Initial filing

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 ?
At the time of the initial filing, Sun Dental Holdings was one of the largest companies to file under the revised Regulation A and one of the first companies to become qualified by the SEC to raise up to $20 million.
The economic evaluation in those reports had been prepared on a pre-tax basis, which was considered customary at the time of their initial filing.
Its initial filing shows it has assets of between $10 million and $50 million, but a more detailed report is due on Oct.
The initial filing indicated $1 billion will be raised in the public offering, but that amount is expected to be greatly boosted with later amendments.
notes that Expro has made an initial filing with the Securities Exchange
As a result, Etisalat will make an initial filing of the tender offer documentation with the Moroccan Capital Market Authority within the prescribed time period.
The Gulf Coast line is the southern leg of TransCanada's controversial Keystone XL project, which, more than five years after the initial filing, is still awaiting a final decision from the Obama Administration.
House rules call for the committee to conduct the investigation behind closed doors, and require the allegations, proceedings and initial filing of a complaint be kept confidential.
Telestone will request an extension, because the company requires additional time to complete the report and is therefore unable to file its third-quarter 2012 report on form 10-Q by the initial filing deadline of November 14, 2012.
This can be followed up by filing, up to one year after the initial filing date, a patent application under an international system called the Patent Cooperation Treaty (PCT).
In most cases, the issuing firm reveals the initial price range on the initial filing day.
told the court in his initial filing involving the "individual mandate" that the Constitution gives Congress vast powers to regulate economic activity and resolve a "crisis" in the national health-care market.
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