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Form UNDER/A Filings

SEC Form UNDER/A is an EDGAR submission type used to amend an initial undertaking to file reports that is submitted in connection with certain Securities Act registration statement processes.

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What Is SEC Form UNDER/A?

SEC Form UNDER/A is an EDGAR submission type used to amend an initial undertaking to file reports that was previously submitted as UNDER, most commonly in connection with registration statement workflows such as SEC Form S-6.

  • Who Files It?
    • Registrants who previously filed an UNDER submission and need to correct or update that undertaking.
  • When Is It Filed?
    • As needed, based on when an amendment is required after the original undertaking is submitted.
  • What Is It Used For?
    • To amend an initial undertaking to file reports that are associated with the related registration statement filing process.
  • Where Is It Filed?
    • Filed electronically through the SEC’s EDGAR system as submission type UNDER/A.
  • Associated Regulations:
    • Securities Act registration statement processes where an undertaking to file reports is required (including contexts associated with Form S-6).

SEC Form UNDER/A Filing Deadlines

SEC Form UNDER/A does not have a fixed, recurring deadline. It is filed on an event-driven basis when a filer must amend a previously submitted undertaking, and timing depends on the underlying registration statement context and the need to correct or update the original submission.

Filing Type Deadline Notes
Initial Filing Not applicable The initial undertaking is filed using the submission type UNDER.
Amendment Filing As needed Filed when changes or corrections are required to a previously filed undertaking.
Late Filing Not applicable This submission type is not tied to a standalone calendar-based due date.
Public Availability Immediately Available publicly on EDGAR upon acceptance.

Key Things to Know About Form UNDER/A Filing Rules

  • Electronic filing only: Form UNDER/A is submitted electronically through EDGAR as a distinct submission type and is typically prepared using EDGAR filing tools associated with filer-constructed submissions.
  • Notification vs. approval: Filing UNDER/A does not represent an SEC approval action; it is used to transmit an amended undertaking as part of the electronic record for the related filing process.
  • Effectiveness timeline: UNDER/A does not establish an effectiveness date on its own; it functions as an amendment to the undertaking record and is driven by when corrections or updates are needed.
  • Exchange and issuer coordination: This submission type is generally tied to the registrant’s registration statement workflow rather than exchange-driven listing actions, and it is filed when the registrant must update the original undertaking submission.
  • Public availability: UNDER/A submissions can be tracked and retrieved in EDGAR like other submission types, including through aggregated indexes such as Form UNDER/A filings and monitoring tools like SEC Filing Real-time Alerts

SECFilingData.com provides tools to search and monitor EDGAR submission activity, including programmatic access through the SEC Filings API for tracking submission types and related filing history.

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