Return to Forms List

Form SC14D9F Filings

SEC Form SC14D9F is a formal filing used by eligible foreign private issuers to disclose their solicitation or recommendation statement in response to a tender offer made under the cross-border tender offer rules.

+ Create Alert
Rows per page
ID Form Filer Name Filing Agent Date Actions
22008113SC14D9FAurora Cannabis IncToppan Merrill/fa09/02/2026
View
...

What Is SEC Form SC14D9F?

SEC Form SC14D9F is an important filing required under Section 14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c). It is used by an eligible Canadian foreign private issuer to officially notify the Securities and Exchange Commission (SEC) of its position on a tender offer and provide the related disclosure to security holders.

This form is typically filed when a foreign private issuer is the subject company in a tender offer conducted under Rule 14d-1(b). Once Form SC14D9F is submitted, it provides the issuer’s recommendation, rejection, neutral position, or statement that it is unable to take a position, along with supporting disclosure.

Form SC14D9F ensures transparency by formally notifying investors and regulators of the subject issuer’s position during a cross-border tender offer. It helps security holders evaluate the offer using disclosure prepared under the applicable tender offer framework.

Key elements typically found in SEC Form SC14D9F include:

  • Name of the subject company and class of securities involved
  • Jurisdiction of the subject company’s incorporation or organization
  • Name of the person filing the statement
  • Summary of the subject issuer’s recommendation or position on the tender offer
  • Material information supporting the recommendation or position
  • Exhibits and related tender offer disclosure documents

SEC Form SC14D9F Filing Deadlines

SEC Form SC14D9F is generally filed on an event-driven basis in connection with a tender offer subject to Rule 14d-1(b). These timing requirements are important to ensure regulatory compliance and provide prompt notice to investors.

Filing Stage Timeline Details
Initial Recommendation Statement No later than 10 business days after the tender offer is first published, sent, or given The subject issuer must disclose its position to security holders in accordance with Rule 14e-2(c)
Form SC14D9F Filing As needed Filed with the SEC in connection with the subject issuer’s solicitation or recommendation statement
Amendment Filing As needed Filed promptly if a material change occurs in the information previously disclosed
Ongoing Tender Offer Updates Not applicable Additional disclosure may be required depending on developments in the tender offer

Key Things to Know About Form SC14D9F Filing Rules

  1. Foreign Private Issuer Filing: Form SC14D9F is used by eligible foreign private issuers, generally Canadian issuers, in connection with tender offers conducted under Rule 14d-1(b).
  2. Tender Offer Response Required: The form communicates whether the subject issuer recommends acceptance, recommends rejection, expresses no opinion, or states that it is unable to take a position on the offer.
  3. Filed With Supporting Disclosure: Form SC14D9F typically includes or incorporates disclosure materials that explain the basis for the issuer’s position and any related tender offer communications.
  4. Amendments May Be Necessary: If material information changes after the initial filing, the issuer may need to amend the filing to keep the disclosure current.
  5. Cross-Border Tender Offer Context: The form is part of the SEC’s cross-border tender offer framework and is used together with related filings such as Schedule 14D-1F and other tender offer materials.

SEC Form SC14D9F is a filing used by foreign issuers to disclose their position on a tender offer, including recommendations or responses to the offer. Analysts may monitor ecosystem participants like new SEC filing agents and conduct broader SEC filing analytics.

From the Blog

View All