Are You Filing 8-Ks For Financing Transactions?


Last week Securities attorney Laura Anthony shared a blog post titled “SEC Cracks Down On Failure To File 8-K For Financing Activities; An Overview Of Form 8-K“.

Back in September, the SEC brought enforcement actions against issuers for the failure to file 8-K’s associated with corporate finance transactions. Specifically, issuances related to PIPE transactions involving the issuance of convertible debt, preferred equity, warrants and similar instruments.

Anthony noted that “Prior to the release of [the September actions], I have been hearing rumors in the industry that the SEC has issued “hundreds” of subpoenas (likely an exaggeration) to issuers related to PIPE transactions and in particular to determine 8-K filing deficiencies.”

For a detailed review of 8-K filing requirements and related SEC actions, check out Laura Anthony’s blogpost HERE.






Securities and Exchange Commission

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