The Form N-14MEF Files Dataset is a complete EDGAR corpus of Form N-14MEF registration statements — the Rule 462(b) "more effective" supplements that registered investment companies and business development companies file to register up to an additional 20% of the same securities already covered by an effective Form N-14 used in a fund merger, reorganization, or other business combination. Each record is one full EDGAR submission, identified by an 18-digit accession number and packaged as an accession folder containing a structured metadata.json plus every non-image document EDGAR accepted, each preserved inside its original SGML <DOCUMENT> envelope. The filer is always the surviving or acquiring fund or BDC issuing its own shares as merger consideration; the filing becomes effective immediately under Rule 462(b)(2) on submission, with no staff review. The dataset spans EDGAR submissions from May 2001 to the present and is delivered as monthly ZIP partitions, with file payloads in HTML, TXT, and JSON.
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Dataset Index JSON API
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The dataset captures every Form N-14MEF filing accepted by EDGAR, exactly as it sits on the system, minus binary image attachments and plus a structured metadata layer that mirrors the EDGAR header and document index. A record is not a section, an exhibit, or an event row — it is the full registration filing as a single accession. Form N-14MEF is the short-form registration statement filed under Rule 462(b) of the Securities Act of 1933: an issuer that already has an effective registration statement on Form N-14 may register up to an additional 20% of the same securities by filing this abbreviated supplemental statement, which becomes effective immediately upon filing provided it is filed before the close of business on the day the additional securities are sold. The "MEF" suffix denotes the Rule 462(b) "more effective" filing.
The base form, Form N-14, is the registration statement used by registered investment companies and business development companies for securities issued in business-combination transactions — fund-of-funds reorganizations, mergers between affiliated mutual funds or closed-end funds, and acquisitions of one investment company by another — under 17 CFR 239.23. Because the base Form N-14 already contains the full proxy statement / prospectus, financial statements, fee tables, agreement and plan of reorganization, opinions, and exhibits, the N-14MEF deliberately does not repeat that disclosure. It points at the prior effective Form N-14 by Securities Act file number, identifies the additional securities being registered, recomputes the registration fee, and incorporates the underlying registration statement by reference. A single N-14MEF filing is therefore very thin compared to the underlying Form N-14: in essence a cover page, a Rule 462(b) certification, a fee-calculation table, an incorporation-by-reference statement, signatures, and a small set of exhibits — most commonly a tax opinion / consent of counsel and, when needed, a fresh consent of the independent registered public accounting firm.
The dataset is delivered as monthly partitions: each container is a ZIP whose root is a YYYY-MM/ directory, and inside that directory each accession lives in a subdirectory named with the dashless 18-digit accession number (for example 000144554618002939 for accession 0001445546-18-002939). All files belonging to one record live inside that one accession directory. Coverage runs from May 2001 forward, and file payloads are HTML, TXT, and JSON.
A record is layered as follows, from outermost packaging to innermost narrative content:
metadata.json, a flat JSON object describing the EDGAR submission, the filer entities, and the inventory of original documents.metadata.jsonThe metadata file is a flat JSON object that captures the EDGAR header for the submission and an index of every document EDGAR accepted into the filing. Its principal fields are:
formType — fixed at "N-14MEF" for every record in this dataset.accessionNo — the dashed EDGAR accession number; the canonical identifier for the filing.filedAt — ISO-8601 timestamp with timezone, recording the moment EDGAR received the submission. Because Rule 462(b) effectiveness depends on filing before the sale closes, the time-of-day component is meaningful, not just the calendar date.description — human-readable form description, typically "Form N-14MEF - Registration of additional securities for a Form N-14 offering [Rule 462(b)]".linkToFilingDetails, linkToTxt, linkToHtml, linkToXbrl — absolute URLs back to EDGAR for the primary document, the full submission .txt bundle, the filing index page, and any XBRL data (the XBRL link is typically empty for N-14MEF).id — an internal hash identifier for the record.documentFormatFiles — an array, one entry per document EDGAR received, with sequence, size, documentUrl, description, and EDGAR type (for example "N-14MEF", "EX-99.12 TAX OPINION", "GRAPHIC"). The array also lists files that are not packaged in the ZIP — most importantly image files and the full-submission wrapper .txt — providing pointers to retrieve them from www.sec.gov if needed.entities — an array of filer entities. Each entity entry includes companyName (with the role suffix in parentheses, e.g. (Filer)), zero-padded cik, irsNo, fileNo, filmNo, stateOfIncorporation, act (the Securities Act under which the filing is made, typically "33"), entity-level type, and a tickers array. For N-14MEF the filer is normally a registered investment company (open- or closed-end fund) or a business development company.seriesAndClassesContractsInformation — an array describing fund Series and Class identifiers (the EDGAR Series/Class system used by mutual funds). Populated for series-trust filings; empty for closed-end-fund filings.dataFiles — an array of structured data files. Typically empty for N-14MEF.Every non-metadata file in the accession folder is wrapped in EDGAR's SGML submission envelope rather than being raw HTML. Each document begins with header tags and contains the actual payload between <TEXT> and </TEXT>:
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<DOCUMENT>
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<TYPE>N-14MEF
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<SEQUENCE>1
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<FILENAME>fsd_n14mef.htm
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<DESCRIPTION>REGISTRATION OF ADDITIONAL SHARES
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<TEXT>
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<HTML> ... </HTML>
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</TEXT>
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</DOCUMENT>
The <TYPE> value distinguishes the primary registration document (N-14MEF) from exhibits (EX-99.12, EX-23, etc.); <SEQUENCE> defines display order on EDGAR; <FILENAME> matches the on-disk filename; <DESCRIPTION> carries a free-text label.
The primary document — always the <SEQUENCE>1 file with <TYPE>N-14MEF — is the registration statement itself. Although short, it has a well-defined internal structure:
333-223803), the previously effective Form N-14 registration statement that this filing supplements.Exhibits are filed as additional SGML-wrapped documents, each with its own EDGAR <TYPE> (e.g. EX-99.12, EX-23, EX-FILING FEES). The exhibit set is small because the underlying Form N-14 already contains the substantive transaction documents. The exhibits most often present are:
EX-99.12). A formal opinion-and-consent letter from outside counsel addressing the U.S. federal income-tax consequences of the underlying reorganization, typically concluding that the transaction qualifies as a tax-free reorganization under Section 368(a) of the Internal Revenue Code, and consenting to the reference to the firm and the use of the opinion.EX-23). A consent of the independent registered public accounting firm to the incorporation by reference of its report into the supplemental registration statement.EX-FILING FEES). For filings made after the SEC's structured filing-fee compliance date, the registration-fee calculation appears (or is duplicated) here in the structured fee-exhibit format.Images referenced inside the HTML (corporate logos, signature graphics, embedded figures) are catalogued in documentFormatFiles with type "GRAPHIC" and a documentUrl, but the binary image files themselves are excluded from the dataset's ZIP packaging. The HTML may therefore contain <img> tags whose src filenames do not resolve to a local file inside the accession folder.
Inside each accession folder, the dataset includes:
metadata.json, with the structured filing header, entity list, and document index.<DOCUMENT> envelope.documentFormatFiles are not packaged inside the ZIP; they remain accessible via the documentUrl field on EDGAR..txt bundle that EDGAR generates for the entire filing is not duplicated inside the accession folder; the URL is exposed via linkToTxt in metadata.linkToFilingDetails references only this filing; locating the base registration requires using the Securities Act file number disclosed in the Rule 462(b) statement on the N-14MEF cover page.N-14MEF/A and is not packaged inside the original N-14MEF record.The N-14MEF form has been a stable, narrowly scoped registration mechanism since Rule 462(b) was extended to investment-company registrations. Across the dataset's coverage from May 2001 onward, the substantive required content — facing page, Rule 462(b) statement, calculation-of-fee table, incorporation by reference, signatures, tax opinion, and auditor consent — has changed little. The notable evolutions touch the fee table and the entity-identifier system rather than the core disclosure:
EX-FILING FEES). N-14MEF filings made after the applicable compliance date may include an Exhibit 107 in addition to, or in place of, the inline fee table on the cover page. Earlier filings show only the inline fee table.seriesAndClassesContractsInformation block for open-end-fund N-14MEF records. Many closed-end-fund filings continue to leave this array empty because closed-end funds are not series trusts.EDGAR mandated HTML for registration-statement submissions before the dataset's start date, so the vast majority of records are HTML inside the SGML envelope from the outset. A small number of early-2000s filings may carry plain-text payloads inside the same <TEXT> envelope rather than HTML. The SGML <DOCUMENT> wrapper itself, with its <TYPE>, <SEQUENCE>, <FILENAME>, <DESCRIPTION>, and <TEXT> tags, has been the consistent EDGAR submission format throughout the period, so a single parser handles every record. Image attachments — historically GIFs, more recently JPEGs and PNGs — are excluded from the dataset packaging across all years.
333-XXXXXX number) back to the base Form N-14 registration statement; that companion filing carries the prospectus, fee-bearing offering disclosure, plan of reorganization, and historical financial statements.<DOCUMENT> / <TYPE> / <SEQUENCE> / <FILENAME> / <DESCRIPTION> / <TEXT> header lines and the trailing </TEXT></DOCUMENT> lines. The actual HTML payload is contained between <TEXT> and </TEXT>.entities array distinguishes filers by role suffix in companyName (for example (Filer)); for fund mergers the filer is normally the surviving fund or its trust. The tickers array reflects EDGAR's mapping at filing time and may contain a closed-end-fund ticker (for closed-end mergers) or be empty for open-end funds whose shares trade by NAV.<img> tags pointing to local image filenames that are not present in the accession folder. These are listed in documentFormatFiles with EDGAR type "GRAPHIC" and can be retrieved from the documentUrl if visual fidelity is required.N-14MEF/A and constitutes a separate record; it is not packaged within the original N-14MEF record.The filer is always the issuer that filed the underlying Form N-14, that is, the surviving or acquiring entity issuing its own shares as consideration in the business combination. Eligible filers are limited to entities that may use Form N-14 itself:
The target fund whose shareholders receive the issued shares is described in the registration statement but is not the filer.
Form N-14MEF is event-driven. It is filed only when, after the underlying N-14 has been declared effective, the issuer determines that more shares of the same registered class must be issued than were originally registered, typically because of a revised exchange ratio, an updated valuation of the target's assets, or other share-count adjustments at or near closing.
All four conditions must be met:
The filing must contain only what Rule 462(b) requires, including a fee table for the additional securities and incorporation by reference of the original N-14, and the incremental filing fee must be paid at the time of filing.
There is no periodic schedule. Effectiveness is automatic under Rule 462(b)(2) at the moment of filing, without staff review or a separate effectiveness order. Filings are typically submitted in close proximity to the closing of the underlying business combination, often the same day the final exchange ratio is set or shareholder approval is obtained.
Form N-14MEF sits at the intersection of two SEC regimes: Rule 462(b) "MEF" short-form registrations and the Form N-14 family used by investment companies and BDCs in business combinations. The most useful comparison targets are the parent N-14 (and its closed-end variant N-14 8C), the operating-company 462(b) siblings (S-1MEF, S-3MEF, F-1MEF, F-3MEF), and Form 24F-2, which is often confused with MEF filings because both touch share counts and fees.
Form N-14 is the substantive registration statement for securities issued by registered investment companies and BDCs in mergers, reorganizations, and asset acquisitions under 17 CFR 239.23. It carries the prospectus/proxy, transaction description, fund financials, plan of reorganization, and legal and tax opinions.
N-14MEF is a thin Rule 462(b) supplement that registers up to an additional 20% of the same class for the same offering already covered by an effective N-14, becoming effective immediately on filing. It typically incorporates the parent by reference and contains no new substantive disclosure. Use N-14 for deal terms and disclosures; use N-14MEF only to track incremental capacity and the associated fee calculation.
Form N-14 8C is the closed-end fund variant of N-14, tailored to closed-end disclosure conventions but serving the same business-combination registration purpose. N-14MEF can supplement either an N-14 or an N-14 8C parent, and the dataset does not segregate by parent type. For the underlying disclosure of a closed-end fund merger, N-14 8C is the substantive source; N-14MEF only adds capacity.
These are the parallel Rule 462(b) supplements for operating-company issuers: S-1MEF/S-3MEF for domestic issuers and F-1MEF/F-3MEF for foreign private issuers. They share N-14MEF's mechanics (20% additional capacity, immediate effectiveness) but differ in filer population and offering type: they cover ordinary capital-raising offerings (IPOs, follow-ons, shelf takedowns), whereas N-14MEF covers fund-merger consideration shares.
Volume differs sharply: the operating-company MEFs are routinely used in active equity offerings, while N-14MEF is rare because fund mergers seldom exhaust their registered share amounts. A complete 462(b) capacity panel combines all five MEF datasets; a fund-merger analysis uses only N-14MEF plus its N-14/N-14 8C parent.
Form 24F-2 is the annual notice filed by open-end management companies under Rule 24f-2 to reconcile actual share sales against indefinite registration and pay net fees. It is backward-looking and tied to indefinite registration; N-14MEF is forward-looking and tied to a specific 20% increment for a particular merger offering. Different fee regimes, different timing, not substitutes.
These register securities for ordinary fund offerings (open-end, closed-end, and variable insurance products) and are not eligible for 462(b) MEF supplementation. Researchers sometimes conflate "fund registration" with N-14, but N-14 (and therefore N-14MEF) is restricted to merger and reorganization consideration shares. Ongoing share capacity for N-1A or N-2 is added through post-effective amendments, not an MEF filing.
The Form N-14MEF Files Dataset isolates one narrow procedural artifact: Rule 462(b) capacity supplements attached to investment-company business-combination registrations. Records are short, formulaic, and incorporate the parent N-14 or N-14 8C by reference; their analytic value is identifying when fund mergers needed additional registered shares and the associated fees, not substantive deal content. For transaction disclosure, use N-14 or N-14 8C. For comparable 462(b) mechanics outside the fund universe, use the S-/F- MEF datasets. For indefinite-registration share reconciliation, use 24F-2. None of these captures the specific intersection of fund-merger registration and 462(b) capacity expansion that this dataset covers.
The user base for the Form N-14MEF Files Dataset is narrow but well-defined, drawn almost entirely from the professionals who handle fund mergers, registration mechanics, and filing-fee accounting.
Securities lawyers advising registered funds, closed-end funds, and BDCs use the filings as drafting precedent for last-minute upsizes of fund-combination registrations. The cover-page reference to the parent N-14, the incorporation-by-reference language, the description of additional securities, and the signature pages matter most. Counsel uses the corpus to confirm 20% ceiling compliance and to test draft language against prior 462(b) practice.
Paralegals and registration specialists at fund complexes and their administrators use prior submissions to template the EDGAR filing itself: header conventions, exhibit list, fee-table layout, and sequencing relative to the parent N-14's effectiveness. The cover page and fee table drive most of this work.
Fee accountants benchmark how peers compute the incremental registration fee on the additional 20%, including share-class allocation, proposed maximum aggregate offering price, and offsets against prior fees. The dataset supports fee reconciliation and audit trails for the EDGAR filing-fee account.
Sell-side and buy-side analysts covering closed-end funds and BDCs treat an N-14MEF as a signal that a deal sized up or that exchange ratios shifted late. They pull the additional share count, the parent N-14 accession, and the MEF date into deal-tracking tables, exchange-ratio reconstructions, and event timelines.
Event-driven desks trading fund-combination spreads watch MEF filings for late upsizes that affect dilution, share count delivered to target holders, and spread mechanics. Historical MEF frequency is used to calibrate base rates for top-ups in live transactions.
Compliance officers at fund sponsors and registration-calendar vendors track when and how 462(b) is invoked across the fund-merger pipeline. They lean on accession metadata, filer identity, and date sequencing to verify 20% cap adherence and consistent disclosure language.
Engineers building EDGAR ingestion pipelines use the corpus to test parsers, validate form-type routing, and confirm that downstream systems link each MEF back to its parent N-14 by accession or registration number. The metadata JSON, TXT submission, and primary HTML document are all in scope.
Teams building retrieval and QA systems over fund disclosure use N-14MEF filings to handle the incorporation-by-reference pattern correctly, since most substantive content lives in the prior N-14. The short, formulaic structure makes them clean test cases for cross-document linking and grounded answers about total registered amounts.
Researchers studying registered fund consolidation use MEF frequency as a marker of deal upsizing and of how often the 20% cushion is exercised, paired with parent N-14 data for empirical work on fund-merger structuring.
The Form N-14MEF Files Dataset supports a small set of concrete workflows tied to fund-merger registration mechanics, Rule 462(b) capacity tracking, and filing-fee accounting.
Linking each MEF to its parent N-14 or N-14 8C. Parse the Rule 462(b) statement on the cover page of the primary N-14MEF document to extract the 333-XXXXXX Securities Act file number, then join to the base Form N-14 / N-14 8C accession. This produces a parent-child registration map used by deal-tracking systems and RAG pipelines that need to resolve incorporation-by-reference back to the substantive prospectus, plan of reorganization, and fund financials.
Quantifying late merger upsizes from incremental share counts. Extract the "additional amount being registered" and "proposed maximum aggregate offering price" from the calculation-of-registration-fee table (inline on the cover page in older filings, or from the structured EX-FILING FEES Exhibit 107 in post-2022 filings). Event-driven desks and closed-end fund analysts feed these numbers into exchange-ratio reconstructions and dilution models for fund combinations that exhausted their original 20% headroom.
Benchmarking Rule 462(b) fee calculations across fund complexes. Treasury and fee-accounting teams compare share-class allocations, Rule 457 fee bases, and prior-fee offsets across the fee tables in the corpus to validate their own incremental fee math before transmitting to the EDGAR filing-fee account. The post-2022 structured EX-FILING FEES exhibits give clean machine-readable rows; earlier inline tables are extracted from the primary HTML.
Verifying 20% cap compliance and Rule 462(b) timing. Combine metadata.json (accessionNo, filedAt ISO-8601 timestamp with timezone, filer cik) with the parent N-14's originally registered amount to confirm the supplemental amount stays within the 20% Rule 462(b) ceiling and that the MEF was filed before close of business on the sale day. Compliance teams and registration-calendar vendors use this as a recurring checklist run.
Drafting precedent for counsel and registration paralegals. Pull the cover page, Rule 462(b) statement, incorporation-by-reference paragraph, signature block, EX-99.12 tax opinion, and EX-23 auditor consent from prior filings as templates for new fund-merger upsizes. Filtering entities by fund family or trust isolates same-sponsor precedent for the closest drafting analog.
Calibrating MEF base rates for fund-merger arbitrage. Aggregate filing counts by year, filer entity type (open-end series trust vs. closed-end fund vs. BDC, derived from seriesAndClassesContractsInformation and tickers), and parent N-14 to compute how often fund mergers exhaust their original registration. Arbitrage desks use the resulting base rate to price the probability of a late top-up in live transactions.
Testing EDGAR ingestion and incorporation-by-reference handling. Engineers and LLM teams use the corpus as a focused regression set: SGML envelope stripping, <TYPE> routing for N-14MEF, EX-99.12, EX-23, and EX-FILING FEES, and cross-document retrieval that follows the cover-page file number to the parent registration. The small, formulaic records expose parsers that fail on thin filings or that mishandle incorporated content.
Dataset Index JSON API: https://api.sec-api.io/datasets/form-n14mef-files.json
This endpoint returns dataset metadata (name, description, last updated timestamp, earliest sample date, total records, total size, covered form types, container format, and file types), the full dataset download URL, and the list of individual container files with per-container size, record count, updated timestamp, and download URL. Use it to monitor which containers were refreshed in a given run and decide which ones to download incrementally. This endpoint does not require an API key.
Example response:
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{
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"datasetId": "1f13365b-9ae0-6a75-9bf7-3fa54bbd00f8",
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"datasetDownloadUrl": "https://api.sec-api.io/datasets/form-n14mef-files.zip",
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"name": "Form N-14MEF Files Dataset",
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"updatedAt": "2026-04-16T08:55:19.844Z",
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"earliestSampleDate": "2001-05-01",
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"totalRecords": 29,
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"totalSize": 518793,
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"formTypes": ["N-14MEF"],
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"containerFormat": "ZIP",
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"fileTypes": ["TXT", "JSON", "HTML"],
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"containers": [
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{
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"downloadUrl": "https://api.sec-api.io/datasets/form-n14mef-files/2026/2026-03.zip",
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"key": "2026/2026-03.zip",
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"size": 13818783,
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"records": 154,
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"updatedAt": "2026-04-16T08:55:19.844Z"
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}
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]
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}
Download Entire Dataset: https://api.sec-api.io/datasets/form-n14mef-files.zip?token=YOUR_API_KEY
Downloads the full dataset as a single ZIP archive containing all Form N-14MEF filings from May 2001 to present. This endpoint requires an API key.
Download Single Container: https://api.sec-api.io/datasets/form-n14mef-files/2026/2026-03.zip?token=YOUR_API_KEY
Downloads one monthly container ZIP rather than the full archive, useful for incremental updates or fetching a specific month. This endpoint requires an API key.
The dataset covers Form N-14MEF, the short-form registration statement filed under Rule 462(b) of the Securities Act of 1933 by registered investment companies and business development companies to register up to an additional 20% of securities already covered by an effective Form N-14. The "MEF" suffix denotes the Rule 462(b) "more effective" filing, which becomes effective immediately upon filing.
One record is a single EDGAR submission of Form N-14MEF, identified by an 18-digit accession number and materialized on disk as one accession folder. The folder contains a metadata.json file plus every non-image document EDGAR accepted, each preserved inside its original SGML <DOCUMENT> envelope — typically the primary registration document, an Exhibit 12 tax opinion, and an Exhibit 23 auditor consent.
The filer is always the issuer of the new securities — the surviving or acquiring registered open-end fund, closed-end fund, BDC, or other registered investment company issuing its own shares as consideration in a business combination. The target fund whose shareholders receive the shares does not file. Foreign investment companies not registered under the Investment Company Act of 1940 and private funds relying on Section 3(c)(1) or 3(c)(7) cannot use the form.
Filing is event-driven, not periodic. It happens only when an issuer with an effective Form N-14 needs to register more shares of the same class than were originally registered, typically because of a revised exchange ratio or updated target valuation at or near deal closing. The filing must occur no later than the time the additional securities are issued, and effectiveness is automatic under Rule 462(b)(2) at the moment of filing.
The dataset spans EDGAR submissions from May 2001 forward, delivered as monthly ZIP partitions. Each container is a ZIP whose root is a YYYY-MM/ directory; inside, each accession is a subdirectory named with the dashless 18-digit accession number. File payloads are HTML, TXT, and JSON — the primary registration document and exhibits are SGML-wrapped HTML (or plain text in the oldest filings), and metadata.json provides the structured EDGAR header.
Form N-14 is the substantive registration statement carrying the prospectus/proxy, fund financials, plan of reorganization, and legal and tax opinions for a fund business combination. Form N-14MEF is a thin Rule 462(b) supplement that registers up to 20% more of the same class without repeating that disclosure — it incorporates the parent N-14 by reference using the Securities Act file number on the cover page. Use N-14 for deal terms; use N-14MEF only to track incremental capacity and the associated fee calculation.
All five are Rule 462(b) supplements sharing the 20% capacity ceiling and immediate effectiveness, but the filer populations and offering types differ. The S- and F- variants cover ordinary operating-company capital raises (IPOs, follow-ons, shelf takedowns) by domestic and foreign private issuers, while N-14MEF is the investment-company-specific variant covering fund-merger consideration shares only.