The Form F-4EF Files Dataset is a closed, finite EDGAR corpus of auto-effective registration statements filed under the Securities Act of 1933 by foreign private issuers registering securities issued in connection with the formation of a qualifying bank or savings and loan holding company. Each record in the dataset corresponds to a single Form F-4EF submission accepted by EDGAR, identified by its 18-character accession number, and packages a structured metadata.json header alongside the registration-statement HTML document(s) from the original submission. The filer is the newly formed top-tier holding company itself, registering pursuant to General Instruction G of Form F-4, which makes the registration effective automatically upon filing. The dataset covers EDGAR submissions of submission type F-4EF from July 2020 through the form's discontinuation in January 2024, so the corpus is closed-ended on the forward side: no new F-4EF accessions are added after January 2024, though historical filings remain on EDGAR. Files are distributed in ZIP containers and contain HTML and JSON file types.
Programmatically retrieve the full list of dataset archive files, download URLs and dataset metadata.
Dataset Index JSON API
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The dataset captures the full population of EDGAR Form F-4EF submissions during the window the submission type was in active use. Form F-4EF is an auto-effective registration statement filed under the Securities Act of 1933 by a foreign private issuer pursuant to General Instruction G of Form F-4. It registers securities issued by a newly formed holding company in connection with a reorganization in which a holding company is interposed above an existing foreign issuer — typically a foreign bank or savings-and-loan holding company. When the conditions of General Instruction G are satisfied — chiefly that the new holding company succeeds to the predecessor's Exchange Act reporting obligations and the security being issued is functionally equivalent to the predecessor's security — the registration statement becomes effective automatically upon filing, without staff review or a separate effectiveness order. The "EF" suffix used across S-4EF, F-4EF, F-10EF and similar codes consistently denotes this auto-effective treatment.
Because the form is auto-effective and limited to a defined transaction structure, the registration statement is comparatively short and highly templated. The substance is an F-4 in form, but the issuer is permitted to omit or abbreviate large portions of the prospectus disclosure that a non-EF F-4 would require, on the theory that the predecessor's existing public disclosure record carries forward to the successor. Form F-4EF was only used during the modern EDGAR era, when HTML was already the standard registrant-side filing format. The file types found in the dataset are HTML (the registration statement body) and JSON (the metadata header), packaged inside per-period ZIP containers.
One record in the Form F-4EF Files dataset corresponds to a single Form F-4EF submission accepted by EDGAR, identified by its 18-character accession number. On disk, the record materializes as a folder named after the dash-stripped accession number containing two complementary artifacts: a structured metadata.json header file and the registration-statement document(s) that were part of the original EDGAR submission package, with binary image files (GIF, JPG, PNG and similar graphics) intentionally omitted. In practice an F-4EF record almost always resolves to a single primary HTML document beside the JSON header, because the form is short, narrowly scoped, and rarely accompanied by the full battery of separately tagged exhibits seen on a non-EF F-4.
A record consists of two complementary artifacts inside a single accession-number folder:
metadata.json — a structured JSON object summarizing the EDGAR filing header, the document inventory, and the reporting entities.<DOCUMENT> envelope.Together these give a consumer (a) machine-readable identifiers and entity descriptors for the filing and (b) the full narrative and tabular content of the registration statement as filed.
metadata.json fieldsThe metadata header captures submission-level facts that are otherwise scattered through the EDGAR SGML index:
formType — the filed form code, always F-4EF for this dataset.accessionNo — the dashed EDGAR accession number that uniquely identifies the submission.filedAt — an ISO-8601 timestamp with timezone offset capturing the moment EDGAR accepted the submission.description — the EDGAR human-readable form description.linkToFilingDetails, linkToTxt, linkToHtml, linkToXbrl — canonical sec.gov URLs to the EDGAR filing index page, the full .txt submission package, the primary filing document, and the XBRL data instance respectively.id — an opaque internal record identifier.documentFormatFiles — an array describing each document originally attached to the EDGAR package. Each entry carries a sequence number reflecting the order in which the issuer attached the document, a size in bytes (as a string), a documentUrl pointing back to EDGAR, a type code (typically F-4EF for the primary document), and an optional description.dataFiles — an array reserved for structured data instances (XBRL exhibits, Financial Report); for F-4EF this is empty because the form does not carry inline XBRL.seriesAndClassesContractsInformation — an array reserved for investment-company series/class contract identifiers; empty for these filings.entities — an array of every party listed in the EDGAR header. For Form F-4EF this typically includes both the original (predecessor) foreign private issuer and the newly formed holding company that will become the successor registrant. Each entity object carries companyName (with a role suffix such as (Filer)), cik, the Securities Act designator act (consistently 33 because F-4EF is a 1933 Act registration), fileNo, filmNo, irsNo, sic (Standard Industrial Classification with description), type (form type as it appears against that entity), stateOfIncorporation encoded with EDGAR's two-character state-or-country code (foreign issuers commonly resolve to non-U.S. codes), and tickers where trading symbols exist.The non-metadata file is the registration statement itself. It is encapsulated by the standard EDGAR SGML document envelope, with <DOCUMENT>, <TYPE>F-4EF, <SEQUENCE>1, <FILENAME> and <TEXT> tags wrapping the body, and the body itself is HTML. Inside the HTML, the document follows the conventional Form F-4 narrative layout, abbreviated for the auto-effective context.
The HTML body of an F-4EF registration statement is internally organized in roughly the following order:
Cover page. Identifies the United States Securities and Exchange Commission (Washington, D.C. 20549) as the addressee, names the form ("FORM F-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933" with the auto-effective designation), states the registration number, identifies the registrant (the newly formed holding company) and any co-registrant or predecessor, and lists jurisdiction of incorporation, IRS employer identification number, principal executive office address, telephone number, and an agent for service of process in the United States. The cover frequently cross-references prior related filings — for example, an F-4EF may be styled as a post-effective amendment on Form F-4EF to a predecessor F-4 or F-4/A registration statement covering the same securities.
Calculation of registration fee table. A tabular block setting out the title of each class of securities being registered, the amount being registered, the proposed maximum offering price per unit, the proposed maximum aggregate offering price, and the registration fee. Because F-4EF often relies on Rule 457 fee-offset mechanics tied to the predecessor registration, the fee table commonly contains footnotes describing carry-forward of fees previously paid.
General Instruction G representation. A short legal recital confirming that the conditions of General Instruction G to Form F-4 are satisfied — typically that the holding company has been formed solely for the purpose of the reorganization, that the security being issued is the same as that of the predecessor, that no material change in the rights of security holders is being effected, and that the holding company will succeed to the predecessor's Exchange Act reporting status.
Description of the transaction. A narrative explaining the holding-company formation: the corporate steps involved (typically a share-for-share exchange or statutory merger), the resulting capital structure, the relationship between the predecessor issuer and the new holding company, and the treatment of outstanding security holders.
Description of securities being registered. A summary of the securities issued by the new holding company — rights, preferences, voting characteristics, transfer restrictions, and any material differences from the predecessor's instruments. Because the EF premise is that material differences are absent, this section is usually brief.
Information about the foreign private issuer and the new holding company. Brief descriptive content about both entities, predominantly delivered through incorporation by reference to the predecessor's existing Exchange Act filings rather than restated in full.
Required undertakings. The standard Item 22 / Item 512-style undertakings required of 1933 Act registrants, covering post-effective amendments, removal from registration of unsold securities, and indemnification disclosure.
Signatures. Conformed signatures of the registrant, the principal executive officer, the principal financial officer, the principal accounting officer, and a majority of the board of directors of the new holding company, together with the authorized representative in the United States. Foreign private issuers customarily note the date and place of execution.
Exhibits and exhibit index. A short list of exhibits filed with the registration statement, generally limited to documents that establish the legal mechanics of the auto-effective filing — for example, the holding company's certificate of incorporation or memorandum and articles of association, the merger or share-exchange agreement effecting the reorganization, an opinion of counsel on the validity of the securities, and consents where applicable. Exhibits, when present, are attached as separate sequenced documents inside the EDGAR submission package; for F-4EF they are sparse and the registration statement is frequently a single self-contained document with exhibits embedded textually.
metadata.json: form type, accession number, filing timestamp, EDGAR URLs, every entity in the submission with its identifiers, and a full inventory of the documents that were part of the original submission package.<DOCUMENT>, <TYPE>, <SEQUENCE>, <FILENAME>, and <TEXT> tags exactly as filed.documentFormatFiles and are still retrievable via the EDGAR URLs..txt submission package. The full EDGAR .txt bundle is not stored in the folder; only the individual parsed documents (with their SGML document wrappers preserved) are present. The .txt package is reachable through linkToTxt.The HTML body uses conventional HTML 4 / XHTML-era markup with embedded styling and tables, wrapped inside the EDGAR SGML <DOCUMENT> envelope. Because the dataset window (July 2020 through the form's discontinuation in January 2024) is short and the form had long since settled into its modern auto-effective shape, the internal anatomy of records is stable across the dataset's history — cover page, fee table, undertakings, signature block, and exhibit conventions do not vary materially from one filing to the next.
entities array commonly carries both the predecessor foreign private issuer and the newly formed holding company. Treating the filing as having a single registrant misrepresents the transaction; the role-suffix convention in companyName (e.g., (Filer), (Subject)) is the primary disambiguator.filedAt timestamp is, for practical purposes, also the effectiveness timestamp.<DOCUMENT>, <TYPE>, <SEQUENCE>, <FILENAME>, and <TEXT> SGML tags before invoking an HTML parser; the wrapper is part of the on-disk file, not a separate sidecar.The filer of a Form F-4EF is a foreign private issuer (as defined in Securities Act Rule 405 and Exchange Act Rule 3b-4) that is the newly formed top-tier parent in a one-step holding company reorganization, where the new parent will be either:
and will own a foreign bank, savings association, or comparable depository institution whose existing security holders are exchanging their securities for securities of the new holding company.
The registrant is the new holding company itself, not the predecessor depository institution being reorganized. The predecessor's security holders receive the new securities but do not file.
This is a narrow population. Foreign private issuers conducting other Securities Act-registered exchanges or business combinations file standard Form F-4. Domestic registrants conducting the same kind of holding company formation file the parallel Form S-4EF. Capital-raising offerings unrelated to an exchange are filed on Form F-1, F-3, or F-10.
Form F-4EF is event-driven, not periodic. The trigger is the holding company reorganization itself, in which:
The registration statement must be filed before the new securities are issued, since the issuance is the registered transaction. A given foreign private issuer would typically file Form F-4EF only once, because a one-step holding company formation is a one-time structural event.
Registration is required under Section 5 of the Securities Act of 1933 because the exchange involves an offer and sale of new securities. Form F-4EF is the abbreviated, auto-effective variant of Form F-4 authorized by General Instruction G of Form F-4.
To qualify under General Instruction G, the transaction must satisfy conditions that in substance require:
When these conditions are met, the registration statement becomes effective automatically upon filing with no staff review, no waiting period, no pricing amendment cycle, and no acceleration request. This auto-effectiveness is the defining operational difference from a standard Form F-4.
A Form F-4EF handles only the Securities Act registration component. Bank and savings and loan holding company formations remain separately subject to Federal Reserve approval under the Bank Holding Company Act, or OCC or comparable approval under the Home Owners' Loan Act. The two regulatory tracks run independently.
The dataset covers EDGAR submissions of submission type F-4EF from July 2020 through the form's discontinuation in January 2024. After January 2024, qualifying foreign private issuer holding company formations are filed under the standard Form F-4 submission type, with General Instruction G auto-effectiveness applied inside that form rather than through a dedicated submission code. The dataset is therefore closed-ended on the forward side: no new F-4EF accessions are added after January 2024, though historical filings remain on EDGAR.
The disappearance of new F-4EF accessions reflects an EDGAR submission-type retirement, not the elimination of the underlying auto-effective mechanism.
Form F-4EF occupies a narrow intersection of three traits: foreign private issuer registration, F-4-family business-combination registration, and auto-effectiveness upon filing. The comparisons below sharpen where F-4EF overlaps with adjacent forms and where its scope is uniquely constrained.
F-4 is the foreign private issuer registration statement for business combinations, exchange offers, mergers, and reclassifications. F-4EF is a sub-mode of F-4, filed under General Instruction G, which permits automatic effectiveness for one specific case: formation of a qualifying bank or savings and loan holding company.
S-4EF is the direct domestic analog: same auto-effective mechanic, same holding-company-formation trigger, same disclosure substance. The only material distinction is filer domicile — U.S. domestic issuer rather than foreign private issuer. F-4EF and S-4EF are complementary halves of the same carve-out; assembling a complete record of auto-effective bank/S&L holding-company formations requires both.
S-4 is the domestic business-combination registration statement. It differs from F-4EF in two dimensions at once: filer population (domestic) and scope (all business combinations, not just auto-effective holding-company formations). S-4 filings are typically lengthy proxy/prospectus documents subject to staff review. S-4 is not a substitute for F-4EF on any axis; it is included here only because it is the broader domestic cousin of S-4EF and helps locate F-4EF within the wider F-4/S-4 family.
F-1 is the general foreign private issuer Securities Act registration statement, used for IPOs, cash offerings, and other primary registrations not eligible for short-form treatment. Overlap with F-4EF is limited to filer type (foreign private issuer) and statute (1933 Act). F-1 covers cash offerings rather than business combinations, follows standard review-and-declaration mechanics, and contains a full prospectus with MD&A and risk factors. F-1 and F-4EF are easily confused only because both involve foreign issuers registering securities.
ASR forms are automatic shelf registration statements available to well-known seasoned issuers. They share with F-4EF only the mechanical property of immediate effectiveness without staff review.
Auto-effectiveness is the only real overlap. Substance and use case differ entirely.
MEF filings are Rule 462(b) upsize registrations: additional securities of the same class as a registration statement that became effective within the prior 24 hours. They share with F-4EF the auto-effective filing pattern but differ entirely in trigger — they bolt onto a contemporaneous primary offering rather than register a reorganization. Useful only as a reference point for the broader Rule 462 auto-effective family.
Form F-4EF is distinguished by the simultaneous presence of four characteristics that no other form combines: (1) it is filed by foreign private issuers, (2) it registers securities under the Securities Act of 1933, (3) it covers only the specific narrow case of a qualifying bank or savings and loan holding company formation under General Instruction G of Form F-4, and (4) it becomes effective automatically upon filing. Stripping any one of these characteristics points to a different form — F-4 for the same transaction without auto-effectiveness, S-4EF for a domestic issuer, F-3ASR for auto-effective shelf registrations, F-1 for general foreign-issuer registrations, and S-4 for general domestic business combinations.
The Form F-4EF Files dataset is also distinguished by its tightly bounded historical window. Because the form submission type was used in EDGAR only from July 2020 until its discontinuation in January 2024, the dataset is a closed, finite corpus rather than an ongoing stream. Related datasets such as F-4, S-4, F-1, and the ASR families remain active and continue to grow. F-4EF cannot be substituted by any of these for the specific transactions it captures, and conversely it cannot stand in for the broader registration activity those datasets cover. It is best used either as a precise filter on a narrow regulatory carve-out or in combination with S-4EF when assembling a complete record of auto-effective bank/S&L holding-company formations across both issuer populations.
Because the F-4EF corpus is small and closed, its users are specialists who need precedent, regulatory cross-reference, or archive completeness rather than market-wide signal.
Securities lawyers advising foreign banking groups on holding-company reorganizations mine the corpus for drafting precedent. They focus on the cover page (registrant identification, securities registered), the transaction description, the description of securities, the undertakings block, and exhibits such as plans of reorganization, charter documents, and tax and legality opinions. The workflow is precedent retrieval and clause comparison for new reorganizations, even where the successor transaction is now filed on a different form.
Counsel handling parallel filings before federal banking supervisors use F-4EF documents to align SEC-side disclosure with bank-holding-company application materials. They cross-reference the new-holding-company description, ownership structure, and foreign-private-issuer disclosures against regulatory submissions to confirm consistency in entity description and capital structure.
In-house disclosure teams at foreign banks executing or unwinding holding-company structures use the dataset as an internal precedent file. They review cover-page registrant data, share-exchange mechanics in the transaction description, and the signatures block to map historical authorization patterns. The output is internal playbooks, transition memoranda explaining the post-discontinuation filing path, and registrant filing-history records.
Examiners and policy staff at bank-holding-company supervisors use F-4EF filings as supplementary securities-law context for applications under their own review. The transaction description, capital structure, and foreign-parent identification give a securities-side view of reorganizations the agency is approving. Policy staff also use the closed corpus to track how auto-effective registration was used in practice across its lifespan.
Researchers studying foreign bank entry, holding-company structures, and auto-effective registration treat the bounded corpus as a complete population. Relevant fields are the registrant identification, jurisdiction of the foreign issuer, terms of the registered securities, and plan-of-reorganization exhibits. The output is empirical papers and case studies covering every qualifying reorganization in the window.
Researchers documenting the lifecycle of SEC form types use the dataset to chronicle the final years of Form F-4EF. They rely on metadata.json fields (filing date, accession number, registrant) to build timelines and on the substantive transaction descriptions and signatures block for narrative reconstruction of how the form was used before discontinuation.
Platform teams maintaining comprehensive EDGAR mirrors ingest F-4EF for form-type completeness even though volume is trivial. They use metadata.json to validate accession-number coverage, document inventories to confirm non-image documents were captured, and form-type registries to mark F-4EF as discontinued with a defined date range. This supports archive-completeness audits and referential integrity for filer histories.
Teams indexing the registration-statement family include F-4EF so retrieval systems can answer questions about auto-effective registration, General Instruction G, and bank holding-company reorganizations with primary-source grounding. The full registration statement text, transaction description, and exhibits provide the concrete examples needed for grounded answers.
The dataset's value is completeness, not volume. Specialist counsel use it for precedent, in-house and regulatory staff use it for cross-reference, academics and historians treat the closed window as a full population, and data and retrieval engineers ingest it to keep EDGAR coverage whole.
The use cases below are designed for a tiny but complete population, where the value is precedent, cross-reference, and archival integrity rather than statistical volume.
Drafting precedent for the next holding-company reorganization. Capital markets counsel structuring a foreign banking group's holding-company formation pull the cover page, the General Instruction G recital, the description of the transaction, and the description of securities being registered to lift clause language and footnote conventions into a draft on the successor form. The exhibit index and any embedded charter or share-exchange agreement text supply matching exhibit-list precedent.
Aligning SEC disclosure with bank-holding-company applications. Banking-regulation lawyers cross-reference the registrant identification block, the jurisdiction-of-incorporation field in entities, and the transaction description against parallel applications submitted to federal banking supervisors. The workflow checks that entity names, CIK and IRS numbers, capital structure, and the foreign-parent description in the SEC filing match what the agency received.
Reconstructing fee carry-forward mechanics under Rule 457. Securities lawyers and fee-paralegals use the calculation-of-registration-fee table, including its footnotes, together with the cover page's reference to any predecessor F-4 or F-4/A registration number, to model how fees were offset against the prior registration. The output is a reusable Rule 457 fee-table template for the successor filing.
Closing out an EDGAR form-type registry. Data-platform engineers maintaining comprehensive EDGAR coverage ingest the record to mark formType = F-4EF as a discontinued submission type with a defined active window. metadata.json (accessionNo, filedAt, entities[].cik) anchors a completeness check confirming every F-4EF accession in EDGAR's index is mirrored, and documentFormatFiles validates that all non-image documents in the original package are present locally.
Grounding RAG answers about General Instruction G. Teams building retrieval systems over registration-statement law index the full HTML body so a query about auto-effective F-4 treatment, qualifying bank or S&L holding-company formations, or the General Instruction G representation returns the actual recital text, the transaction description, and the undertakings block as primary-source citations rather than secondary commentary.
Case-study material for a closed regulatory carve-out. Legal and finance academics treat the corpus as the full population of foreign-issuer auto-effective holding-company reorganizations in the window. They use the registrant and predecessor entries in entities, the SIC code, and the share-exchange mechanics in the transaction description to write a complete case study or lifecycle paper on how Form F-4EF was used before discontinuation.
The Form F-4EF Files dataset is available through three access methods: a JSON index API for metadata discovery, a single archive download covering the entire dataset, and per-container downloads for incremental access.
Dataset Index JSON API: https://api.sec-api.io/datasets/form-f4ef-files.json
This endpoint returns dataset-level metadata and the full list of container files. It does not require an API key. The response includes the dataset name, description, last updated timestamp, earliest sample date, total records, total size, form types covered, container format, and the file types contained in each archive. It also includes the download URL for the full dataset and a containers array listing every individual container with its key, size, record count, updated timestamp, and download URL.
Use this endpoint to monitor which containers were modified in the most recent refresh run, then selectively download only the containers that changed since your last sync.
Example response:
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{
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"datasetId": "1f13365b-9ae0-6a98-b8f8-f92d538db9db",
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"datasetDownloadUrl": "https:/api.sec-api.io/datasets/form-f4ef-files.zip",
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"name": "Form F-4EF Files Dataset",
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"updatedAt": "2026-04-28T02:51:19.000Z",
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"earliestSampleDate": "1996-05-13",
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"totalRecords": 312,
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"totalSize": 184372910,
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"formTypes": ["F-4EF"],
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"containerFormat": "ZIP",
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"fileTypes": ["HTML", "JSON"],
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"containers": [
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{
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"downloadUrl": "https:/api.sec-api.io/datasets/form-f4ef-files/2026/2026-03.zip",
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"key": "2026/2026-03.zip",
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"size": 1382878,
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"records": 4,
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"updatedAt": "2026-03-21T02:51:19.000Z"
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}
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]
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}
Download Entire Dataset: https://api.sec-api.io/datasets/form-f4ef-files.zip?token=YOUR_API_KEY
Downloads the complete Form F-4EF dataset as a single ZIP archive containing all per-period containers. This endpoint requires a valid SEC API key passed via the token query parameter. Recommended for first-time bulk loads or full re-syncs.
Example with curl:
curl -o form-f4ef-files.zip "https://api.sec-api.io/datasets/form-f4ef-files.zip?token=YOUR_API_KEY"
Download Single Container: https://api.sec-api.io/datasets/form-f4ef-files/2026/2026-03.zip?token=YOUR_API_KEY
Downloads one individual container, typically a monthly archive of filings. Use the downloadUrl value from each entry in the containers array of the index response. This endpoint requires an API key. Recommended for incremental daily or monthly updates after the initial bulk download.
Example programmatic pattern:
https://api.sec-api.io/datasets/form-f4ef-files.json.updatedAt against your local state.updatedAt is newer than your last successful sync, appending ?token=YOUR_API_KEY to each downloadUrl.The dataset covers Form F-4EF, an auto-effective registration statement filed under the Securities Act of 1933 by foreign private issuers pursuant to General Instruction G of Form F-4. It registers securities issued in connection with the formation of a qualifying bank or savings and loan holding company.
One record corresponds to a single Form F-4EF submission accepted by EDGAR, identified by its 18-character accession number. On disk, the record is a folder named after the dash-stripped accession number containing a metadata.json header file and the registration-statement HTML document(s) from the original EDGAR submission package, with binary image files (GIF, JPG, PNG) intentionally omitted.
The filer is a foreign private issuer that is the newly formed top-tier parent in a one-step holding company reorganization, where the new parent will be either a bank holding company under the Bank Holding Company Act of 1956 or a savings and loan holding company under the Home Owners' Loan Act. The registrant is the new holding company itself, not the predecessor depository institution being reorganized.
Form F-4EF is the abbreviated, auto-effective variant of Form F-4 authorized by General Instruction G. When General Instruction G's conditions are satisfied — chiefly that the new holding company is formed solely for the reorganization, that security holders receive substantially equivalent securities, and that the underlying business does not materially change — the registration statement becomes effective automatically upon filing with no staff review, no waiting period, and no acceleration request.
The dataset covers EDGAR submissions of submission type F-4EF from July 2020 through the form's discontinuation in January 2024. After January 2024, qualifying foreign private issuer holding company formations are filed under the standard Form F-4 submission type rather than under a dedicated F-4EF code, so no new F-4EF accessions are added going forward.
The dataset is distributed as ZIP containers. Each record folder contains a metadata.json file (the structured EDGAR header) and the registration-statement document(s) as HTML wrapped in the EDGAR SGML <DOCUMENT> envelope. The dataset does not carry inline XBRL, so the dataFiles array in metadata.json is empty for these filings.
Form F-4 is the broader foreign private issuer registration statement for business combinations and requires staff review with a declared effective date; F-4EF is a sub-mode of F-4 that auto-effects under General Instruction G for the narrow case of a qualifying bank or S&L holding company formation. Form S-4EF is the direct domestic analog of F-4EF — same auto-effective mechanic and same holding-company-formation trigger — with the only material distinction being filer domicile (U.S. domestic issuer rather than foreign private issuer).