant to Rule 23c-3(c) only. It allows an investment company to revise an earlier filing when information needs to be corrected or updated.

Key elements typically found in SEC Form N23C3B/A include:

  • Name of the investment company
  • Investment Company Act file number
  • Date of notification
  • Address of principal executive office
  • Identification that the filing relates to Rule 23c-3(c)
  • Amended or corrected repurchase offer information
  • Authorized signature and title
  • These elements are reflected in the SEC’s Form N-23c-3 and EDGAR submission type references for Form N-23C-3 amendments.

SEC Form N23C3B/A Filing Deadlines

SEC Form N23C3B/A does not have a separate fixed filing deadline in the same way as the original Form N-23C-3 filing. It is generally filed as needed when a previously submitted Form N23C3B must be amended or corrected. The original Form N-23C-3 is required to be filed within three business days after the notification is sent to shareholders.

Filing Stage Timeline Details
Shareholder Notification As required under Rule 23c-3(c) The repurchase offer notice is sent to shareholders
Original Form N23C3B Filing Within three business days after notification is sent The initial filing is submitted to the SEC
Form N23C3B/A Filing As needed Filed to amend or correct a previously submitted Form N23C3B
Amendment Effective Date Not applicable The amendment updates the prior filing and does not create a separate statutory effectiveness period

Key Things to Know About Form N23C3B/A Filing Rules

  • Amendment to a Prior Filing: Form N23C3B/A is used only to amend a previously filed Form N23C3B and is not a standalone repurchase offer notice.
  • Rule 23c-3(c) Context: This amendment relates to filings made under paragraph (c) of Rule 23c-3, which covers discretionary repurchase offers.
  • Original Filing Timing Still Matters: The underlying Form N-23C-3 filing must be submitted within three business days after notice is sent to shareholders.
  • Used to Correct or Update Information: Filers generally use Form N23C3B/A when details in the original submission need revision, correction, or updating.
  • Electronic EDGAR Submission Type: The SEC’s EDGAR filing references identify N23C3B/A as the amendment submission type for Form N23C3B.

To review related investment company filings, compare filing patterns, or search SEC filings alongside broader filing insights, this form can be monitored within the SEC’s EDGAR filing system.

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