Initial filing

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Initial filing

Has various meanings. It could refer to a form that is filed with the Securities and Exchange Commission in advance of a major event, such as a public offering or a share repurchase. It could also refer to filings that occur before legal inside transactions.

Initial Filing

1. The act of a company registering with the SEC, such as before its initial public offering.

2. The forms that must be filed in order to conduct a legal inside transaction.
References in periodicals archive ?
The author addresses a variety of subjects, including introductory and basic information, creation of a security interest, sale and deficiency, initial filings and amendments, exceptions to perfection by filing, secured party v.
US Energy Group announced that the initial filings for hundreds of clients' buildings have been successfully processed with New York City's new benchmarking regulations under Local Law 84 and established that they were indeed in compliance.
By refiling ourindividual rate requests, we will also utilize updated and real-time medical utilization information as well as address inadvertent miscalculations related to the way in which we estimated our future medical costs in our initial filings.
This news comes as the number of lis pendens filings has skyrocketed in the region, with 10 times as many initial filings on defaulted mortgages made in the first week of 2010 compared to the same week a year earlier.
Coakley maintains the initial filings would cut rates by 6 percent.
Only 17 percent of initial filings with these claims were accompanied by company announcements reporting the presence of internal control weaknesses over financial reporting.
The initial filings will be seeking damages in excess of several hundred million dollars.
Commencement of in rem actions in two boroughs show an increase over last year's initial filings, while one borough has gone down slightly.
According to a survey taken by MarketWatch, economists expected initial filings for state unemployment benefits to drop to 315,000, which would be a drop of 4,000.
While the initial filings were completed earlier in the year, the final filings were not filed until October of 2000 because approval of the merger was subject to the completion of the definitive agreement with UtiliCorp United Inc.
These initial filings have been done as a precursor to and in conjunction with the company's preparation of a Pre-Market Notification (510K) to the FDA for approval to market the Hypo-Sterile 2000 in the United States.
In addition to his day-to- day responsibilities, he will be spearheading our efforts to rapidly move forward with a number of initiatives designed to enhance shareholder value, including our initial filings with the SEC as well as our anticipated listing on Nasdaq," said Shawn Lucas, Chairman and Co-CEO of Miracom Corporation.
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