Form PRRN14A Files Dataset

The Form PRRN14A Files Dataset packages every accepted EDGAR submission of Form PRRN14A — the revised preliminary proxy soliciting statement filed by a party other than the registrant under Rule 14a-6(a) of Regulation 14A — as a self-contained, monthly-partitioned archive. One record represents a single PRRN14A accession: the dissident's revised preliminary proxy statement, its EDGAR-attached exhibits, and a generated metadata.json manifest, bundled inside an accession-numbered folder. The underlying filings are made by activist hedge funds, dissident shareholder groups, and other non-management soliciting parties revising an initial PREN14A before going definitive on DFRN14A. Coverage spans the entire EDGAR history of the form, with an earliest sample date of October 1, 1994 and continuous additions through the present. Files are distributed as ZIP containers and contain TXT, JSON, HTML, and PDF documents.

Update Frequency
Daily
Updated at
2026-05-20
Earliest Sample Date
1994-10-01
Total Size
85.8 MB
Total Records
2,684
Container Format
ZIP
Content Types
TXT, JSON, HTML, PDF
Form Types
PRRN14A

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.

Download Entire Dataset:

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

Download Single Container:

Dataset Files

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What This Dataset Contains

The dataset captures the full population of EDGAR-accepted Form PRRN14A filings — revised preliminary proxy soliciting statements submitted by non-management parties in contested or otherwise non-management solicitations. Each accession in EDGAR becomes one record on disk; the dataset preserves the original EDGAR documents that made up the filing (the primary proxy document plus any text or PDF exhibits) alongside a generated JSON manifest. Image binaries referenced by <IMG SRC="..."> tags inside the HTML — investor-presentation slides, photographs of nominees, charts, logos — are intentionally excluded.

Records are partitioned by EDGAR acceptance month into ZIP containers (<YYYY-MM>.zip), with one accession-number folder per record inside. The file types found across the dataset are TXT, JSON, HTML, and PDF. Coverage runs from October 1994, when EDGAR began accepting Form PRRN14A, to the present, and includes both early ASCII-only filings and modern HTML filings within the same SGML envelope format.

Because PRRN14A is filed by an "opposition" or dissident party, the record population almost always reflects activist campaigns, proxy contests over board composition, votes on extraordinary transactions the dissident opposes, or Rule 14a-8 shareholder proposals being independently solicited. The corresponding management filings (PRE 14A, PREC 14A, DEF 14A, DEFC 14A) and the same dissident's later definitive revised filings (DFRN14A) and additional soliciting materials (DFAN14A, PX14A6G, PX14A6N) live in their own form-type datasets — a PRRN14A record stands alone and does not bundle prior or subsequent filings in the same campaign.

Content Structure of a Single Record

What one record represents

One record in the Form PRRN14A Files Dataset is a single accepted EDGAR submission of Form PRRN14A. On disk, the record is an accession-number folder inside a monthly ZIP container, named with the 18-digit accession number stripped of dashes (for example, accession 0000902664-25-003027 becomes the folder 000090266425003027). The folder bundles a generated metadata.json describing the submission together with the original EDGAR documents that made up the filing — the primary proxy document plus any text or PDF exhibits — minus image binaries.

Each record therefore captures one discrete event in a contested or non-management proxy solicitation: a revision to a previously filed preliminary proxy statement (PREN14A), submitted before the definitive revised version (DFRN14A) is mailed to security holders.

The underlying SEC filing

Form PRRN14A is the revised counterpart to Form PREN14A in the family of non-management preliminary proxy filings under Schedule 14A. Where PREN14A is the dissident's first preliminary solicitation, PRRN14A is filed when the soliciting party amends those materials — typically because the registrant's preliminary statement has appeared, because the dissident's slate or proposal has changed, because supporting biographical or factual disclosures have been updated, or because the SEC staff has issued comments. The form is governed by the same body of rules as management's PRE 14A: Schedule 14A item-by-item disclosure (Items 1 through 22), the participants-in-solicitation requirements of Item 4 and Instruction 3 to Item 4 of Schedule 14A, the "PRELIMINARY COPY SUBJECT TO COMPLETION" cover legend mandated by Rule 14a-6(e)(1), and the cover-page checkbox identifying that the filing is made by a party other than the registrant.

The submission is delivered to EDGAR as a "complete submission text file" — an SGML-wrapped envelope concatenating a header block, every individual document the filer attached, and trailing delimiters. EDGAR's acceptance system parses this envelope, assigns sequence numbers to each <DOCUMENT> block, and produces both the consolidated .txt submission and the per-document files served on www.sec.gov/Archives/edgar/data/.... The dataset preserves the per-document files (HTML, TXT, PDF) with their SGML wrappers intact; it does not redistribute the concatenated .txt submission.

On-disk layout

Inside each accession folder the layout is:

1 <YYYY-MM>/
2 <accession-no-dashes>/
3 metadata.json
4 <primary-document>.htm
5 [<exhibit>.htm | <exhibit>.txt | <exhibit>.pdf ...]

The top-level folder inside the ZIP is the year-month partition <YYYY-MM>/, matching the container filename. Below that, one folder per accession holds:

  • metadata.json — a generated JSON manifest summarizing the submission, the participants, and the document inventory. Always present.
  • The primary PRRN14A document — an SGML-wrapped HTML (.htm) file in modern filings, or an SGML-wrapped plain-text document in pre-HTML-era filings.
  • Zero or more exhibits — additional .htm, .txt, or .pdf documents listed in the EDGAR submission.

The HTML retains the image references for files that are not packaged on disk, so consumers should expect dangling image links; the same images remain listed in metadata.json under documentFormatFiles with type of GRAPHIC, so a downstream consumer that reconciles manifest entries against on-disk files must filter type === "GRAPHIC" to avoid spurious "missing file" errors.

The metadata.json manifest

The manifest is a flat JSON object that flattens the EDGAR submission header and indexes the document inventory. The intentional, documented fields are:

  • formType — always the string "PRRN14A".
  • accessionNo — the canonical dashed accession number (NNNNNNNNNN-YY-NNNNNN), distinct from the dash-stripped folder name.
  • filedAt — an ISO-8601 timestamp with timezone offset reflecting the EDGAR acceptance time (Eastern Time), e.g., 2025-07-16T15:37:16-04:00.
  • description — the human-readable form-type label: "Form PRRN14A - Non-management revised preliminary proxy soliciting materials, contested and otherwise".
  • linkToFilingDetails — direct URL to the primary document on EDGAR.
  • linkToTxt — URL to the full SGML "complete submission text file" on EDGAR.
  • linkToHtml — URL to the EDGAR ...-index.htm page listing all documents in the submission.
  • linkToXbrl — URL to an XBRL instance; an empty string for PRRN14A.
  • documentFormatFiles — an array with one entry per item in the original EDGAR submission. Each entry carries sequence (a string-encoded integer that orders documents within the submission, or a literal space " " for the synthetic complete-submission-text-file entry), size (bytes, as a string), documentUrl, description, and type (e.g., PRRN14A, GRAPHIC, EX-99.1, or " " for the trailing complete-submission entry).
  • dataFiles — an array reserved for structured/XBRL data files; an empty array for PRRN14A.
  • entities — an array describing each party named in the EDGAR submission header. Every entry typically carries cik, companyName (with a role suffix in parentheses such as (Filed by) or (Subject)), and type (the form type asserted in the header for that entity), plus optional fields including fiscalYearEnd, stateOfIncorporation, irsNo, act, fileNo, and filmNo. Contested proxy filings always show at least two entities: the dissident soliciting party marked (Filed by) and the target issuer marked (Subject). Closed-end-fund subjects carry an Investment Company Act file number of the form 811-NNNNN; operating-company subjects carry a '34 Act file number of the form 001-NNNNN or 000-NNNNN.
  • seriesAndClassesContractsInformation — an array of series/class identifiers used by registered investment companies; empty for non-fund subjects, populated for fund subjects with S- and C- identifiers.
  • id — a 32-character hexadecimal per-record identifier.

The SGML document envelope

Every original EDGAR document inside the accession folder retains its SGML <DOCUMENT> wrapper. The wrapper is not part of the HTML payload — it is EDGAR's per-document framing, identical in shape across the dataset:

1 <DOCUMENT>
2 <TYPE>PRRN14A
3 <SEQUENCE>1
4 <FILENAME>p25-1535prrn14a.htm
5 <DESCRIPTION>NYLI CBRE GLOBAL INFRASTRUCTURE MEGATRENDS TERM FUND
6 <TEXT>
7 <HTML>
8 <HEAD><TITLE></TITLE></HEAD>
9 <BODY>
10 ... full HTML proxy statement body ...
11 </BODY>
12 </HTML>
13 </TEXT>
14 </DOCUMENT>

The header lines (<TYPE>, <SEQUENCE>, <FILENAME>, <DESCRIPTION>) appear before the inner HTML and are followed by closing </TEXT></DOCUMENT> tags. Consumers that treat these files as pure HTML will see leading and trailing SGML tag soup; downstream parsing must either strip the envelope explicitly or rely on a tolerant parser. Exhibit documents — EX-99.1 press releases, EX-99.2 letters, EX-99.3 investor presentations rendered as text or PDF, and similar attachments — use the same wrapper, with <TYPE> set to the exhibit code rather than PRRN14A. The <TYPE>, <SEQUENCE>, <FILENAME>, and <DESCRIPTION> values mirror the corresponding entries in documentFormatFiles, providing a canonical mapping between a document on disk and its role in the submission.

The inner HTML payload uses inline <P STYLE="...">, <TABLE>, <FONT>, and <SPAN> markup characteristic of EDGAR-filed proxy statements. It is rarely well-formed XHTML and frequently contains deeply nested font and table styling carried over from the filer's word processor.

Section-by-section anatomy of the proxy body

The HTML body of the primary PRRN14A document follows the Schedule 14A template, adapted for a non-management soliciting party. Sections appear in roughly this order:

  1. Preliminary copy legend and cover page. The first visible content is the SEC-required banner "PRELIMINARY COPY SUBJECT TO COMPLETION" (or "PRELIMINARY COPY"), followed by the Schedule 14A cover page. The cover page identifies the registrant whose security holders are being solicited, names the soliciting party, presents the payment-of-filing-fee election, and renders the checkboxes mandated by the form — including the "Filed by a Party other than the Registrant" box and the preliminary/definitive radio set.
  2. Notice of meeting (revised). When the dissident is contesting management's meeting rather than calling its own, the document typically references rather than reproduces the registrant's notice. When the dissident has called a special meeting or is conducting a consent solicitation, a revised notice or revised consent statement appears here.
  3. Letter from the soliciting party. A signed open letter to security holders setting out the dissident's case — the rationale for the contest, criticism of incumbent management or the board, and an explicit ask for support of the dissident's slate, proposal, or "vote against" recommendation.
  4. Questions and answers. A Q&A block addressing the mechanics of voting — record date, share blocking, brokerage vs. registered holders, the colored proxy card (typically gold, blue, or white for dissident cards versus management's), how to revoke a previously submitted card, and contact details for the proxy solicitor.
  5. Background of the solicitation. A chronological narrative describing prior engagement with the issuer's board, settlement discussions, prior filings (PREN14A, DFAN14A "fight letters"), and the events that triggered the revision being filed.
  6. Proposals. Item-by-item presentation of each matter the dissident is soliciting on — election of nominees, vote against management proposals, Rule 14a-8 stockholder proposals, declassification, advisory-contract terminations in fund contests, or extraordinary-transaction votes. Each proposal carries supporting statements and the dissident's recommendation.
  7. Information about the nominees and participants. Biographical and qualification disclosures for each dissident nominee, including age, principal occupation, directorships, share ownership, and the Item 7 / Item 5(b) "participants" schedule required by Instruction 3 to Item 4 of Schedule 14A. The participants list typically appears as Annex A or Schedule I and tabulates every person deemed a participant in the solicitation, along with their transactions in the issuer's securities during the look-back period.
  8. Voting securities, ownership, and other Schedule 14A items. Beneficial ownership tables for 5% holders and participants, information on the registrant's voting securities, and the standard Schedule 14A items the dissident must address (Items 1-3, 6, 7, 22, and any others triggered by the matters voted on).
  9. Forward-looking statements and cautionary legends. Disclaimers covering forward-looking statements, the dissident's limited information about the registrant, and incorporation by reference of registrant filings.
  10. Annexes. Participant-transaction schedules, form of proxy card, form of consent card, and supporting documentary annexes.
  11. Signature block. Signature of the filer (typically the general partner or managing member of the activist entity), name, title, and date.
  12. Proxy card / consent card. Reproduction of the colored proxy or consent card mailed to security holders, including the boxes for each proposal and the signature line.

In the SGML envelope this entire payload sits within a single <DOCUMENT> block. Press releases, fight letters, investor presentations, and shareholder communications are split out into separate EX-99.x documents in the same submission.

Included content

Each record includes:

  • the metadata.json manifest;
  • every text-bearing document of the original EDGAR submission — the primary PRRN14A document and all .htm, .txt, and .pdf exhibits — each retaining its SGML <DOCUMENT> wrapper;
  • the EDGAR header metadata for all named entities (dissident filer, subject issuer, and any additional joint filers or participant entities), surfaced through the entities array.

Excluded or separate content

Image binaries referenced by <IMG SRC="..."> tags inside HTML documents — investor-presentation slides, photographs of nominees, charts, logos — are not packaged in the ZIP. The HTML retains the references and documentFormatFiles still lists them with type of GRAPHIC, so the manifest remains a faithful inventory of the original submission even though those files do not appear on disk.

Changes in required content over time

The substantive disclosure requirements for Form PRRN14A have been broadly stable since the modernization of Schedule 14A. The most material changes affecting non-management preliminary revised proxy filings include:

  • 1992 proxy reform. The SEC's 1992 amendments to the proxy rules (Release No. 34-31326) liberalized the rules around solicitations without a formal proxy statement and expanded the participants-in-solicitation framework; PRRN14A as filed today reflects those rules.
  • 1999 Plain English and proxy modernization. Rule 421 and related amendments shaped presentation style across all Schedule 14A filings, including dissident proxies.
  • Dodd-Frank-era amendments. Changes to Schedule 14A — particularly compensation-related disclosures — altered management proxy content more than dissident content, but dissident filings nevertheless adapted their participant-transaction tables and ownership disclosures.
  • Universal proxy (Rule 14a-19), effective for shareholder meetings on or after August 31, 2022. The rule requires the use of universal proxy cards in contested director elections at most operating companies, compels the dissident to solicit holders of at least 67% of voting power, and imposes notice and information-sharing obligations between dissident and registrant. PRRN14A filings made after that effective date routinely include Rule 14a-19 notice language, references to the universal proxy card, and participant-transaction tables conformed to the rule's information requirements. Closed-end funds remain outside the universal-proxy rule, so fund PRRN14A filings continue to use traditional colored cards.

Changes in source-file format over time

EDGAR began accepting Form PRRN14A in October 1994, when all submissions were ASCII-only. The format trajectory visible in the dataset is:

  • 1994 through the late 1990s. Filings are SGML-wrapped plain ASCII. The primary document is a .txt file inside a <DOCUMENT><TYPE>PRRN14A...<TEXT>...</TEXT></DOCUMENT> envelope. Tables are rendered as monospaced ASCII art, proxy cards are represented as text with boxed checkbox glyphs, and graphical content is described in brackets. There is no inner HTML.
  • Late 1990s through mid-2000s. EDGAR began accepting HTML documents (Release No. 33-7472 and follow-on rulemaking). PRRN14A filings transitioned to .htm primary documents, still wrapped by the same SGML envelope. PDF exhibits appeared as supplemental, non-official copies of investor presentations and fight letters.
  • Mid-2000s to present. HTML is the dominant primary-document format, with PDFs used for graphically intensive exhibits. The SGML <DOCUMENT> wrapper has remained unchanged throughout, so a parser tuned to modern filings will still correctly handle 1994-era PRRN14A submissions provided it does not assume the inner payload is HTML.

Interpretation notes

  • Amendments are sequential. Because PRRN14A is by definition a revision, the same campaign typically produces a chain of filings: an initial PREN14A, one or more PRRN14A revisions, a DFRN14A definitive, and additional DFAN14A soliciting materials. Each PRRN14A in this dataset is a single revision; the dataset does not link revisions to each other beyond what the narrative inside each filing discloses. Cross-campaign linking is normally done via the subject issuer's CIK in the entities array and the filer's CIK.
  • Incorporation by reference. Dissident proxy statements routinely incorporate by reference disclosures from the registrant's own filings (10-K risk factors, executive-compensation tables, audit-related disclosures) because the dissident does not have first-hand access to that information. The PRRN14A record contains only the dissident's filing; incorporated documents are not bundled.
  • Participant transactions. The "Schedule I" or "Annex A" participant-transaction table is a load-bearing structural element. It is typically presented as an embedded HTML <TABLE> and lists, for each participant, every purchase and sale of the issuer's securities during the rule-specified look-back period.
  • Multiple (Filed by) entities. When a dissident "group" files jointly — for example, a fund complex with several affiliated entities plus the natural-person principals — entities will contain a (Filed by) row for each, in addition to the (Subject) row for the issuer. The CIK on each row is the EDGAR CIK of that participant, which is not always a registered reporting entity.
  • Closed-end fund subjects. A meaningful share of PRRN14A activity targets closed-end funds. Fund subjects carry Investment Company Act file numbers (811-NNNNN), and seriesAndClassesContractsInformation may be populated with series/class identifiers, even though the proxy itself is filed against the registrant rather than against a specific series.
  • Manifest-vs-disk parity. documentFormatFiles lists every item EDGAR accepted — including images that are not on disk and the synthetic "complete submission text file" entry whose sequence is a literal space and whose type is also a literal space. Consumers comparing manifest to folder should expect, and filter, these two categories of entries before raising mismatch errors.
  • SGML envelope as metadata. Treat the <DOCUMENT> wrapper as authoritative metadata rather than noise: its <TYPE>, <SEQUENCE>, <FILENAME>, and <DESCRIPTION> lines mirror entries in documentFormatFiles and identify the role of each on-disk file within the EDGAR submission.

Who Files or Publishes This Dataset, and When

Who files the record

Each PRRN14A record is an EDGAR submission of a revised preliminary proxy statement filed by a non-management soliciting party in a contested solicitation. The "N" denotes a non-management filer; "PRR" denotes that the materials are both preliminary and revised relative to an earlier PREN14A from the same party on the same docket.

The filer is not the issuer. The issuer is the subject company named in the filing header — the company whose shareholders are being solicited. The filer is the participant in the solicitation identified under Item 4 of Schedule 14A as the person making the solicitation.

Filing population

Any person or group that:

  • solicits proxies, consents, or authorizations from holders of a class of securities registered under Section 12 of the Exchange Act,
  • does so otherwise than on behalf of the registrant (Rule 14a-6 non-management track), and
  • has already filed an initial PREN14A and now needs to revise it before going definitive on DFRN14A.

Typical filers include:

  • Activist hedge funds and investment advisers running board-election contests (the dominant category).
  • Dissident shareholder groups, often a Section 13(d)(3) "group" of joint participants.
  • Individual or founder-affiliated insurgents (e.g., former CEOs challenging the current slate).
  • Strategic or financial bidders soliciting against a recommended transaction.
  • Holders soliciting on specific governance items — bylaw amendments, director removal, "vote no" campaigns that rise to a regulated solicitation.

The filer is an Exchange Act "person" subject to the proxy rules by virtue of the solicitation activity itself, not by reason of share ownership. Many PRRN14A filers also have a Schedule 13D on file, but the two filings sit on different statutory hooks.

When the record is created — trigger

A PRRN14A is generated when all three are true:

  1. A non-management party is conducting a solicitation that, under Rule 14a-6(a), requires a preliminary proxy statement before any definitive materials are disseminated.
  2. That party has already placed a PREN14A on EDGAR, starting the 10-calendar-day Commission review window under Rule 14a-6(a).
  3. The party then needs to amend, revise, or supplement that preliminary filing before going definitive on DFRN14A.

Common revision triggers:

  • SEC staff comment letters. The Division of Corporation Finance routinely reviews contested preliminary materials during the 10-day window. Disclosure changes responsive to staff comments on participant disclosure (Schedule 14A Item 5), persons making the solicitation (Item 4), solicitation expenses, background-of-the-contest narrative, nominee biographies, or Rule 14a-9 anti-fraud concerns are filed as PRRN14A.
  • Counter-disclosures by the issuer. Management's preliminary or definitive filings (PREM14A, PRER14A, DEFM14A, DEFA14A) or new corporate disclosures force the dissident to update participant disclosures or factual recitals.
  • Slate or proposal changes. Withdrawal, addition, or substitution of nominees; changes to shareholder proposals or proposed bylaw/charter amendments.
  • Settlement-track or escalation events. Standstill talks, litigation rulings (advance-notice disputes, Section 220 actions, Chancery decisions), or new participants joining the group.
  • Material factual corrections. Updated ownership figures, financing arrangements, indemnification agreements with nominees, or Rule 14a-19 universal proxy nominee notice/disclosure conformance.

The filing is event-driven, not periodic. Two to four PRRN14A iterations on a single docket are common.

Timing and the 10-day clock

  • 10-calendar-day review window. Each preliminary filing (PREN14A or PRRN14A) is subject to the Rule 14a-6(a) review period. Definitive materials may not be disseminated until the 10-day period has run or staff signals no further review.
  • Each PRRN14A is filed during the open review window. It does not restart the clock as a matter of rule, but in practice staff review of the revised filing is what gates the move to definitive.
  • Meeting-driven backstop. Participants must move from PRRN14A to DFRN14A with enough lead time for solicitor distribution, broker search, and vote collection before the meeting date.
  • No confidential treatment. Rule 14a-6(e)(2) confidential treatment is unavailable when the solicitation is in opposition to a registrant or other-party solicitation. Every PRRN14A is public on EDGAR at acceptance.
  • No amendment cap. There is no regulatory limit on the number of PRRN14A iterations.

Regulatory framework

Governing authority is Regulation 14A (17 CFR 240.14a-1 to 240.14a-21) under Section 14(a) of the Exchange Act:

  • Rule 14a-6(a) — the 10-day preliminary-filing requirement that produces the PREN14A / PRRN14A track.
  • Rule 14a-6(b)–(d) — separate requirements for revised material, additional soliciting material, and material referred to in soliciting materials.
  • Rule 14a-9 — proxy anti-fraud standard applied by staff in commenting on dissident disclosures.
  • Rule 14a-12 — pre-proxy-statement "early communications" track; activity under Rule 14a-12 frequently precedes and runs alongside a PREN14A / PRRN14A sequence but is filed under different cover.
  • Rule 14a-19 — universal proxy rule for contested director elections; nominee notice and disclosure requirements often drive revisions captured as PRRN14A.
  • Schedule 14A Items 4 and 5 — identification of persons making the solicitation, participant beneficial ownership, two-year transaction history, arrangements among participants, and financing of the solicitation. Most PRRN14A revisions are driven by changes to these items.

The PREN14A to PRRN14A to DFRN14A path

A contested non-management solicitation moves through a fixed EDGAR sequence:

  1. PREN14A — initial preliminary non-management proxy statement; starts the Rule 14a-6(a) 10-day window.
  2. PRRN14A — one or more revised preliminary versions, each driven by staff comments, issuer actions, slate changes, or factual updates. Each is typically tagged "Amendment No. X" or "Revised Preliminary Proxy Statement," but the EDGAR form type stays PRRN14A regardless of amendment number.
  3. DFRN14A — the definitive non-management proxy statement actually mailed to shareholders and used to collect votes.
  4. DFAN14A — additional definitive soliciting material (press releases, investor decks, fight letters) filed alongside or after DFRN14A.

The management-side parallels are PRE 14A / PRER14A / DEF 14A / DEFA14A.

Important distinctions

  • PRRN14A vs PREN14A. PREN14A is the first preliminary non-management filing on a docket; PRRN14A is any revised preliminary that follows. Same filer population, same trigger framework, different sequence position.
  • PRRN14A vs DFRN14A. DFRN14A is definitive and mailable; PRRN14A is preliminary and subject to staff review. The participant converts to DFRN14A only after the 10-day window has run on the most recent preliminary version.
  • PRRN14A vs PRER14A. PRER14A is the management-side revised preliminary; PRRN14A is the non-management revised preliminary. Both can appear on EDGAR for the same issuer in a contested meeting.
  • PRRN14A vs DFAN14A or Rule 14a-12 material. Press releases, presentations, and fight-letter material filed outside the proxy-statement document are DFAN14A or Rule 14a-12 filings, not PRRN14A. PRRN14A is specifically the revised proxy statement document and its exhibits.
  • PRRN14A vs Schedule 13D. Schedule 13D is an ownership filing under Section 13(d); PRRN14A is a solicitation filing under Section 14(a). Activists commonly file both, but the populations differ — any 5%-plus beneficial owner files 13D, only actual solicitors file PRRN14A.
  • Issuer is not the filer. The subject company in the header is the target, not the filer. The filer is the soliciting party listed separately on the EDGAR submission and described under Schedule 14A Item 4.
  • Group filings. Joint participants typically file under a lead participant's CIK with co-participants listed in the document and on the submission header. Still one dataset record per accession number.
  • Foreign private issuers. Regulation 14A does not apply to FPIs exempt under Rule 3a12-3(b); contests against such foreign private issuers do not generate PRRN14A. Domestic registrants and non-exempt Section 12 registrants do.
  • Investment company contests. Closed-end fund and other RIC contests appear in PRRN14A on the same basis as operating-company contests, with Regulation 14A applied as adapted under the Investment Company Act framework.

How This Dataset Differs From Similar Datasets or Filings

Form PRRN14A sits inside the Regulation 14A proxy family, which can be navigated along three orthogonal axes:

  • Filer side: management vs. non-management. The "N" in PREN14A, PRRN14A, DEFN14A, DFRN14A, DFAN14A marks a non-management (dissident) solicitor.
  • Stage: preliminary (PRE/PRR) vs. definitive (DEF/DFR).
  • Iteration: first version (PRE, DEF) vs. revised version (PRER, PRR, DFR).

PRRN14A is the single cell where all three are: non-management, preliminary, revised. Its closest neighbors are the adjacent cells of that matrix, plus Schedule 13D for the ownership-and-intent context that typically frames an activist campaign.

PREN14A — non-management, preliminary, first version

The starting point that PRRN14A revises. A dissident's first preliminary proxy is filed as PREN14A; subsequent edits driven by SEC staff comments, slate changes, or amended participant disclosures are filed as PRRN14A. PREN14A is the baseline document; PRRN14A is everything that changed before the definitive version.

DFRN14A — non-management, definitive, revised

Same filer side and revised status as PRRN14A, but cleared for mailing and actual solicitation. Content is usually close to the latest PRRN14A. The difference is legal status: PRRN14A is still inside the SEC review window and cannot be used to solicit; DFRN14A is the operative document. In event studies, DFRN14A typically marks "go-live"; PRRN14A filings mark progress during the comment phase.

DEFN14A — non-management, definitive, first version

The terminal document when no revision was needed (or when the filer styles the final version as a first definitive rather than a revised one). Differs from PRRN14A on both stage (definitive vs. preliminary) and iteration (first vs. revised).

PRE 14A and PRER14A — management preliminary proxies

The management-side mirrors of PREN14A and PRRN14A. Same stage and iteration logic, opposite filer side. PRER14A is structurally analogous to PRRN14A but presents the board's slate and proposals, not a dissident's. In a contested meeting both PRER14A and PRRN14A often exist for the same vote; pairing them is the way to see both sides of the dispute.

DEFA14A and DFAN14A — additional definitive soliciting materials

DEFA14A (most often management) and DFAN14A (non-management) are supplemental soliciting materials filed after a definitive proxy: fight letters, presentations, press releases, rebuttals. They are not full proxy statements. PRRN14A is a complete, structured Schedule 14A document in the pre-mailing phase; DEFA14A/DFAN14A are unstructured public-campaign artifacts attached to an already-definitive proxy. Complements, not substitutes.

Schedule 14A in general

All forms above are filer-side, stage, and iteration variants of Schedule 14A. The underlying item disclosures (matters to be voted on, participants, ownership, voting procedures) are shared. PRRN14A is a narrow slice of that universe, concentrated in contested elections, withhold campaigns, and proxy fights rather than routine governance votes.

Schedule 13D — beneficial ownership of activist holders

Not a proxy solicitation. Filed when a person or group crosses 5 percent with intent to influence control, and amended via 13D/A as the position or plan changes. 13D answers "who owns what, with what intent"; PRRN14A answers "what revised slate and proposals are being put to shareholders." 13D usually precedes the proxy track and provides the economic and strategic context for the campaign PRRN14A formalizes.

What makes PRRN14A distinct

PRRN14A is uniquely defined by the conjunction of three properties:

  • Non-management: carries dissident-side disclosures absent from PRE 14A, PRER14A, and DEF 14A — participants, their holdings and arrangements, financing of the solicitation, and the alternative slate or proposals.
  • Preliminary: still in the SEC comment window and not usable to solicit votes, unlike DEFN14A and DFRN14A.
  • Revised: a later iteration of a campaign that already produced a PREN14A, capturing the staff-driven and filer-driven changes where dissident positions stabilize before going definitive.

Practical campaign-chaining guidance

To reconstruct a contested solicitation end-to-end, join filings for the same meeting in this order:

  1. Schedule 13D / 13D/A — ownership stake and stated intent.
  2. PREN14A — first dissident preliminary proxy.
  3. PRRN14A (one or more) — revisions during SEC review; the iteration history of the dissident case.
  4. DFRN14A or DEFN14A — the mailable definitive proxy.
  5. DFAN14A — running stream of post-definitive activist advocacy.
  6. PRE 14A / PRER14A / DEF 14A / DEFA14A — the management-side counterparts for the same meeting.

PRRN14A specifically supplies the middle of the dissident track: the structured record of how the non-management case was reshaped between its first filing and the version actually mailed to shareholders. No adjacent form carries that same content.

Who Uses This Dataset

PRRN14A serves a narrow, professionally dense audience built around contested corporate elections. Its users cluster around five jobs: running campaigns, defending against them, recommending votes, litigating disclosure disputes, and turning the corpus into structured signal.

Activist investors and dissident strategists

Event-driven analysts and activism teams at hedge funds and activist shops mine the revised proposals, supporting statements, and participant disclosures to draft and calibrate their own solicitations. They diff each PRRN14A against the prior PREN14A to see how dissidents reframed nominee rationales, escalated governance critiques, or restructured group filings and consent solicitations after staff comments or shareholder feedback.

Proxy advisors and stewardship analysts

Vote-recommendation analysts at proxy advisory firms and stewardship teams at large asset managers use PRRN14A as the authoritative dissident-side input for contested-meeting reports. They read revised proposal text, participant biographies, and the rationale section side by side with management's definitive proxy to draft vote recommendations, maintain precedent libraries on board-composition and capital-allocation campaigns, and track thematic drift across years.

Proxy-contest and securities litigation counsel

Issuer-side defense counsel and dissident-side activism counsel work the participant disclosures, revised holdings and arrangements, and changes to proposal language to assess Regulation 14A adequacy, identify drafting precedents for universal-proxy and charter-amendment mechanics, and assemble litigation-exhibit binders that show how solicitation materials evolved across iterations.

Proxy solicitors and shareholder-communications advisers

Solicitors building peer-campaign databases pull soliciting-party identification, matters-to-be-voted-on, and revision deltas to model vote outcomes, advise on revision timing, and benchmark dissident tactics across short-slate, full-slate, vote-no, and withhold campaigns.

IROs, corporate secretaries, and in-house governance staff

Investor relations and governance teams at potential target issuers use metadata.json for early-warning monitoring on industry peers, then read the revised proposals to brief boards on emerging activist playbooks and update engagement programs before a campaign reaches their own ticker.

Shareholder-advisory and special-situations bankers

Contested-situations bankers studying revised proposals, participant economic exposure, and strategic-critique framing build activism-preparedness pitch books, settlement-precedent libraries, and scenario analyses for directors weighing negotiation versus fight.

Quantitative event-driven researchers

Quant teams treat the corpus as structured text input: metadata.json provides filer, accession, and date fields for cohort construction, while NLP over the primary proxy document and supporting statements yields features on proposal category, dissident identity class, and nominee-slate composition for activism-targeting models and event-study back-tests.

Forensic and litigation-support analysts

Forensic accountants and litigation-support staff use participant share-ownership disclosures and the chronology of PREN14A-to-PRRN14A revisions as primary evidence in Section 14(a) proceedings, producing comparison tables, solicitation timelines, and expert-report exhibits on disclosure adequacy.

Governance researchers and academics

Scholars studying shareholder activism use the full corpus for cohort-level work: metadata for sampling, proposal text for content analysis, and participant disclosures for network and group-formation studies on dissident coordination and nominee demographics.

Financial data engineering and RAG teams

Data engineering teams at financial-data vendors and AI teams building governance-focused retrieval-augmented systems index metadata.json for de-duplication and chunk the primary proxy document and exhibits as retrievable passages for question-answering over contested-vote history.

Each role anchors in a different slice of the record — metadata.json for monitoring and indexing, soliciting-party and participant disclosures for legal and forensic work, revised proposals and supporting statements for drafting, vote recommendations, and signal generation.

Specific Use Cases

The dataset is purchased and consumed for a narrow set of operational workflows tied to contested-vote situations. The use cases below describe specific tasks practitioners run against the records and the outputs those tasks produce.

Real-time activist-campaign monitoring

Activism desks and corporate IROs poll metadata.json across new monthly partitions, filter entities for (Subject) rows matching their coverage universe by CIK or fileNo, and key alerts off the filedAt timestamp. Each hit triggers immediate retrieval of the primary .htm document and any EX-99.x exhibits, feeding a same-day board brief that names the dissident filer, the slate or proposal at issue, and the colored proxy card in use.

Reconstructing campaign chronology across the PREN14A to DFRN14A chain

Litigation-support analysts and governance researchers join PRRN14A records to PREN14A and DFRN14A filings for the same meeting using the subject issuer's CIK on the (Subject) entity row. Diffing the proposals section, the participants schedule (Schedule I / Annex A), and the "Background of the Solicitation" narrative across successive revisions produces a dated timeline of how the dissident case shifted under SEC staff comment, settlement talks, or new disclosure obligations — the working chronology behind Section 14(a) exhibit binders and expert reports on disclosure adequacy.

Peer-campaign benchmark databases for proxy solicitors and bankers

Proxy solicitors and contested-situations bankers build longitudinal benchmark tables from the full 1994-to-present corpus. Records are bucketed by campaign archetype (short-slate, full-slate, vote-no, withhold, closed-end-fund advisory-contract terminations identified via seriesAndClassesContractsInformation), then enriched with parsed fields such as nominee count, look-back window, and revision count per campaign. The output is a pitch-book exhibit comparing fee structures, slate sizes, and revision cadence across precedent fights.

Event-study return windows around contested-vote announcements

Quant event-driven teams use accessionNo, filedAt, and the subject's CIK to define event dates for return-window studies. The first PRRN14A in a campaign chain anchors the "revision visible" event; later PRRN14A records measure incremental information events during SEC review. The dataset's hexadecimal id field supplies a stable join key into price and volume panels, producing CARs and trading-volume curves segmented by campaign type and dissident identity.

Training NLP models on dissident proxy language

NLP teams chunk the SGML-unwrapped HTML body into the structural sections enumerated in the anatomy (soliciting-party letter, Q&A, background of solicitation, proposals, participant schedule) and treat each section as a labeled passage. The resulting corpus trains classifiers for proposal category, escalation tone, and governance-critique themes, and powers retrieval-augmented question-answering over contested-vote history. The participant-transaction <TABLE> blocks are extracted separately for tabular models on insider-style trading patterns inside activist groups.

Proxy-advisor recommendation drafting

Vote-recommendation analysts at proxy advisory firms and stewardship desks pull the latest PRRN14A for a contested meeting as the canonical dissident-side input, reading the revised proposal text and nominee biographies alongside management's definitive proxy. The participant disclosures and beneficial-ownership tables feed conflict and independence checks; the soliciting-party letter and supporting statements feed the rationale section of the firm's published vote-recommendation report.

Issuer-side defense counsel and dissident counsel query post-August-2022 PRRN14A records for Rule 14a-19 notice language, universal-proxy-card mechanics, and conformed participant-transaction tables. The output is a drafting precedent library indexed by subject industry and meeting type, used both for advising on a live campaign's disclosure adequacy and for assembling motion exhibits in 14a-19 disputes.

Dataset Access

Dataset Index JSON API: https://api.sec-api.io/datasets/form-prrn14a-files.json

This endpoint returns metadata describing the Form PRRN14A Files Dataset, including the dataset name, description, last update timestamp, earliest sample date, form types covered, container format, file types, the full dataset download URL, and the list of monthly container files. Each container entry includes its download URL, key, size in bytes, record count, and last updated timestamp. Poll this endpoint daily to detect which containers were refreshed in the most recent run and download only the updated archives. No API key is required to access this endpoint.

Example
1 {
2 "datasetId": "1f13365b-9ae0-695e-b372-93f44490a4e4",
3 "datasetDownloadUrl": "https://api.sec-api.io/datasets/form-prrn14a-files.zip",
4 "name": "Form PRRN14A Files Dataset",
5 "updatedAt": "2026-05-16T03:03:12.289Z",
6 "earliestSampleDate": "1994-10-01",
7 "totalRecords": 2682,
8 "totalSize": 85721261,
9 "formTypes": ["PRRN14A"],
10 "containerFormat": "ZIP",
11 "fileTypes": ["TXT", "JSON", "HTML", "PDF"],
12 "containers": [
13 {
14 "downloadUrl": "https://api.sec-api.io/datasets/form-prrn14a-files/2026/2026-03.zip",
15 "key": "2026/2026-03.zip",
16 "size": 1382878,
17 "records": 12,
18 "updatedAt": "2026-05-16T03:03:12.289Z"
19 }
20 ]
21 }

Download Entire Dataset: https://api.sec-api.io/datasets/form-prrn14a-files.zip?token=YOUR_API_KEY

Downloads the complete archive containing every Form PRRN14A filing from October 1994 to the present as a single ZIP file. This endpoint requires a valid API key.

Example using curl:

curl -o form-prrn14a-files.zip "https://api.sec-api.io/datasets/form-prrn14a-files.zip?token=YOUR_API_KEY"

Download Single Container: https://api.sec-api.io/datasets/form-prrn14a-files/2026/2026-03.zip?token=YOUR_API_KEY

Downloads an individual monthly container ZIP file instead of the full archive. Containers are organized by year and month, and their exact paths are listed in the containers array of the dataset index JSON. This endpoint requires a valid API key.

Frequently Asked Questions

What form does this dataset cover?

The dataset covers Form PRRN14A — revised preliminary proxy soliciting materials filed by a party other than the registrant under Rule 14a-6(a) of Regulation 14A. Every record is an accepted EDGAR submission of that single form type.

What does one record in this dataset represent?

One record is a single EDGAR accession of Form PRRN14A — the dissident's revised preliminary proxy statement, all of its .htm, .txt, and .pdf exhibits (each retaining its SGML <DOCUMENT> wrapper), and a generated metadata.json manifest, bundled into an accession-number folder inside a monthly ZIP container.

Who is required to file Form PRRN14A?

Form PRRN14A is filed by any non-management party — typically activist hedge funds and investment advisers, dissident shareholder groups, individual or founder-affiliated insurgents, strategic or financial bidders soliciting against a recommended transaction, or holders soliciting on specific governance items — that has already placed an initial PREN14A on EDGAR and now needs to amend, revise, or supplement that preliminary filing before going definitive on DFRN14A.

What time period does the dataset cover?

The dataset covers the full EDGAR history of Form PRRN14A, with an earliest sample date of October 1, 1994 — when EDGAR began accepting the form — and is updated continuously to the present.

What file format is the dataset distributed in?

Records are partitioned by EDGAR acceptance month into ZIP containers organized by year and month (<YYYY-MM>.zip). Inside each container, records are individual accession-number folders containing TXT, JSON, HTML, and PDF files. Image binaries (JPG, GIF, PNG) referenced by HTML <IMG> tags are intentionally excluded.

How does PRRN14A differ from PREN14A and DFRN14A?

PREN14A is the dissident's first preliminary proxy on a docket; PRRN14A is any revised preliminary that follows during the Rule 14a-6(a) review window; DFRN14A is the definitive non-management proxy actually mailed to shareholders. PRRN14A is the middle phase — non-management, preliminary, and revised — where the dissident case is reshaped under SEC staff comment, slate changes, or new participant disclosures before going definitive.

Why are image files missing from the HTML documents?

The dataset deliberately omits image binaries referenced inside the HTML, but the HTML retains the <IMG SRC="..."> references and metadata.json still lists each image in documentFormatFiles with type of GRAPHIC. Consumers reconciling the manifest against on-disk files should filter type === "GRAPHIC" (and the synthetic complete-submission-text-file entry, whose sequence and type are both a literal space) to avoid spurious "missing file" errors.