Form F-6 POS Files Dataset

The Form F-6 POS Files Dataset is a complete corpus of post-effective amendments to American Depositary Receipt (ADR) registration statements filed on EDGAR under the Securities Act of 1933. One record is a single accession-numbered Form F-6 POS submission packaged as a self-contained folder containing a metadata.json header and the original SGML-wrapped .htm document parts — typically the F-6 POS cover, the form of ADR receipt, and the Rule 466 certification. Filings are submitted by the depositary bank that issues the ADRs (most commonly The Bank of New York Mellon, Citibank, N.A., JPMorgan Chase Bank, N.A., or Deutsche Bank Trust Company Americas), with the foreign private issuer whose deposited shares back the ADRs named as the registration "Subject." Records are delivered inside ZIP archives partitioned by calendar month (YYYY/YYYY-MM.zip), and dataset coverage runs from July 1, 2002 through the present.

Update Frequency
Daily
Updated at
2026-05-09
Earliest Sample Date
2002-07-01
Total Size
85.9 MB
Total Records
9,002
Container Format
ZIP
Content Types
HTML, JSON, TXT
Form Types
F-6 POS

Dataset APIs

Programmatically retrieve the full list of dataset archive files, download URLs and dataset metadata.

Dataset Index JSON API

Download the entire dataset as a single archive file.

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Download a single container file (e.g. monthly archive) from the dataset.

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Dataset Files

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What This Dataset Contains

The dataset captures every Form F-6 POS filing on EDGAR from July 2002 onward. Form F-6 is the Securities Act registration form used to register depositary shares evidenced by ADRs, and a Form F-6 POS is a post-effective amendment to such a registration. Most F-6 POS amendments are filed under Rule 466, which lets a depositary that has previously filed a Form F-6 with identical terms of deposit certify that fact and obtain immediate effectiveness on filing rather than going through a separate effectiveness review.

Because F-6 POS amends an ADR registration rather than a corporate offering, its substantive content centers on the legal mechanics of the ADR program: the deposit agreement between the depositary and the holders, the form of the ADR certificate, the schedule of fees charged for issuance, cancellation, distributions and depositary services, and the depositary's Rule 466 certification and consents. Across the coverage window, F-6 POS submissions have been filed predominantly in HTML wrapped in the SGML <DOCUMENT> envelope, which is the format preserved here. The dataset therefore presents a uniform .htm-plus-SGML-header format throughout, distributed inside monthly ZIP containers alongside a structured JSON header per record.

For every Form F-6 POS accession, the record bundles:

  • metadata.json — structured filing-level header with timestamps, URLs, document inventory, and entity blocks for both the depositary (Filed by) and the foreign issuer (Subject).
  • All textual document parts of the submission as standalone .htm files, each with its original SGML <DOCUMENT> envelope intact and preserving TYPE, SEQUENCE, FILENAME, and optional DESCRIPTION fields.
  • The standard trio in the great majority of records: F-6 POS cover, form of ADR receipt (Exhibit (a) / EX-1), and Rule 466 certification (Exhibit (e) / EX-5), plus any additional exhibits filed.

Image attachments from the original submission (e.g. .gif, .jpg, scanned signature pages, depositary logos) are not extracted into the record. The complete-submission .txt bundle is referenced via linkToTxt and as the terminal entry in documentFormatFiles[] (with blank sequence " " and blank type " "), but the file itself is not stored in the folder. F-6 POS does not carry XBRL data; linkToXbrl is empty and dataFiles is [] as a structural property of the form, not as an omission. The original Form F-6 registration that the POS amends is not bundled with the record; the Subject entity's fileNo (e.g. "333-290987") is the key for cross-referencing back to the underlying registration on EDGAR. seriesAndClassesContractsInformation is structurally always empty for F-6 POS, since that disclosure framework targets investment-company filings.

Content Structure of a Single Record

One record in the Form F-6 POS Files Dataset is a single EDGAR accession numbered submission of a Form F-6 post-effective amendment, packaged as a self-contained folder. The folder is named with the 18-digit accession number with hyphens stripped (for example 000119380525001505). One folder corresponds one-to-one to one EDGAR accession, one filing event, and one post-effective amendment to a previously effective Form F-6 registration statement covering an ADR program.

Content layers in a single record

A record has two parallel layers:

  1. A structured JSON header (metadata.json) that mirrors the EDGAR filing index for the accession and supplies machine-readable filing metadata, an inventory of document parts, and identification blocks for each party.
  2. The textual document parts of the EDGAR submission as .htm files, each preserving the SGML <DOCUMENT> wrapper from the original submission. Image attachments (e.g. .gif, .jpg) from the original submission are not retained in the dataset; the textual .htm parts and the structured metadata are.

The number of .htm files per record is small and stable. The recurring trio is (a) the F-6 POS cover/registration page, (b) an Exhibit (a) / EX-1 form of ADR receipt, and (c) an Exhibit (e) / EX-5 Rule 466 certification. An additional Exhibit (a)(i) variant appears when more than one form of ADR is registered. Total files per record are therefore typically four (one metadata.json plus three .htm) with occasional excursions to five or more.

The metadata.json header

metadata.json is always present and carries the structured representation of the filing. Top-level fields:

  • formType — fixed at "F-6 POS" for every record.
  • accessionNo — canonical hyphenated accession (e.g. 0001193805-25-001505).
  • filedAtISO-8601 timestamp with Eastern offset (e.g. 2025-10-22T16:39:15-04:00).
  • description — fixed string "Form F-6 POS - Post-effective amendments for immediately effective filing", reflecting the Rule 466 nature of the form.
  • linkToFilingDetails — direct URL to the primary F-6 POS HTML on SEC.gov.
  • linkToHtml — URL of the EDGAR filing index page.
  • linkToTxt — URL of the complete-submission text bundle on EDGAR.
  • linkToXbrl — present but empty; F-6 POS carries no XBRL data.
  • dataFiles — empty array, for the same reason.
  • seriesAndClassesContractsInformation — empty array; the series-and-classes framework targets investment-company filings and does not apply to ADR registrations.
  • id — 32-character internal record identifier.

Two nested arrays carry the bulk of the structured content: documentFormatFiles[] and entities[].

documentFormatFiles[]

This array enumerates every part of the EDGAR submission. Per-element fields:

  • sequence — 1-based string index ("1", "2", "3", ...). The terminal entry that represents the wrap-up complete-submission text bundle uses a blank " " sequence and is referenced by URL only; it is not extracted into the folder.
  • type — EDGAR document type, identical to the SGML <TYPE> of the corresponding .htm file. Values found in the dataset include "F-6 POS", "EX-1", "EX-5", "EX-99.(A)", "EX-99.(A)(I)", and "EX-99.(E)". The wrap-up .txt entry carries a blank " " type.
  • description — optional human label such as "F-6 POS", "FORM OF RECEIPT", "EXHIBIT (A)", "RULE 466", or "Complete submission text file". Some filing-agent submissions omit it for individual exhibits.
  • documentUrl — direct SEC.gov URL.
  • size — byte size as a string.

The two parallel exhibit-naming conventions reflect EDGAR historical practice. Older submissions often labeled the form-of-receipt as EX-1 and the Rule 466 certification as EX-5; modern submissions typically use EX-99.(A) and EX-99.(E). Both conventions appear in the dataset and within the same monthly partition, so consumers should treat the two vocabularies as synonymous when classifying documents by role.

entities[]

The array typically contains exactly two entities, distinguished by a parenthetical role suffix appended to companyName:

  • The depositary, marked (Filed by) — e.g. "Citibank,N.A./ADR (Filed by)", "BANK OF NEW YORK / ADR DIVISION (Filed by)", "Deutsche Bank Trust Co Americas/ ADR Group (Filed by)", or "JPMorgan Chase Bank, N.A. - ADR Depositary (Filed by)".
  • The foreign private issuer whose shares back the ADRs, marked (Subject) — e.g. "Cosmo Energy Holdings Co., Ltd./ADR (Subject)".

Each entity carries:

  • cikcentral index key.
  • irsNoIRS employer identification number; "000000000" is normal for non-US issuers without a US tax ID.
  • type — echoes "F-6 POS".
  • stateOfIncorporation — two-letter US state code (e.g. "NY", "DC", "OH") or non-US country code (e.g. "M0" for Japan).
  • fiscalYearEnd — MMDD (e.g. "1231", "0630").
  • sicSIC code with descriptor (commonly "8880 American Depositary Receipts" on the depositary's ADR sub-CIK).

The Subject entity additionally carries the registration mechanics:

  • act — Securities Act designation, consistently "33".
  • fileNo — registration file number, e.g. "333-290987", the key for joining back to the underlying effective F-6.
  • filmNo — EDGAR film/accession reference.
  • tickers — when the underlying ADR has tradable tickers, an array such as ["JTGEY","JTGLF"] or ["DQJCF","DQJCY"]; absent or empty otherwise.

The document parts (.htm files)

Every .htm file inside an accession folder is the original EDGAR submission part, preserved with its SGML envelope intact. The wrapper has the form:

1 <DOCUMENT>
2 <TYPE>EX-99.(E)
3 <SEQUENCE>3
4 <FILENAME>e664924_ex99-e.htm
5 <TEXT>
6 <HTML>...</HTML>
7 </TEXT>
8 </DOCUMENT>

The header carries: TYPE (the EDGAR document type), SEQUENCE (the 1-based ordering inside the submission), FILENAME (matching the on-disk file name exactly), and an optional DESCRIPTION label such as RULE 466, FORM OF RECEIPT, or EXHIBIT (A). The <TEXT> block contains the actual HTML body that was filed.

Document role 1 — F-6 POS cover / registration page

The primary document carries <TYPE>F-6 POS and acts as the registration cover. Its HTML body contains the SEC header block: registration file number, form designator (Form F-6/A), post-effective amendment number, issuer name and jurisdiction, depositary name and address, agent for service of process, and the calculation/cross-reference language that ties the amendment back to the original effective F-6. The body is rendered as plain HTML tables with inline styles. This file establishes the legal identity of the amendment.

Filename conventions vary by filer/filing agent:

  • e######_f6pos-<issuer>.htm — Citibank submissions routed through a filing agent that uses sequence prefixes such as e664924.
  • tm########d#_f6pos.htm — Toppan-Merrill-prepared submissions, common for Deutsche Bank Trust Company Americas.
  • Free-form lowercase issuer-name files such as rieterholdingf6.htm or diplomaf6pos.htm — Bank of New York Mellon submissions.

Document role 2 — Form of ADR (Exhibit (a) / EX-1)

The exhibit carrying <TYPE>EX-99.(A) (or, in older filings, <TYPE>EX-1) is the form of the American Depositary Receipt itself. Its HTML body sets out the ADR certificate text in legal form, including:

  • the share-ratio statement (e.g. "Each American Depositary Share represents one-fifth (1/5th) of one (1) share of common stock of [Issuer]"),
  • the holder, transfer, and surrender language,
  • references to the deposit agreement and the rights and obligations of the depositary, the issuer, and the holders,
  • the fee schedule applicable to depositary share transactions, covering issuance and cancellation fees, distribution-of-dividends fees, depositary-services fees, and tax-related charges.

When the program registers more than one form of receipt, an additional EX-99.(A)(I) exhibit appears to carry the variant.

Document role 3 — Rule 466 certification (Exhibit (e) / EX-5)

The exhibit carrying <TYPE>EX-99.(E) (or, in older filings, <TYPE>EX-5) is the Rule 466 certification by the depositary. The body is short: it states that the depositary has previously filed an effective Form F-6 with terms of deposit identical to those of the amendment, that the depositary's Rule 466 designation has not been suspended, and is signed by an officer of the depositary. This certification is what makes the amendment immediately effective upon filing.

Other supporting content

When the original submission includes additional exhibits — extra legal opinions, consents of counsel, or alternative receipt forms — those .htm parts sit alongside the trio as separately enumerated entries in documentFormatFiles[], each with its own <TYPE> and optional <DESCRIPTION>.

Stability of disclosure content and exhibit conventions over time

The substantive content of an F-6 POS amendment is governed by Form F-6's instructions and Rule 466 under the Securities Act and has been stable in its core elements: the cover registration page identifying the amendment, the form of receipt with deposit-agreement references and fee-schedule terms, and the depositary's Rule 466 certification. The most visible historical evolution in the dataset is in EDGAR's exhibit-typing vocabulary rather than in the underlying disclosure obligations:

  • Older submissions tend to label the form of receipt as EX-1 and the Rule 466 certification as EX-5, reflecting the original Form F-6 exhibit numbering.
  • Modern submissions tend to use EX-99.(A) for the form of receipt and EX-99.(E) for the Rule 466 certification, with EX-99.(A)(I) for additional receipt forms.

Both conventions remain valid and coexist in the dataset. Substantive content within the form of ADR has evolved with depositary fee practice — schedules for issuance, cancellation, dividend distributions, depositary services, and tax-related charges are routinely updated by amendment, which is itself a primary motivation for filing F-6 POS. Disclosures around foreign-issuer identification and agent-for-service-of-process have remained essentially constant. Across the coverage window, the structural contract of the record (folder + metadata.json + SGML-wrapped HTML parts) holds throughout; what changes visibly across years is filing-agent HTML styling and filename prefix conventions rather than format transitions.

Interpretation and extraction notes

  • The unit of identity for a record is the accession number. Two F-6 POS amendments touching the same ADR program — even amendments filed minutes apart by the same depositary for the same issuer — are separate records with distinct accession folders and distinct metadata.json headers.
  • The depositary, not the foreign issuer, is the filer. The issuer's identifying fields (cik, tickers, stateOfIncorporation, fiscalYearEnd) live on the Subject entity in entities[]. Grouping records by ADR program is most reliably done via the Subject cik and the original registration fileNo.
  • Document role can be recovered in two equivalent ways: by reading the SGML <TYPE> and <DESCRIPTION> fields directly from each .htm file, or by joining the on-disk filename to documentFormatFiles[] (the on-disk filename matches <FILENAME> and matches the basename of documentUrl). Filename suffix patterns (*f6pos*, *ex99-a* / *receipt*, *ex99-e* / *466*, *ex99-ai*) are reliable secondary signals.
  • The terminal documentFormatFiles[] entry with blank sequence and blank type is the wrap-up complete-submission .txt bundle on EDGAR. It is referenced for traceability and not stored locally; treat its absence on disk as expected, not as a missing exhibit.
  • A small share of F-6 POS filings carry exhibits beyond the standard trio (additional ADR forms via EX-99.(A)(I), supplementary opinions, consents of counsel). The documentFormatFiles[] inventory is the authoritative listing per record.
  • Because F-6 POS amendments are post-effective and frequently bundle only an updated fee schedule or refreshed receipt form, the textual delta from the prior effective F-6 may be small. The dataset preserves the amendment exactly as filed; reconstructing the full effective registration requires joining to the original F-6 via the registration fileNo.
  • Embedded HTML within each .htm body is presentational (tables with inline styles, signature blocks rendered as text). There is no machine-tagged structured data inside the body; downstream extraction relies on text parsing keyed off the SGML header type and the recurring section labels (registration cover, form of receipt, Rule 466 certification).

Who Files or Publishes This Dataset, and When

Who files the record

The Securities Act registrant — and therefore the EDGAR filer — is the depositary bank that issues the American Depositary Receipts. Under Form F-6, the registered security is the ADR itself, not the underlying foreign equity, so the depositary signs and submits as the issuer of the ADR.

The depositary population is small and concentrated:

  • The Bank of New York Mellon
  • Citibank, N.A.
  • JPMorgan Chase Bank, N.A.
  • Deutsche Bank Trust Company Americas
  • Occasional other trust banks acting as depositary for sponsored or unsponsored programs

The foreign private issuer whose deposited shares back the ADRs is named as the subject of the registration statement and, in sponsored programs, signs the deposit agreement. It is not the F-6 registrant and does not file the POS. In unsponsored programs the foreign issuer is not a contractual party at all. In every case, the EDGAR filing CIK belongs to the depositary; researchers tracing filings by foreign issuer must filter on subject-company identifiers, not the filer CIK.

When the record is created

Form F-6 POS is event-driven, not periodic. There is no annual, quarterly, or anniversary-based filing cadence. A POS is filed whenever a previously effective Form F-6 registration statement, its prospectus disclosures, the form of ADR, the deposit agreement, or another exhibit needs to be updated.

Common triggering events:

  • Deposit agreement amendments — changes to voting, dividend handling, non-cash distribution mechanics, indemnification, governing law, arbitration or jury-trial waiver clauses, termination provisions, or sanctions/AML language.
  • Fee schedule changes — issuance and cancellation fees, the per-ADR depositary services fee, transfer fees, or pass-through expenses.
  • Registration of additional ADRs — when a program approaches its registered cap, with additional fees paid under Securities Act fee rules.
  • Changes to the form of ADR — legends, transfer restrictions, certificate text, or moves between physical certificates and DRS/book-entry.
  • Underlying-security changes — stock splits, consolidations, redenomination, or ADR ratio changes.
  • Refreshed legal opinions and consentsExhibit 5 opinions and Exhibit 23 consents typically refiled when validity is affected.
  • Termination or wind-down mechanics for the program.

Most POS amendments are driven by depositary business decisions (fee revisions, document modernization across the depositary's standard contracts) rather than by foreign-issuer disclosure obligations.

When amendments are required and effective

There is no statutory due date tied to a reporting calendar. Timing is governed by when the change must take effect:

  • Rule 466 immediate effectiveness. Once a depositary has filed a Rule 466 designation and the SEC has not objected, subsequent F-6 and F-6 POS filings can be designated to become effective immediately upon filing or at a stated time on the filing date. In practice, most F-6 POS filings rely on this mechanism.
  • Without Rule 466. The POS is subject to ordinary Securities Act effectiveness, made effective by staff order or under Rule 462.
  • Deposit agreement / fee changes. Deposit agreements typically require advance notice to ADR holders (often 30 days) before material contractual or fee changes take effect. The depositary times the POS so the on-file deposit agreement is consistent with the operative version on or before that effective date.
  • Additional-ADR registrations. Filed before or at the moment the depositary needs additional registered capacity to accept further deposits.
  • Corporate actions. Filed in advance of or contemporaneously with a stock split, ratio change, or comparable underlying-security event.

Filing frequency is uneven. A program may go years without any POS; another may see several POS filings in a single year, especially when a depositary rolls out a uniform fee or documentation update across many issuer programs.

Important distinctions

  • F-6 vs. F-6 POS vs. F-6/A vs. F-6 EF. F-6 establishes a new ADR registration. F-6/A amends a registration before initial effectiveness. F-6 POS amends a registration that is already effective. F-6 EF tags an F-6 elected for immediate effectiveness under Rule 466. This dataset covers only the POS subset.
  • Sponsored vs. unsponsored programs. Sponsored programs use a tripartite deposit agreement (depositary, foreign issuer, holders). Unsponsored programs are established unilaterally by the depositary; the foreign issuer is not a signatory but the ADRs still require F-6 / F-6 POS coverage.
  • Filer vs. subject. The depositary is the registrant and EDGAR filer; the foreign private issuer is the named subject and, in sponsored programs, a contractual signatory.
  • Other foreign-issuer forms. Foreign private issuers register their own securities on Form F-1, Form F-3, or Form F-4 and report on Form 20-F, Form 40-F, and 6-K. Depositaries do not file those, and foreign issuers do not file F-6 / F-6 POS for the ADR layer.
  • Securities Act only. F-6 POS registers the ADR under the 1933 Act. Exchange Act registration of the ADRs or underlying shares occurs separately on Form 8-A or Form 20-F by the foreign issuer.
  • Exhibits carry the content. The substantive payload of a typical F-6 POS sits in the exhibits — deposit agreement (often restated or marked), form of ADR, fee schedule, opinions, and consents — not in the short cover registration statement.

Origin and earliest records

Form F-6 and Rule 466 were adopted by the SEC in 1983 (Release No. 33-6459), replacing prior ADR registration on Form S-12. The underlying obligation flows from Section 5 of the Securities Act, which treats ADRs as separate securities from the deposited shares and requires an effective registration statement for their offer and sale. Pre-EDGAR F-6 amendments were filed in paper; electronic submission for F-6 family filings became mandatory in the mid- to late-1990s under the staged EDGAR rollout. The dataset's earliest sample date of July 1, 2002 is an inclusion cutoff, not the earliest F-6 POS on EDGAR.

How This Dataset Differs From Similar Datasets or Filings

Form F-6 POS sits in a narrow corner of the Securities Act registration regime: post-effective amendments to ADR-program registration statements, filed by depositary banks. Several adjacent forms share its filer population, registration mechanics, or cross-border subject matter, but each plays a distinct role.

Form F-6 (initial registration). The original Securities Act registration for depositary shares represented by ADRs. It establishes the program: depositary bank, foreign issuer, deposit agreement, ADR certificate form, fee schedule, and supporting opinions and consents. F-6 POS amends an already-effective F-6; it does not create a new program.

Form F-6/A (pre-effective amendment). Filed before the F-6 becomes effective, typically in response to staff comments. Lives in the registration pipeline rather than after registration.

Form F-6 EF (immediately effective initial filing). An initial F-6 designated to become effective automatically on filing under the rules for qualifying ADR registrations. Still program inception, not amendment.

Form 8-A (Exchange Act registration). Registers the ADRs under Section 12 to permit U.S. exchange listing. Often paired with an F-6 in the program lifecycle but operates under a different statute.

Form F-1, F-3, F-4 (other foreign-issuer Securities Act forms). Register the underlying foreign-issuer securities themselves (IPOs, shelf offerings, business combinations) rather than the ADR wrapper. Filed by the issuer, not the depositary.

Domestic POS amendments (S-1 POS, S-3 POS, S-8 POS). Share the post-effective amendment mechanic but cover domestic operating-company offerings or employee benefit plans. Common confusion source when filtering on the "POS" suffix alone.

Form 20-F, 6-K, 40-F (Exchange Act foreign-issuer reports). Ongoing issuer disclosure rather than Securities Act registration.

Key differences

  • Inception vs. maintenance. F-6, F-6 EF, and F-6/A all relate to creating or perfecting a new ADR registration. F-6 POS only modifies an effective one, typically to update the deposit agreement, refresh the fee schedule, register additional ADRs, or revise the certificate form.
  • Pre- vs. post-effectiveness. F-6/A amends a not-yet-effective filing and clusters around the SEC review window. F-6 POS amends an effective filing and is spread across the program's life, driven by program updates rather than staff comments.
  • Filer. F-6, F-6/A, F-6 EF, and F-6 POS are filed by the depositary bank. F-1, F-3, F-4, 20-F, 6-K, and 40-F are filed by the foreign issuer (F-4 sometimes by both parties to a transaction).
  • Statute and content. F-6 POS amends a Securities Act registration of depositary shares; 8-A registers securities under the Exchange Act for listing and reporting. 8-A filings are short and procedural; F-6 POS carries the full amended deposit agreement, fees, and certificate exhibits.
  • Subject matter. F-1/F-3/F-4 disclose offering economics and issuer information. 20-F/6-K/40-F disclose issuer business, financials, and governance. F-6 POS discloses the contractual ADR mechanism: deposit agreement terms, certificate form, depositary fees. There is essentially no substantive overlap with issuer-side disclosure.
  • Scope of the "POS" label. S-1 POS and S-3 POS share only the amendment mechanic; their content is operating-company offering disclosure, not ADR mechanics. S-8 POS is structurally unrelated. Aggregating these with F-6 POS by form-type suffix produces meaningless mixtures.

Boundary summary

F-6 POS is the only EDGAR filing type that captures post-effective amendments to ADR-program registration statements. It is filed by depositary banks, not issuers; amends rather than initiates; operates under the Securities Act, not the Exchange Act; and documents deposit-agreement, certificate, and fee terms rather than offering economics or issuer fundamentals. A complete view of an ADR program combines F-6 or F-6 EF (inception), F-6/A (pre-effective amendments), F-6 POS (post-effective evolution), and 8-A (Exchange Act listing). No other dataset tracks the evolution of an ADR program's contractual and fee terms over time.

Who Uses This Dataset

Form F-6 POS filings carry the amended deposit agreement, the revised form of ADR, the fee schedule, and the legal opinions and consents tied to a post-effective amendment. The audience is narrow and specialized; each role works a different section of the same record.

The most direct users. They reconcile their own filings against active ADR programs, benchmark competing depositaries on deposit-agreement language, fee schedules, pre-release and successor-depositary terms, and align certificate legends with current operational practice. Working content: amended deposit agreement, form of ADR, fee schedule exhibit, and the validity opinion.

ADR program administrators and corporate trust units

Maintain reference data on every sponsored program: ratio changes, depositary changes, fee changes, and updates to dividend handling, FX conversion, and tax-reclaim mechanics. Primary inputs are cover-page metadata, filer and depositary identifiers, and the deposit-agreement amendments themselves.

Securities counsel for issuers and depositaries

Use the corpus as a precedent library when drafting or amending agreements. They compare risk-allocation and indemnification clauses, voting and distribution mechanics, fee-schedule structure and triggers, and form-of-ADR legends across restricted Reg S, Rule 144A, and unrestricted tranches. The included legal opinions and consents serve as drafting models.

Institutional investor compliance

Compliance teams at asset managers, pension plans, insurance general accounts, and sovereign investors confirm that held or prospective ADRs sit under an effective registration and verify voting pass-through, dividend, and withholding terms. They key on the most recent post-effective accession number, effective date, deposit agreement, and fee schedule.

Custody and corporate-actions desks at broker-dealers and prime brokers

Keep ADR reference data accurate for client servicing: ratios, depositary identity, cash-in-lieu treatment of fractional entitlements, and depositary procedures for rights offerings and tender offers. The deposit agreement and fee schedule feed product, billing, and client-reporting systems.

Fund administrators and ADR middle offices

Validate pass-through and depositary service fees hitting holder accounts during NAV calculation and expense reporting. The fee schedule exhibit is the central artifact: per-share issuance and cancellation fees, services fees on dividends, and standing charges against ADR balances.

Reference-data and corporate-actions vendors

Refresh program-level attributes from the cover page, description of depositary shares, ADR-to-ordinary ratio, depositary identity, depositary-share CUSIP, and amendment effective date. Output feeds identifier-mapping and corporate-actions feeds.

Fee and depositary-economics analysts

Bank product analysts, issuer treasury teams running depositary RFPs, and cross-listing consultants extract per-issuance, per-cancellation, dividend services, and capped or pass-through fees to build cross-depositary comparison tables for RFP responses and negotiation memos.

Cross-listing and capital-markets researchers

Academic and industry researchers studying ADR premiums, the bonding hypothesis, and depositary intermediation use the longitudinal record since 2002. Full deposit-agreement text supports textual analysis of contract evolution; filing dates support event studies; fee schedules support cost-of-cross-listing work.

Regulatory and disclosure-policy analysts

Study amendment volume and content, depositary-change frequency, and the jurisdictional distribution of underlying issuers. They rely on header metadata, filer identifiers, and amendment text.

Document-AI and LLM teams

Use the corpus as a bounded set of deposit agreements, ADR certificates, and fee schedules with recognizable structure and meaningful cross-depositary variation, well suited for clause extraction, fee-schedule parsing, and contract-comparison models.

The same record — deposit agreement, form of ADR, fee schedule, legal opinion, and consents — serves depositaries and their counsel who draft it, institutional holders and custodians who must operationalize its terms, administrators and vendors who turn it into reference data, and researchers and regulators who study ADR programs as market structure.

Specific Use Cases

Concrete workflows the Form F-6 POS Files Dataset supports. Each use case ties to specific record components: metadata.json headers, the SGML-wrapped F-6 POS cover, the form of ADR (EX-99.(A) / EX-1), and the Rule 466 certification (EX-99.(E) / EX-5).

Building a cross-depositary ADR fee comparison table

Parse the form-of-ADR exhibit (EX-99.(A) / EX-1) across recent filings from Citibank, BNY Mellon, Deutsche Bank Trust Company Americas, and JPMorgan Chase Bank to extract per-issuance, per-cancellation, dividend-services, and depositary-services fee lines. Group by depositary using the (Filed by) entity in entities[] and by program using the Subject cik and fileNo. Output feeds depositary-RFP comparison decks and issuer treasury negotiation memos.

Tracking fee-schedule changes within a single ADR program

For a given Subject cik (or registration fileNo such as 333-290987), order all F-6 POS accessions by filedAt and diff successive form-of-ADR exhibits. The result is a time series of fee-schedule revisions, ratio adjustments, and depositary-services charges for that program, used by ADR program administrators and fund-admin fee-validation desks reconciling charges hitting holder accounts.

Maintaining ADR program reference data

Refresh program-level attributes for corporate-actions and identifier feeds: depositary identity from the (Filed by) entity, foreign issuer from the (Subject) entity, share ratio parsed from the form-of-receipt, tickers from the Subject tickers array, jurisdiction from stateOfIncorporation, and amendment effective timestamp from filedAt. Output populates ADR reference tables and broker custody systems.

Verifying registration currency for institutional ADR holdings

Compliance teams confirm a held ADR sits under an effective registration by joining position files to the dataset on Subject cik or fileNo, retrieving the latest F-6 POS accessionNo and filedAt, and reading the EX-99.(E) Rule 466 certification to confirm the depositary's certification has not been suspended. Supports pre-trade approval lists and periodic compliance attestations.

Mining depositary-agreement clauses as a precedent library

Securities counsel drafting new ADR programs run clause-level retrieval over the form-of-receipt corpus to surface variations in indemnification, voting pass-through, pre-release mechanics, FX-conversion, and tax-reclaim language. The included Rule 466 certifications and any supplementary opinions or consents serve as drafting templates. The two-decade coverage and depositary diversity make the dataset a usable precedent base.

Detecting depositary changes and program migrations

Group records by Subject cik and watch for a change in the (Filed by) entity across successive F-6 POS accessions, or for clusters of new F-6 POS filings against the same issuer from a different depositary. Surfaces depositary-switch events for capital-markets research, RFP win/loss tracking, and corporate-trust competitive intelligence.

Training document-AI extractors on ADR contracts

The narrow, recurring three-document structure (cover, form of receipt, Rule 466 certification) with stable SGML <TYPE> labels and predictable section anchors (share-ratio statement, fee schedule, signature block) makes the corpus a bounded training and evaluation set for clause-extraction, fee-schedule parsing, and deposit-agreement comparison models. The historical EX-1/EX-5 versus modern EX-99.(A)/EX-99.(E) typing provides built-in label noise for robustness testing.

Dataset Access

Dataset Index JSON API: https://api.sec-api.io/datasets/form-f6-pos-files.json

This endpoint returns metadata describing the Form F-6 POS Files Dataset, including its name, description, last updated timestamp, earliest sample date, total record count, total size, covered form types, container format, and included file types. It also provides the full dataset download URL and a list of all individual container files, each with its own size, record count, updated timestamp, and download URL. Polling this endpoint daily lets you detect which containers changed in the most recent refresh run and download only those containers. This endpoint does not require an API key.

Example response:

Example
1 {
2 "datasetId": "1f13365b-9ae0-6949-a536-9fd18ddc4b5a",
3 "datasetDownloadUrl": "https://api.sec-api.io/datasets/form-f6-pos-files.zip",
4 "name": "Form F-6 POS Files Dataset",
5 "updatedAt": "2026-05-07T02:50:26.096Z",
6 "earliestSampleDate": "2002-07-01",
7 "totalRecords": 8997,
8 "totalSize": 85904832,
9 "formTypes": ["F-6 POS"],
10 "containerFormat": "ZIP",
11 "fileTypes": ["HTML", "JSON", "TXT"],
12 "containers": [
13 {
14 "downloadUrl": "https://api.sec-api.io/datasets/form-f6-pos-files/2026/2026-05.zip",
15 "key": "2026/2026-05.zip",
16 "size": 412358,
17 "records": 41,
18 "updatedAt": "2026-05-07T02:50:26.096Z"
19 }
20 ]
21 }

Download Entire Dataset: https://api.sec-api.io/datasets/form-f6-pos-files.zip?token=YOUR_API_KEY

Downloads the complete Form F-6 POS Files Dataset as a single ZIP archive covering all filings from July 2002 to present. This endpoint requires an API key.

Download Single Container: https://api.sec-api.io/datasets/form-f6-pos-files/2026/2026-05.zip?token=YOUR_API_KEY

Downloads one monthly container ZIP file instead of the full dataset, which is useful for incremental updates or partial backfills. Replace the year and month in the path with the container key returned by the dataset index API. This endpoint requires an API key.

Frequently Asked Questions

What form does this dataset cover?

The dataset covers Form F-6 POS, the post-effective amendment to a Form F-6 registration statement under the Securities Act of 1933. Form F-6 registers depositary shares evidenced by American Depositary Receipts; the POS variant amends an already-effective F-6 registration covering an ADR program.

What does one record in this dataset represent?

One record is a single EDGAR accession-numbered Form F-6 POS submission, packaged as a self-contained folder named with the 18-digit accession number (hyphens stripped). The folder contains a metadata.json header and the original SGML-wrapped .htm document parts of the EDGAR submission — typically the F-6 POS cover, the form of ADR receipt (Exhibit (a) / EX-1), and the Rule 466 certification (Exhibit (e) / EX-5).

Who is required to file Form F-6 POS?

The depositary bank that issues the ADRs is the Securities Act registrant and EDGAR filer. The depositary population is small and concentrated, dominated by The Bank of New York Mellon, Citibank N.A., JPMorgan Chase Bank N.A., and Deutsche Bank Trust Company Americas, with occasional other trust banks. The foreign private issuer whose deposited shares back the ADRs is named as the registration "Subject" but does not file the POS.

When are F-6 POS amendments filed?

F-6 POS is event-driven, not periodic. There is no annual or quarterly cadence; an amendment is filed whenever the deposit agreement, form of ADR, fee schedule, registered ADR cap, or supporting opinions and consents need to be updated, or when underlying-security events such as stock splits or ADR-ratio changes occur. Most F-6 POS filings rely on Rule 466 to become effective immediately upon filing.

What time period does the dataset cover, and what file format does it use?

Coverage runs from July 1, 2002 through the present. Records are delivered inside ZIP archives partitioned by calendar month (YYYY/YYYY-MM.zip); each record consists of one metadata.json file plus the original .htm document parts wrapped in their SGML <DOCUMENT> envelopes. Image attachments and the complete-submission .txt bundle are not stored locally, and F-6 POS carries no XBRL data.

How does this dataset differ from F-6, F-6/A, and F-6 EF?

F-6 establishes a new ADR registration; F-6/A amends a registration before initial effectiveness; F-6 EF tags an initial F-6 designated for immediate Rule 466 effectiveness. F-6 POS, the only form covered by this dataset, amends a registration that is already effective — typically to update the deposit agreement, refresh the fee schedule, register additional ADRs, or revise the certificate form.

Why is the original Form F-6 not bundled with the POS amendment?

The dataset preserves the F-6 POS amendment exactly as filed and does not re-bundle the underlying effective F-6. The Subject entity's fileNo (e.g. "333-290987") is the key for cross-referencing back to the original F-6 on EDGAR; reconstructing the full effective registration requires joining via that registration file number.