Return to Forms List

Form N23C3C/A Filings

SEC Form N23C3C/A is an amendment filing used by registered closed-end investment companies to revise a previously submitted notice of a periodic repurchase offer filed under Rule 23c-3(b) and (c) of the Investment Company Act of 1940.

+ Create Alert
Rows per page
ID Form Filer Name Filing Agent Date Actions
No Data Found

What Is SEC Form N23C3C/A?

SEC Form N23C3C/A is an amendment to an earlier Form N23C3C filing. It is used by a registered closed-end investment company to update, correct, or revise information previously provided to the Securities and Exchange Commission (SEC) regarding a periodic repurchase offer conducted under Rule 23c-3(b) and (c).

This form is typically filed when a fund needs to amend details in its original repurchase offer notice, such as dates, pricing information, offer terms, or other related disclosures. The amendment allows the fund to keep the SEC record accurate and current while reflecting the revised shareholder repurchase offer information.

Form N23C3C/A ensures transparency by formally updating the SEC record for an existing periodic repurchase offer notice filed under both Rule 23c-3(b) and Rule 23c-3(c). It does not serve as a registration statement or termination filing, but rather as an amendment to a prior notice filing tied to a shareholder repurchase offer.

Key elements typically found in SEC Form N23C3C/A include:

  • Name of the fund
  • File number and identifying information
  • Reference to the original Form N23C3C filing
  • Revised repurchase offer details
  • Updated dates or offer terms
  • Amendment filing date

SEC Form N23C3C/A Filing Deadlines

SEC Form N23C3C/A does not have a standalone fixed filing deadline in the same way as the original notice filing. It is generally filed on an as-needed basis when a fund must amend or correct information previously reported on Form N23C3C.

Filing Stage Timeline Details
Original Form N23C3C Filing As needed Filed in connection with a periodic repurchase offer under Rule 23c-3(b) and (c)
Form N23C3C/A Amendment Filing As needed Filed when previously reported information must be updated, corrected, or revised
Amendment Effective Date Upon filing The amended notice becomes part of the SEC filing record when submitted
Fixed Deadline Not applicable The amendment is event-driven and depends on changes to the original filing information

Key Things to Know About Form N23C3C/A Filing Rules

  • Amendment to Prior Filing: Form N23C3C/A is used only to amend a previously filed Form N23C3C
  • Used for Updates or Corrections: Funds may file this amendment to revise dates, offer terms, pricing details, or other information in the original notice.
  • Event-Driven Filing: There is no separate annual or periodic deadline for Form N23C3C/A. It is filed when changes to the original notice make an amendment necessary.
  • Applies to Rule 23c-3(b) and (c) Notices: This amendment form relates specifically to periodic repurchase offer notices filed under both provisions.
  • Part of the SEC Record: Once filed, Form N23C3C/A updates the official SEC record associated with the original repurchase offer notice.

Our SEC Edgar Search tools track investment company filings such as Form N23C3C/A, Form N-23C3C, Form N‑23C3B, and Form N‑23C3A, which interval funds use to report the results of periodic repurchase offers under Rule 23c‑3 of the Investment Company Act of 1940.

From the Blog

View All