Katelynn's Report

Katelynn's Report

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Form DEF 14A

What is it: Form DEF 14A is filed to inform shareholders about an upcoming voting, usually filed before shareholder's meeting (e.g. annual meeting). It is also known as proxy statement. The form provides sharesholders information about the voting (E.g. date/place of the voting, and what is going to be voted), background and compensation of the management team, and the audit committee. Issues covered in the statement include proposal for change in manager team, proposal for change in benefit of directors, proposal for increase the number of shares outstanding, proposal for change in accounting firm, etc. The form must be filed with SEC before being sent to shareholders. The SEC makes sure that materials related to the proposal are properly disclosed. Investors can choose to vote by themselves, or authorize a proxy to vote on their behalf. The voting result will be disclosed in Form 8-K in few days/weeks.

Filing Time: Before shareholder's meeting.

Related Form(s):
DEFC14A: Definitive proxy statement with contested solicitations.
DEFM14A: Definitive proxy statement relating to merger or acquisition.
DEFN14A: Definitive proxy statement filed by non management.
DEFR14A: Definitive revised proxy soliciting materials.
DEF 14C: Definitive information statements.
DEFA14C: Definitive additional information statement materials including Rule 14(a)(12) material.
DEFA14A: Definitive additional proxy soliciting materials including Rule 14(a)(12) material.
DEFC14C: Definitive information statement with contested solicitations.
DEFM14C: Definitive information statement relating to merger or acquisition.
DEFR14C: Definitive revised information statement materials.
DFAN14A: Definitive additional proxy soliciting materials filed by non-management.
DFRN14A: Revised definitive proxy statement filed by non-management.
PRE 14A: Preliminary proxy statement not related to a contested matter or merger / acquisition.
PRE 14C: All preliminary information statements, excluding, mergers, contested solicitations and special meetings.
PREC14A: Preliminary proxy statements - contested solicitations.
PREA14A: Preliminary proxy statements.
PREC14C: Preliminary information statements - contested solicitations.
PREM14A: Preliminary proxy statements relating to merger or acquisition.
PREM14C: Preliminary information statements relating to merger or acquisition.
PREN14A: Non-management preliminary proxy statements not involving contested solicitations.
PRER14A: Revised preliminary materials: Proxy soliciting materials.
PRER14C: Revised preliminary materials: Information statements.
PRES14A(obsolete): Preliminary proxy materials: special meeting.
PRES14C(obsolete): Preliminary information statements: special meeting.
PRRN14A: Non-management revised preliminary proxy soliciting materials for both contested solicitations and other situations.
PX14A6G: Voting solicitation letter send to shareholders.
PX14A6N: Notice of exempt solicitation.

Tips: About 5,000~7,000 Form DEF 14A are filed each year by 5,000~7,000 different filers (2008~2014 statistics). Similar number of filings is seen for DEFA14A.