Form F-4 POS Files Dataset

The Form F-4 POS Files dataset is a complete archive of EDGAR submissions of form type F-4 POS — post-effective amendments to Form F-4 (and, predominantly, Form F-4EF) registration statements filed by foreign private issuers under the Securities Act of 1933 in connection with cross-border business combinations such as mergers, exchange offers, and asset acquisitions. Each record is a single F-4 POS submission identified by its 18-digit EDGAR accession number, packaged as a folder containing a structured metadata.json header plus the filing's documents preserved in their original SGML <DOCUMENT> envelopes. The dataset begins with samples from February 2002 and is maintained through the present, with new submissions added as foreign private issuers file post-effective amendments to keep their effective F-4/F-4EF registrations current, reflect material changes, file omitted exhibits, or deregister unsold securities at the close of an exchange offer. Records are partitioned into monthly ZIP containers (YYYY/YYYY-MM.zip) and distributed in HTML, TXT, and JSON file formats.

Update Frequency
Daily
Updated at
2026-04-16
Earliest Sample Date
2002-02-01
Total Size
5.0 MB
Total Records
106
Container Format
ZIP
Content Types
HTML, TXT, JSON
Form Types
F-4 POS

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Dataset Index JSON API

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Dataset Files

19 files · 5.0 MB
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2020-05.zip722.8 KB6 records
2016-03.zip748.9 KB6 records
2013-05.zip33.1 KB3 records
2013-04.zip33.3 KB3 records
2012-09.zip5.7 KB1 records
2012-02.zip5.0 KB1 records
2011-07.zip9.1 KB2 records
2010-09.zip13.2 KB3 records
2009-08.zip19.6 KB2 records
2008-01.zip4.4 KB1 records
2006-07.zip1.1 MB9 records
2006-03.zip624.4 KB5 records
2004-01.zip3.9 KB1 records
2003-08.zip160.6 KB22 records
2003-04.zip494.7 KB16 records
2003-02.zip289.6 KB5 records
2002-12.zip201.7 KB8 records
2002-06.zip584.7 KB12 records
2002-02.zip22 B0 records

What This Dataset Contains

The dataset captures the entire population of EDGAR-accepted Form F-4 POS filings, the post-effective amendment mechanism for Form F-4 and Form F-4EF registration statements. Form F-4 is the registration statement used by foreign private issuers to register securities issued in business combination transactions — mergers, consolidations, asset acquisitions, exchange offers, and similar transactions in which securities of a foreign issuer are offered to U.S. holders of a target's equity. Form F-4EF is the variant that becomes effective automatically upon filing where the registrant qualifies as a well-known seasoned issuer (WKSI) and meets the criteria of Rule 462(e). A Form F-4 POS filing is the post-effective amendment to such an already-effective F-4 or F-4EF, made under Section 8(c) of the Securities Act and Rules 462(d) and 413 of Regulation C.

The post-effective amendment is functionally distinct from the original registration statement. It is filed after effectiveness, typically to:

  • keep the prospectus current under Section 10(a)(3) by introducing newly audited or interim financial statements;
  • reflect material changes to the terms of the business combination (revised exchange ratio, revised consideration mix, extended offer period);
  • incorporate by reference newly filed periodic reports (20-F, 6-K, 10-K, 10-Q, 8-K) of the registrant or the target;
  • substitute a successor registrant after a corporate reorganization;
  • file a previously omitted exhibit (legality opinion, tax opinion, accountant consent); or
  • deregister securities registered but ultimately not issued or sold at the close of an exchange offer.

A given F-4 POS may therefore range from a brief deregistration notice with a single signature block to a full reissue of the prospectus running to hundreds of pages. Every F-4 POS retains the 333- series file number of the parent F-4/F-4EF, tying every amendment back to the same continuous registration. The dataset is partitioned temporally into monthly ZIP containers grouped under year prefixes, with the underlying file types being HTML for form bodies and most exhibits, TXT for the complete-submission aggregate where included and any plaintext exhibits, and JSON for per-record metadata headers. Image binaries (GIF, JPG, PNG) are excluded; everything else from the original submission is retained.

Content Structure of a Single Record

What one record represents

One record in the Form F-4 POS Files dataset is a single EDGAR submission of form type F-4 POS. The record unit is the entire filing as transmitted to EDGAR, identified by its 18-digit accession number. Each record is materialized as a folder named after the accession number with the dashes stripped (e.g. 000119312508008559), grouped into monthly ZIP partitions of the form YYYY/YYYY-MM.zip. Inside the folder are two layers of content: a metadata.json header derived from the EDGAR submission header, and the filing's documents preserved with their original SGML <DOCUMENT> envelopes intact.

Top-level layout of a single record

A record is a directory whose contents fall into two layers:

  1. metadata.json — the structured filing header, always present, derived from the EDGAR SGML <SEC-HEADER> block. It enumerates identifiers, timestamps, the document inventory, and every legal entity attached to the submission.
  2. The submission documents — one or more text/HTML files preserved in the form they were filed. The primary document is the F-4 POS narrative itself; subsequent sequenced documents, when present, are exhibits required by Item 21 of Form F-4 (legality opinions, accountant consents, tax opinions, powers of attorney, transmittal letters, etc.). Each document opens with an EDGAR <DOCUMENT> SGML wrapper before the embedded HTML or plaintext payload.

Partitioning is purely temporal — monthly ZIPs grouped under year prefixes. Each accession folder is self-contained: there is no cross-record state, no shared exhibits, and no joining required to reconstruct one submission.

metadata.json

The metadata file is a single JSON object that mirrors the EDGAR submission header. Its top-level keys carry:

  • formType — the EDGAR form code, fixed at "F-4 POS" for every record.
  • accessionNo — the canonical hyphenated accession number (e.g. "0001193125-08-008559"), unique across all of EDGAR.
  • filedAt — ISO-8601 timestamp with timezone offset capturing the EDGAR acceptance time (e.g. "2008-01-18T10:54:52-05:00"), generally in U.S. Eastern Time.
  • description — the EDGAR human-readable form description, "Form F-4 POS - Registration of securities, foreign private issuers, business combinations, post effective".
  • linkToFilingDetails — stable URL to the primary document on www.sec.gov.
  • linkToTxt — URL to the complete-submission .txt (the SGML aggregate with all documents inlined).
  • linkToHtml — URL to the EDGAR filing-index page that lists all documents in the submission.
  • linkToXbrl — URL to XBRL data when present; for F-4 POS records this is generally empty because post-effective amendments to F-4 registration statements typically do not republish inline XBRL financial-statement tagging.
  • documentFormatFiles — array describing every document attached to the submission. Each element carries sequence (ordinal in the submission), size, documentUrl, description, and type. The first element is the F-4 POS document itself (type: "F-4 POS"); the last element is typically the complete-submission .txt. Intermediate elements are the form's exhibits.
  • dataFiles — array of structured-data files (XBRL instance, schema, calculation/label/presentation linkbases) attached to the filing. For F-4 POS records this is typically empty.
  • entities — array describing the legal entities associated with the submission. Each entity object carries the registrant identifiers parsed from the SGML header:
    • companyName with the EDGAR role suffixed in parentheses, e.g. "AIR FRANCE-KLM /FI (Filer)".
    • cik — ten-digit zero-padded Central Index Key.
    • type — entity-level form code, again "F-4 POS".
    • act — the Securities Act under which the filing is made; "33" for the Securities Act of 1933.
    • fileNo — SEC file number of the parent registration statement (a 333- prefix indicates a 1933 Act registration).
    • filmNo — the EDGAR film number assigned at acceptance.
    • sic — four-digit Standard Industrial Classification code with description appended (e.g. "4512 Air Transportation, Scheduled").
    • stateOfIncorporation — EDGAR two-character state or country code; for foreign private issuers this is typically a country code such as "I0" (France), "M2" (Japan), "X0" (Netherlands), "L2" (Bermuda), "K3" (Cayman Islands).
    • fiscalYearEnd — month-and-day of the fiscal year-end in "MMDD" form.
    • irsNo — IRS employer identification number, often "000000000" for foreign filers without a U.S. EIN.

For transactions involving multiple parties — for instance, an issuer plus a co-registrant guarantor of debt securities, or a parent and a subsidiary issuer — the entities array carries one element per role.

  • id — internal dataset identifier (32-character hex).

The primary F-4 POS document

The primary document is the post-effective amendment itself, almost always delivered as an HTML file (.htm / .html) with an EDGAR SGML wrapper preceding the HTML payload:

1 <DOCUMENT>
2 <TYPE>F-4 POS
3 <SEQUENCE>1
4 <FILENAME>df4pos.htm
5 <DESCRIPTION>POST-EFFECTIVE AMENDMENT NO. 1 TO FORM F-4
6 <TEXT>
7 <HTML>...</HTML>
8 </TEXT>
9 </DOCUMENT>

The wrapper fields (TYPE, SEQUENCE, FILENAME, DESCRIPTION) duplicate the corresponding fields in metadata.json["documentFormatFiles"], so each file can always be matched back to its metadata entry.

The HTML body follows the structure mandated by Form F-4 and General Instruction G to that form. Depending on whether the amendment is a full reissue of the prospectus or a narrow housekeeping amendment, the body may contain, in roughly this order:

  • A facing page identifying the registration statement number, the registrant, the title and amount of securities being registered or deregistered, the proposed maximum offering price, and the calculation-of-registration-fee table (often updated to reflect netting against the original fee or to deregister an unsold balance).
  • A prospectus cover page with the customary subject-to-completion legend (when the amendment delivers a refreshed prospectus), summary of the transaction, and risk-factor cross-references.
  • An explanatory note stating the purpose of the post-effective amendment. This is the most diagnostic block in the document. Common purposes include: deregistering unsold securities at the close of an exchange offer; updating the prospectus for new audited financial statements; reflecting amended business-combination terms; substituting a successor registrant; or filing a previously omitted exhibit such as a tax opinion.
  • The prospectus body governed by Form F-4 Items including Item 4 (Terms of the Transaction), Item 5 (Pro Forma Financial Information), Item 6 (Material Contacts with the Company Being Acquired), Item 8 (Interests of Named Experts and Counsel), Item 10 (Information with Respect to S-3 Registrants), Item 11 (Incorporation of Certain Information by Reference), Item 17 (Information with Respect to Foreign Registrants), and Items 18–19 (target-company information). This block governs what must be presented inline versus incorporated by reference.
  • The Part II "Information Not Required in Prospectus" section, including Item 20 (indemnification of directors and officers), Item 21 (exhibits and financial statement schedules) with its exhibit index, and Item 22 (undertakings).
  • A signatures page signed by the registrant and a majority of its directors plus the principal executive, financial, and accounting officers, conforming to the Securities Act's signature requirements. For foreign issuers, an authorized U.S. representative signature is also typically present.

For the narrow deregistration variety of F-4 POS, the body is short: an explanatory paragraph stating that the warrant exercise period or exchange-offer expiration has passed, a statement of the number of unsold shares or warrants being deregistered, the Item 22 undertakings, and the signatures.

Exhibits and additional documents

When the F-4 POS files new exhibits — rather than only incorporating prior ones by reference — each exhibit appears as an additional sequenced document, also wrapped in its own <DOCUMENT> envelope with a distinct TYPE tag. The exhibit-type vocabulary on Form F-4 follows Item 21 of Form F-4 cross-referenced to Item 601 of Regulation S-K. Exhibit types appearing in F-4 POS submissions include:

  • EX-5.x — opinion of counsel as to the legality of the securities being registered (including any successor or substituted registrant).
  • EX-8.x — tax opinion on the U.S. federal income tax (and where relevant non-U.S. tax) consequences of the transaction.
  • EX-23.x — consents of independent registered public accounting firms for the inclusion or incorporation by reference of audited financial statements of the registrant and the target.
  • EX-24.x — powers of attorney supporting the signatures.
  • EX-99.x — miscellaneous exhibits, frequently including the form of letter of transmittal, the form of notice of guaranteed delivery, press releases, or revised prospectus supplements.

Exhibits filed as part of the post-effective amendment supersede or supplement the corresponding exhibits of the original F-4 / F-4EF.

The complete-submission .txt

The documentFormatFiles array consistently lists the complete-submission .txt file as the final element. This file is the SGML container holding the full submission with all documents and the <SEC-HEADER> block inlined; it is the canonical EDGAR archival form. Its documentUrl always points to the public SEC URL even when the file itself is not physically materialized inside the per-record folder.

What the dataset record includes

Each record physically contains:

  • The metadata.json header (always present).
  • The primary F-4 POS document with its SGML wrapper and HTML payload.
  • Each sequenced exhibit document filed in HTML, plain text, or other non-image form, each preserved with its original wrapper.

The metadata's documentUrl fields preserve direct links back to SEC.gov for any document a consumer wishes to retrieve in canonical form.

What is excluded or stored separately

  • Image files (GIF, JPG, PNG) referenced from within the HTML documents are not included in the per-record folder. The HTML may carry <IMG> tags whose src attributes point to image filenames not present locally; visual reproduction requires retrieving them from EDGAR.
  • The complete-submission .txt is referenced by URL in the metadata but is not necessarily materialized in the folder; its content can be reconstructed from the per-document files plus the SGML header information already captured in metadata.json.
  • Documents from the parent F-4 or F-4EF registration statement are not included; only the post-effective amendment itself is in the record. Where the amendment incorporates by reference any prior filing — the parent F-4, the registrant's annual report on Form 20-F, interim reports on Form 6-K, proxy materials, or current reports on Form 6-K — those incorporated documents are not duplicated into the F-4 POS record.

Form-level structure and substantive evolution

Form F-4 and its post-effective amendment mechanism have been substantially stable since the form's modern adoption under Securities Act Release No. 6578 in the mid-1980s. The Item structure of Form F-4 — Items 1 through 22, divided across Part I (prospectus content) and Part II (information not required in the prospectus) — has not undergone wholesale renumbering during the dataset's coverage window beginning February 2002. Substantive disclosure content evolves chiefly through changes to the cross-referenced rules (Regulation S-K Item 503 risk factors, Item 402 executive compensation, Item 1300 mining-property disclosure, etc.) rather than through changes to F-4's own Item list.

Two regulatory developments during the coverage window are visible in record content:

  • Securities Offering Reform (2005, effective December 1, 2005)Securities Act Release No. 33-8591 introduced the WKSI concept, expanded automatic shelf registration, and refined the post-effective amendment regime under Rule 462(e). Form F-4EF, the automatic-effectiveness variant for WKSI foreign private issuers in business combinations, dates from this reform; F-4 POS records in the dataset are predominantly amendments to F-4EFs filed under the post-2005 framework.
  • Foreign-private-issuer reporting reforms (2007–2008) accelerated 20-F filing deadlines and modified the deregistration regime under Rule 12h-6, affecting the financial information that F-4 POS filings need to incorporate by reference to remain current under Section 10(a)(3).

File formats inside a record

The file types found in the dataset are HTML, TXT, and JSON: HTML for the form body and most exhibits, TXT for the complete-submission aggregate where included and for any plaintext exhibits, and JSON for the per-record metadata header. F-4 POS documents are transmitted as HTML wrapped in EDGAR's SGML <DOCUMENT> envelope, with the per-document HTML payload as the body. Although the SEC's inline XBRL mandates extend to certain financial-statement disclosures within Form F-4, post-effective amendments typically do not re-tag those statements, and the linkToXbrl field is correspondingly empty for the great majority of records in this dataset.

Interpretation and extraction notes

  • Amendment numbering and lineage. A single parent F-4 / F-4EF can give rise to multiple F-4 POS filings over time. Each amendment carries the same fileNo (the 333- series number) but a distinct accessionNo. Reconstructing the full life cycle of a registration requires grouping records by entities[].fileNo and ordering by filedAt. Matching on companyName is unreliable due to formatting drift and corporate-name changes between filings.
  • Incorporation by reference. Because Form F-4 permits extensive incorporation by reference of prior 20-F, 6-K, and proxy filings, the textual length of an F-4 POS document understates the disclosure perimeter. The body often consists primarily of references such as "the Registrant's Annual Report on Form 20-F for the fiscal year ended ..." rather than re-presented financial statements.
  • Deregistration filings. A meaningful portion of F-4 POS filings are short-form deregistration notices filed at the close of an exchange offer's acceptance period. They can be identified by an explanatory note describing the closing of the offer and a Part II undertaking deregistering securities registered but not sold.
  • Multi-entity submissions. Business-combination registrations frequently involve co-registrants — parent guarantors, subsidiary issuers, depositaries. The entities array preserves the full set; consumers should not assume one registrant per filing.
  • SGML-to-HTML extraction. Each per-document file begins with the SGML wrapper before the <HTML> element. Tools that parse the file as pure HTML must skip past the wrapper lines up to <TEXT> or treat the wrapper as plaintext metadata. Because the wrapper fields duplicate fields already structured in metadata.json["documentFormatFiles"], the JSON is generally the preferable programmatic source.
  • Foreign-issuer signature and address conventions. Signature blocks frequently include both the foreign registrant's home-jurisdiction officer signatures and a separately designated authorized U.S. representative under the Securities Act; the entities array does not always carry the U.S. agent as a distinct entity, so the signatures page is the authoritative source for that detail.
  • Calculation-of-registration-fee table. When present, the fee table on the facing page is the single most informative structured block in the document for quantifying the size of the offering or the deregistered residual; it identifies the title of each class of security, the amount being registered or deregistered, the proposed maximum offering price per unit, the proposed maximum aggregate offering price, and the registration fee (often shown as offset against the fee paid on the original F-4 / F-4EF).

Who Files or Publishes This Dataset, and When

Who files the record

Each record is one EDGAR submission of form type F-4 POS. The filer is the registrant on the parent F-4/F-4EF — a foreign private issuer that previously registered securities to be issued in a business combination (merger, consolidation, asset acquisition, or exchange offer) involving U.S. holders. The amendment is filed under the same 333- SEC file number as the parent. The filer is not a new disclosing party introduced at the post-effective stage; it is the original registrant continuing its obligation to keep the effective registration accurate, current, and properly closed out.

Filer population

Eligibility to use Form F-4 (and therefore F-4 POS) is limited to foreign private issuers as defined in Rule 405 (Securities Act) and Rule 3b-4 (Exchange Act). Within that population, F-4 POS filers fall into a few recurring categories:

  • Foreign acquirers offering their own equity, American Depositary Receipts (ADRs), or debt as consideration for a target whose holders include U.S. persons. This is the dominant case.
  • Foreign target companies issuing their own securities in reorganizations such as schemes of arrangement.
  • Co-registrant guarantors named on the parent F-4 when debt securities are part of the consideration; they remain filers on each subsequent F-4 POS.
  • Successor registrants that have assumed the registration following a holding-company restructuring or intervening merger, adopting the predecessor's registration under Rule 414.

Most F-4 POS filings in this dataset trace back to F-4EF parents, the automatically effective variant available only to well-known seasoned issuers (WKSIs) under Rule 405 and Rule 462(e). Non-WKSI foreign issuers typically file plain F-4 and amend pre-effectiveness via F-4/A.

Triggering events

F-4 POS is event-driven, not periodic. The recurring triggers are:

  1. Deregistration of unsold securities after the exchange offer, warrant, or rights exercise period closes. This is the most common trigger and is required by the Item 512 / Form F-4 Item 17 undertakings.
  2. Material change to deal terms — exchange ratio, consideration mix, conditions, or scheme structure — requiring an updated prospectus before further use.
  3. Section 10(a)(3) financial-statement freshness updates when the offering remains open past the staleness window for the registrant's audited financials (governed for FPIs by Item 8.A of Form 20-F and Rule 3-12 of Regulation S-X as adapted).
  4. Fundamental-change updates under Item 512(a)(1)(ii) of Regulation S-K — significant litigation, regulatory developments, or material contract changes affecting the disclosure picture.
  5. Exhibit additions or substitutions (tax opinion EX-8, legality opinion EX-5, accountant consent EX-23), which become effective on filing under Rule 462(d).
  6. Successor-registrant adoption under Rule 414 following a corporate restructuring during the offering.
  7. Termination of the offering with deregistration of any remaining securities.

A single parent F-4/F-4EF can generate a sequence of F-4 POS amendments — substantive updates during the offering and a final deregistration at close — all sharing the parent's 333- file number.

Timing logic

There is no fixed calendar deadline. Timing is driven by the underlying event:

  • Deregistration amendments are filed promptly after offer close (no statutory day count, but conventionally within weeks).
  • Section 10(a)(3) freshness amendments must be filed before the prospectus is reused once financials go stale, often around fiscal year-end.
  • Fundamental-change amendments must be filed before any further offers or sales relying on the prospectus.
  • Exhibit-only amendments (Rule 462(d)) and successor-adoption amendments (Rule 414) are filed when the underlying event occurs and become effective on filing.

The filedAt timestamp reflects EDGAR acceptance (U.S. Eastern Time). Unlike Form 20-F, there is no periodic due date.

Important distinctions on filer scope

  • F-4 POS vs F-4/A. Form F-4/A is the pre-effective amendment; F-4 POS is post-effective. Pre-effective amendments are not in this dataset.
  • F-4 POS vs F-4MEF. Form F-4MEF registers additional securities of the same class under Rule 462(b); it is a new registration, not an amendment, and is excluded from this dataset.
  • F-4 POS vs S-4 POS. Domestic U.S. registrants in the same business-combination posture file Form S-4 and amend via S-4 POS. The dividing line is foreign-private-issuer status.
  • F-4 POS vs POS AM. POS AM is the generic post-effective amendment code for S-1, S-3, F-1, F-3, and F-10. F-4 POS is the form-specific variant for F-4/F-4EF parents.
  • F-4 POS vs Form RW. A registrant withdrawing the entire registration before any sales files Form RW under Rule 477, not F-4 POS.
  • Filer vs target. The legal filer is the registrant FPI. The target company is generally not a filer; its disclosures appear inside the prospectus under Form F-4 Items 18 and 19, but it does not sign the EDGAR submission unless it is itself registering securities.
  • Canadian MJDS issuers. Canadian issuers eligible under the U.S.-Canada Multijurisdictional Disclosure System use Form F-80 for business-combination registrations and do not appear here.

How This Dataset Differs From Similar Datasets or Filings

Form F-4 POS sits in a tightly clustered family of Securities Act registration filings for business combinations, with parallel foreign (F-series) and domestic (S-series) tracks and several amendment mechanisms (pre-effective, post-effective, immediate-effective). The most useful comparisons are to its direct parent (F-4EF), its sibling amendment forms in the F-4 lineage, the domestic S-4 POS mirror, the generic POS AM, and the 424B prospectus-delivery route that handles changes too minor to require an amendment.

Form F-4EF (direct parent)

F-4EF is the immediately effective F-4 variant available to well-known seasoned issuers under Securities Act Rule 462, used to register securities issued in business combinations. F-4 POS exists solely to amend an already-effective F-4EF: F-4EF establishes effectiveness, F-4 POS maintains or updates it. Any F-4 POS is meaningless without the corresponding F-4EF (and often the original F-4) on the same registration file number.

Form F-4 (initial registration statement)

The standalone, full-review version of the registration. F-4 contains the complete prospectus, business descriptions of both parties, financial statements, transaction terms, fairness opinions, and tax disclosures. F-4 POS is not a standalone registration; it presupposes effectiveness and only updates portions of the live filing. F-4 filings are also far more numerous and substantially larger than the narrow F-4 POS population.

Form F-4/A (pre-effective amendment)

F-4/A is filed before effectiveness, typically responding to SEC staff comments during review. F-4 POS is filed after effectiveness, when the registration is already being used to issue securities. F-4/A is part of the iterative review cycle; F-4 POS reacts to post-effectiveness developments such as updated financials, revised deal terms, or extensions of the offering period.

Form F-4MEF

F-4MEF is the Rule 462(b) "additional shares" registration that immediately registers more securities of the same class on the same terms as a pending or recently effective F-4. It expands registered capacity; F-4 POS amends disclosure within an existing registration without (typically) adding shares. Both rely on streamlined effectiveness, but they answer different needs: capacity expansion vs. disclosure update.

Form S-4 POS (domestic mirror)

Mechanically and procedurally identical to F-4 POS. The only meaningful distinctions are the issuer population (U.S. domestic registrant vs. foreign private issuer) and the underlying disclosure regime carried through from the parent form (Regulation S-K/S-X vs. Form 20-F-style foreign-issuer disclosure, IFRS or reconciled financials, home-country governance). For complete coverage of post-effective business-combination amendments, Form S-4 POS and F-4 POS together form the full pair.

POS AM (generic post-effective amendment)

POS AM is the catch-all post-effective amendment used for S-1, S-3, S-11, F-1, F-3, and other registrations that lack a form-specific POS variant. F-4 POS is the form-specific equivalent for the F-4EF lineage. They serve the same legal role under Section 8 and Rule 462 but are not interchangeable: F-4 POS is restricted to F-4EF parents and tied to a specific business combination, while POS AM typically attaches to shelf or continuous offerings. A complete view of a foreign issuer's post-effective amendments requires both.

424B prospectus supplements (424B1-424B8)

424B filings deliver the final or supplemental prospectus under Rule 424 after effectiveness. They handle routine pricing supplements, takedown prospectuses, and minor disclosure updates without amending the registration itself. F-4 POS is an actual amendment to the registration statement and is required when the change is material enough that Rule 424 supplementation is insufficient (fundamental changes to the offering, certain selling-securityholder additions, substantive prospectus revisions). Small pricing or terms updates flow through 424B1-424B8; fundamental changes flow through F-4 POS.

Form RW (registration withdrawal)

RW withdraws a registration statement under Rule 477. F-4 POS and RW move in opposite directions on the registration lifecycle: F-4 POS continues and updates an effective registration; RW terminates one. An abandoned business combination would be addressed through RW or a deregistering POS reducing the registered amount, not through an ordinary F-4 POS update.

Boundary summary

F-4 POS occupies a narrow slot: post-effective amendments to F-4EF business-combination registrations filed by foreign private issuers. It differs from F-4 by being an amendment rather than an origination; from F-4/A by occurring after rather than before effectiveness; from F-4MEF by updating disclosure rather than adding shares; from S-4 POS only by issuer nationality and disclosure regime; from POS AM by being form-specific rather than generic; from 424B by amending the registration itself rather than delivering a prospectus; and from RW by sustaining rather than withdrawing the registration. To reconstruct a full foreign-issuer deal record, F-4 POS must be paired with the underlying F-4/F-4EF and any associated F-4/A, F-4MEF, and 424B filings on the same registration file number.

Who Uses This Dataset

The Form F-4 POS Files dataset serves a narrow set of practitioners who work on cross-border business combination deals, the disclosure that supports them, and the trading and operational activity they generate.

Cross-border M&A and capital markets lawyers

Securities counsel advising foreign private issuers use the dataset as a precedent library for post-effective amendments. They focus on the explanatory note, revised description of securities, updated risk factors, amended exchange-ratio or consideration language, and refiled legality, tax, and fairness opinions in the exhibit index. The output is drafting precedent and judgments on when a POS suffices versus a sticker supplement or a fresh F-4.

Foreign private issuer in-house disclosure teams

In-house securities teams at non-U.S. registrants benchmark amendment practice: what triggered prior POS filings, how peers handle incorporation by reference of recent 20-F or 6-K updates, and how dual-language or home-country cross-references are framed. The output is internal disclosure controls, refresh calendars, and explanatory-note templates.

M&A and capital markets bankers on stock-for-stock cross-border deals

Deal teams study how amendments handle revised consideration tables, updated pro forma financials, election procedures, and proration rules. They focus on the amended offer sections, comparison of shareholder rights, and any refiled fairness opinions. The dataset informs structuring advice, timing of registration refreshes, and views on whether material changes can be absorbed by POS or require recirculation.

Risk arbitrage and event-driven analysts

Analysts trading deal spreads on cross-border exchange offers treat each POS as a material update to a live transaction. They focus on changes to the exchange ratio, collars, walk-away rights, regulatory conditions, expiration extensions, minimum tender thresholds, and tax disclosure. The dataset supports backtests linking amendment types to spread movements and templates for what a POS-driven event looks like in comparable deals.

Transaction tax counsel

Tax advisors structuring Section 367 and Section 368 reorganizations compare how peers describe U.S. federal income tax consequences in post-effective amendments. They focus on the tax considerations section, tax opinion exhibits, PFIC and CFC discussions, and amendments responding to changes in tax law. The output is tax disclosure drafting and benchmarking of inversion and treaty risk language.

Exchange agents, depositaries, and information agents

Operational teams administering cross-border tender and exchange offers track amended election forms, letters of transmittal, instructions to nominees, expiration mechanics, and revised proration or odd-lot provisions in the exhibits. The dataset supports system updates, tender processing readiness, and coordination with transfer agents on settlement timing.

Restructuring advisors on exchange offers

Advisors restructuring debt or equity of foreign issuers consult POS filings that respond to shifting market conditions, revised participation thresholds, or amended consent terms. They focus on revised indenture exhibits, amended consideration tables, and fallback risk factors to inform amend-versus-withdraw decisions.

Broker-dealer compliance and supervision

Compliance officers at firms acting as dealer-managers or soliciting dealers monitor POS filings to confirm the prospectus being distributed is current. They focus on amended delivery mechanics, jurisdictional and selling restrictions, and dealer-manager exhibits. The dataset supports supervisory procedures and tracking of which version of the registration statement is operative.

Deal-database engineers and data vendors

Data teams building cross-border M&A databases ingest POS filings to enrich event timelines tied to parent F-4EF registrations. They use the metadata file for accession numbers, CIKs, dates, and form types, and parse the HTML and TXT documents for amendment narratives, exhibit lists, and incorporated-document references. The output is linked POS-to-F-4EF event chains and signals on amendment frequency and cause.

Securities law academics and policy researchers

Researchers studying foreign private issuer access to U.S. capital markets, the WKSI regime, and automatic shelf registration in business combinations use the corpus to categorize amendment triggers, measure intervals between effectiveness and consummation, and study completion patterns for cross-border deals.

LLM and RAG developers for M&A retrieval

Teams building retrieval systems for cross-border deal research use the HTML and TXT documents as embedding content and the JSON metadata for structured filtering by filer, date, and form. The narrow corpus supports fine-tuning and evaluation of models that must distinguish original registration content from post-effective changes.

Specific Use Cases

The use cases below tie directly to fields in metadata.json, the explanatory note, the exhibit index, and the calculation-of-registration-fee table.

Reconstructing the lifecycle of a cross-border registration

Group records by entities[].fileNo (the 333- series number) and order by filedAt to assemble the full chain of post-effective amendments tied to a parent F-4 / F-4EF. The output is a per-deal event timeline showing each amendment, its purpose, and the elapsed time between effectiveness and consummation, suitable for feeding into M&A databases or completion-rate studies.

Classifying amendment triggers from the explanatory note

Parse the explanatory note at the top of each primary F-4 POS document to bucket filings into deregistration of unsold shares, Section 10(a)(3) financial refresh, revised business-combination terms, successor-registrant substitution, or omitted-exhibit filing. The output is a labeled corpus that securities counsel and academics use to benchmark when a POS suffices versus when a fresh F-4 or sticker supplement is required.

Quantifying deregistered residuals at exchange-offer close

Extract the calculation-of-registration-fee table from short-form deregistration POS filings to capture the title of class, amount being deregistered, and any fee offset against the original F-4 / F-4EF. The output is a per-deal measure of unsold securities at the close of an exchange offer, useful for take-up analysis on cross-border tender offers and for risk arbitrage post-mortems.

Building a precedent library of refiled exhibits

Index the EX-5, EX-8, EX-23, EX-24, and EX-99 exhibits filed within F-4 POS submissions to construct a searchable corpus of legality opinions, tax opinions, accountant consents, powers of attorney, and revised letters of transmittal. Cross-border M&A counsel and tax advisors retrieve these by registrant, jurisdiction (stateOfIncorporation), and SIC code to source drafting precedent for new deals.

Monitoring live-deal updates for event-driven trading

Watch new F-4 POS arrivals in the monthly partitions and diff the amended offer terms (exchange ratio, collars, expiration date, minimum tender, proration) against the prior effective prospectus. The output is a real-time signal feed that risk arbitrage desks and dealer-manager compliance teams use to confirm which prospectus version is operative and to reprice deal spreads on cross-border exchange offers.

Powering retrieval and fine-tuning for cross-border deal research

Use the HTML and TXT document bodies as embedding content and metadata.json for structured filters on filer CIK, fiscal-year-end, country of incorporation, and filedAt. The narrow, well-bounded corpus supports RAG systems and evaluation sets that must distinguish original F-4 disclosure from post-effective changes when answering questions about a specific transaction.

Dataset Access

The Form F-4 POS Files dataset is available through three access methods: a JSON API for dataset metadata, a full archive download, and individual container downloads.

Dataset Index JSON API: https://api.sec-api.io/datasets/form-f4-pos-files.json

This endpoint returns dataset metadata including name, description, last updated timestamp, earliest sample date (2002-02-01), total records and total size, form types covered (F-4 POS), the container format (ZIP), and the included file types (HTML, TXT, JSON). It also lists every available container with its size, record count, last updated timestamp, and direct download URL. Use this endpoint to monitor which containers were refreshed in the most recent update run and decide which files to download incrementally. No API key is required to access this endpoint.

Example
1 {
2 "datasetId": "1f13365b-9ae0-6a50-a824-f842c40afda6",
3 "datasetDownloadUrl": "https://api.sec-api.io/datasets/form-f4-pos-files.zip",
4 "name": "Form F-4 POS Files Dataset",
5 "updatedAt": "2026-04-16T08:44:39.294Z",
6 "earliestSampleDate": "2002-02-01",
7 "totalRecords": 106,
8 "totalSize": 5038637,
9 "formTypes": ["F-4 POS"],
10 "containerFormat": "ZIP",
11 "fileTypes": ["HTML", "TXT", "JSON"],
12 "containers": [
13 {
14 "downloadUrl": "https://api.sec-api.io/datasets/form-f4-pos-files/2026/2026-03.zip",
15 "key": "2026/2026-03.zip",
16 "size": 412874,
17 "records": 4,
18 "updatedAt": "2026-04-16T08:44:39.294Z"
19 }
20 ]
21 }

Download Entire Dataset: https://api.sec-api.io/datasets/form-f4-pos-files.zip?token=YOUR_API_KEY

Downloads the complete dataset as a single ZIP archive containing every Form F-4 POS filing from February 2002 to present. This endpoint requires a valid API key.

Download Single Container: https://api.sec-api.io/datasets/form-f4-pos-files/2026/2026-03.zip?token=YOUR_API_KEY

Downloads one monthly container archive instead of the entire dataset. Replace the year and month path segments to target a specific period. This endpoint requires a valid API key.

Frequently Asked Questions

What form does this dataset cover?

The dataset covers EDGAR form type F-4 POS — post-effective amendments to Form F-4 and Form F-4EF registration statements filed by foreign private issuers under Section 8(c) of the Securities Act of 1933 and Rules 462(d) and 413 of Regulation C. Each filing carries the same 333- SEC file number as its parent F-4/F-4EF registration.

What does one record in this dataset represent?

One record is a single EDGAR submission of form type F-4 POS, identified by its 18-digit accession number and materialized as a folder (e.g. 000119312508008559) containing a metadata.json header plus the filing's documents — the primary post-effective amendment narrative and any sequenced exhibits — preserved in their original SGML <DOCUMENT> envelopes.

Who is required to file Form F-4 POS?

The filer is a foreign private issuer (as defined in Rule 405 of the Securities Act and Rule 3b-4 of the Exchange Act) that previously registered securities on Form F-4 or F-4EF for issuance in a business combination — typically a foreign acquirer offering equity, ADRs, or debt as consideration in a merger or exchange offer involving U.S. holders. Co-registrant guarantors and successor registrants under Rule 414 may also appear as filers.

How often are records added?

F-4 POS is event-driven, not periodic. Records are added whenever a foreign private issuer files a post-effective amendment — most commonly to deregister unsold securities at the close of an exchange offer, to refresh financial statements under Section 10(a)(3), to reflect material changes to deal terms, or to file omitted exhibits such as legality, tax, or accountant-consent opinions. New monthly ZIP partitions are populated as filings arrive.

What time period does the dataset cover?

The earliest sample in the dataset is dated February 1, 2002, and coverage continues through the present. Records are partitioned into monthly ZIP containers under year prefixes (YYYY/YYYY-MM.zip), allowing both full-archive and incremental retrieval.

What file formats are included?

Each record contains JSON (the metadata.json header), HTML (the primary F-4 POS document and most exhibits, wrapped in EDGAR's SGML <DOCUMENT> envelope), and TXT (the complete-submission aggregate where included and any plaintext exhibits). Image binaries (GIF, JPG, PNG) referenced by the HTML are excluded from the per-record folder. XBRL tagging is generally absent because post-effective F-4 amendments typically do not republish inline XBRL financial-statement data.

How does this dataset differ from the F-4 and F-4EF datasets?

Form F-4 is the initial standalone registration statement and Form F-4EF is its automatically effective WKSI variant under Rule 462(e); both establish effectiveness. Form F-4 POS, by contrast, is the post-effective amendment that maintains, updates, or closes out an already-effective F-4 or F-4EF — it presupposes effectiveness and shares the same 333- file number as its parent. To reconstruct a complete cross-border deal record, F-4 POS records should be joined to the corresponding F-4/F-4EF, F-4/A, F-4MEF, and 424B filings on the same registration file number.

How does F-4 POS differ from S-4 POS and POS AM?

F-4 POS and S-4 POS are mechanically identical post-effective amendments; the dividing line is the issuer population — F-4 POS is for foreign private issuers, S-4 POS is for U.S. domestic registrants. POS AM is the generic post-effective amendment code used for S-1, S-3, F-1, F-3, F-10, and similar shelf or continuous-offering registrations that lack a form-specific POS variant; F-4 POS is the form-specific equivalent restricted to F-4/F-4EF parents tied to a specific business combination.