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 ?
It is pursuing nine separate claims, narrowed down from a longer list of allegations outlined in initial filings.
In his initial filings, Buehler listed only two stock holdings, Comcast and Exxon Mobil, in that category.
But in the initial filings for Gaillardia Brownstones, Herrington listed the unsecured claims at $1.
In the article I wrote for the Florida Bar Journal, "What Does It Cost for AAA, JAMS, or CPR to Administer an Arbitration Case and How Do the Initial Filings Vary?
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.
The authority also approved a request from the Florida Courts Technology Commission to beef up the information collected on the 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 property consists of three tax lots, and initial filings with the city hint that the development would occur in three phases.
Commencement of in rem actions in two boroughs show an increase over last year's initial filings, while one borough has gone down slightly.
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