Form PX14A6N Files Dataset

The Form PX14A6N Files Dataset is the complete EDGAR collection of Notices of Exempt Solicitation filed under Rule 14a-6(n) of the Securities Exchange Act of 1934. One record is one accession — a single Form PX14A6N submission packaging the actual non-management soliciting material together with a normalized metadata.json sidecar that identifies the subject issuer, the filer, the EDGAR acceptance timestamp, and every document in the submission. Filers are non-management security holders — most often individual shareholders, dissident limited partners, or 5%-plus holders engaged in secondary-market trading of LP interests subject to a proposed roll-up — communicating publicly with other holders without delivering a proxy statement. The dataset covers submissions from March 2001 forward, is distributed as monthly ZIP containers, and ships TXT, JSON, HTML, and PDF file types with all original non-image documents preserved.

Dataset APIs

Dataset Files

What This Dataset Contains

The dataset is a per-accession packaging of every Form PX14A6N submission on EDGAR. Form PX14A6N is the cover form for an exempt solicitation under Rule 14a-2(b)(1) and, in its original statutory purpose, the notice of an exempt preliminary roll-up communication under Rule 14a-2(b)(4). The dataset preserves every filing carrying the PX14A6N form code as submitted, irrespective of whether the underlying subject is a true limited-partnership roll-up or a broader non-management exempt solicitation on general proxy matters such as governance reforms, individual proposals, or withhold campaigns.

Each record is one per-accession folder, named with the 18-digit dash-stripped EDGAR accession number (for example 000121465918002709, corresponding to the canonical accession 0001214659-18-002709). The folder bundles a normalized metadata.json sidecar with every primary and exhibit document from the original EDGAR submission, with the sole exception of image files, which are excluded. Accession folders are grouped into monthly ZIP containers under the dataset's date-partitioned key structure. The dataset distributes file types TXT, JSON, HTML, and PDF: JSON is the metadata sidecar, HTML carries the actual notice body and most exhibits, PDF appears occasionally as an exhibit format, and TXT corresponds to occasional plain-text submissions or text-typed exhibits.

The granularity is strictly one filing per record. The dataset does not decompose the filing into sections, paragraphs, or rows; it preserves the original EDGAR document set per accession and adds the structured metadata file alongside it.

Content Structure of a Single Record

What one record represents

One record in the Form PX14A6N Files Dataset is a single EDGAR submission of Form PX14A6N — a Notice of Exempt Solicitation filed under Rule 14a-6(n) of the Securities Exchange Act of 1934. Physically, a record is one per-accession folder, named with the 18-digit dash-stripped EDGAR accession number. The folder bundles a normalized metadata.json sidecar together with every primary and exhibit document that was part of the original EDGAR submission, with the sole exception of image files, which are excluded.

What the underlying filing is

Form PX14A6N is the cover form for an exempt solicitation made under Rule 14a-2(b)(1). It is the filing used by a "non-management" party — typically an individual shareholder, a small holder coalition, or an activist — who wishes to communicate publicly with other security holders about proxy matters without itself becoming a proxy solicitor required to deliver a proxy statement. The form is the public record of such a written solicitation: the filer lodges the actual communication so that it is on the EDGAR public record at the time it is being distributed.

The substantive content is prescribed by Rule 14a-104, which calls for four content elements: identification of the registrant whose securities are the subject of the communication; the name and address of the participant and a description of the participant's interest in the matter (including ownership of the class to which the solicitation relates); a description of any material conflicts of interest the participant has with non-management security holders; and the written soliciting material itself, including the recommendation, arguments, and any attachments the filer wishes to circulate.

The form is also the cover historically used for genuine Rule 14a-6(n) notices in connection with roll-up transactions — where a five-percent-plus holder of a class subject to a proposed roll-up files notice of a preliminary communication. In practice, however, the EDGAR population filed under the PX14A6N form code is dominated by ordinary exempt shareholder communications (letters from individual holders urging votes on management or shareholder proposals), not by roll-up notices narrowly defined.

Per-accession folder layout

A record folder contains exactly two kinds of artifacts:

1. A single metadata.json file — always present — providing a normalized machine-friendly view of the filing.
2. One or more original EDGAR submission documents. The primary document is the PX14A6N filing itself, generally an HTML file (.htm or .html) wrapped in an SGML <DOCUMENT> envelope. Any exhibits sit as sibling files in the same folder, typically additional HTML letters or supplements (for example ex991.htm), PDF attachments for visually formatted communications, or supplementary text files. Image files from the original submission (GIF, JPG, PNG, BMP) are not included.

The file-types present in the dataset are TXT, JSON, HTML, and PDF. JSON is the metadata sidecar; HTML carries the actual notice body and most exhibits; PDF appears occasionally as an exhibit format; TXT corresponds to occasional plain-text submissions or text-typed exhibits. Many filings have no exhibits at all, in which case the folder contains only metadata.json plus the primary .htm document.

The complete-submission .txt SGML bundle that EDGAR produces for every accession is not duplicated as a file inside the folder; it is enumerated in documentFormatFiles[] and is reachable through the linkToTxt URL on www.sec.gov.

The metadata.json sidecar — fields and meaning

The metadata file is a flat JSON object describing the filing as a whole. Its load-bearing scalar fields are:

• formType — always the literal string PX14A6N.
• accessionNo — the canonical dashed EDGAR accession number (for example 0001214659-18-002709). The un-dashed form is reused as the folder name.
• filedAt — the EDGAR acceptance timestamp as ISO 8601 with timezone offset (for example 2018-04-10T12:36:22-04:00).
• description — the EDGAR-provided form description, consistently a variation of Form PX14A6N - Notice of exempt solicitation submitted by non-management.
• linkToFilingDetails — direct URL to the primary HTML document on www.sec.gov.
• linkToTxt — URL of the complete-submission SGML .txt wrapper that EDGAR ships for every accession.
• linkToHtml — URL of EDGAR's filing index page (-index.htm) for browsing the filing on the SEC site.
• linkToXbrl — typically an empty string; PX14A6N filings do not carry XBRL.
• dataFiles — typically an empty array, for the same reason.
• seriesAndClassesContractsInformation — typically an empty array; PX14A6N does not implicate the investment-company series-and-class identifier framework.
• id — an internal 32-character hex hash that uniquely identifies the filing record within the sec-api.io catalog.

Two compound fields carry the bulk of the structural information:

• documentFormatFiles[] — one entry per document submitted to EDGAR. Each entry has sequence (the EDGAR submission ordinal as a string, e.g. "1"), size (byte length as a string, e.g. "5438"), documentUrl (the SEC URL of the document), type (the EDGAR document-type code, generally PX14A6N for the primary document and an exhibit code such as EX-99.1 for attachments), and an optional description. A trailing entry representing the complete-submission .txt wrapper appears with both sequence and type set to a single space character — an EDGAR-side artifact of how the wrapper is enumerated — and a description of Complete submission text file.

• entities[] — usually two entries. The Subject entity is the issuer whose securities are the subject of the solicitation, identified by suffixing its companyName with (Subject) (for example FIRSTENERGY CORP (Subject)) and carrying the richer demographic block: cik, sic (e.g. 4911 Electric Services), stateOfIncorporation (e.g. OH), irsNo, fiscalYearEnd (e.g. 1231), fileNo, filmNo, and act (typically 34 for the Exchange Act). The Filed by entity is the solicitor, identified by suffixing its companyName with (Filed by) (for example Chevedden John (Filed by)). When the filer is an individual — the dominant pattern — demographic fields beyond cik, companyName, and type are absent. The subject/filer role is not exposed as a discrete JSON key; consumers identify it by parsing the trailing parenthetical in companyName.

The primary PX14A6N document — internal anatomy

The primary filing document is shipped as the original file uploaded to EDGAR. Despite a .htm extension, the file is wrapped in EDGAR's SGML <DOCUMENT> envelope. It opens with a header of the form:

          1
          <DOCUMENT>
        

          2
          <TYPE>PX14A6N
        

          3
          <SEQUENCE>1
        

          4
          <FILENAME>p410181px14a6n.htm
        

          5
          <TEXT>
        

          6
          <html>...</html>
        

          7
          </TEXT>
        

          8
          </DOCUMENT>
        

The actual HTML payload sits strictly between <TEXT> and </TEXT>. Naive HTML parsers will treat the SGML preamble and trailer as unknown tags but generally render the body correctly; strict pipelines should slice the payload between the <TEXT> markers before handing it to an HTML parser.

The HTML body itself is generally unstructured prose. There is no SEC-prescribed schema beyond the Rule 14a-104 enumeration of required content elements, and filers compose the document as a letter, "shareholder alert," memorandum, or open communication. Within that prose the document typically presents, in some order:

• Identification of the registrant and the matter being communicated about. Names the issuer, the class of securities at issue, and the proxy meeting, proposal numbers, or transaction the filer is urging holders to vote on or consider. For example, a record may be a shareholder alert addressed to FirstEnergy holders urging support for Proposals 4, 5, and 6 of the 2018 proxy (supermajority-to-majority voting threshold, majority voting in uncontested director elections, and proxy access). For genuine roll-up notices the description names the partnership being rolled up and the resulting entity.
• The participant's identity and interest in the matter. A statement of the filer's name and address and a description of the filer's interest — most commonly beneficial ownership in the subject class, sometimes supported by years of holding ("FirstEnergy shareholder since 2004"). For a Rule 14a-6(n) roll-up notice this element also includes disclosure of secondary-market purchases and sales of the limited-partnership interests during the relevant period.
• Material conflicts of interest. A description of any conflict between the filer and non-management security holders. For solicitations by ordinary shareholders this element is often an affirmative statement that no such conflict exists, or an explanation of any distinct interest the filer has in the outcome.
• The soliciting material itself. The actual communication being furnished — the letter or alert body, including any recommendation to vote for or against specific proposals, supporting arguments, citations to corporate governance literature and prior shareholder votes, and the filer's signature block. In most records this element is the bulk of the document.

The document typically closes with the solicitor's name and a self-identification line (for example, "John Chevedden, FirstEnergy Shareholder since 2004"). Headers in the <head> block often include EDGARfilings-style HTML comments carrying publisher-side metadata that mirrors fields already in metadata.json. Tables, numeric schedules, and embedded graphics are uncommon; when present, tables appear inline in HTML and graphics either sit in exhibit attachments (PDF) or are stripped (image files).

Exhibits and supporting documents

When a PX14A6N submission carries exhibits, they sit as sibling files in the same accession folder alongside metadata.json and the primary document. Typical exhibit forms include:

• additional HTML letters, supplements, or appendices (file names such as ex991.htm, ex-99_1.htm);
• PDF attachments for visually formatted communications, charts, scanned letters, or governance reports;
• supplementary text files for plain-text statements or correspondence.

Each exhibit is reflected as its own entry in documentFormatFiles[] with its own sequence, size, documentUrl, and type (for example EX-99.1). Image-format exhibits referenced inside the HTML are dropped before the record is written into the container.

What the dataset includes and excludes

Included per accession folder:

• The normalized metadata.json sidecar.
• The primary PX14A6N document as originally submitted (SGML-wrapped HTML in the modern era).
• All non-image exhibits and supporting documents from the original EDGAR submission, preserving the original EDGAR file names and content.

Excluded:

• Image files (GIF, JPG, PNG, BMP, and similar). These are stripped before the record is written into the container.
• The complete-submission .txt SGML bundle as a separate downloadable file inside the folder — it is enumerated in documentFormatFiles[] and reachable via linkToTxt, but not duplicated into the accession folder.
• EDGAR side-channel artifacts that are not part of the submission itself (the filing index page is referenced via linkToHtml but not stored as a file).

Stability of the record structure

Form PX14A6N has had a stable structural definition across the dataset's coverage window. The Rule 14a-104 content elements — registrant identification, participant interest, conflicts of interest, and soliciting material — have not been re-papered in a way that would alter the record's internal anatomy. The EDGAR SGML <DOCUMENT> wrapper convention persists across the full timespan, so the dual-format quirk of a .htm file beginning with non-HTML SGML tags applies uniformly across records.

The most visible cross-era variation is presentational. Early filings tend to be plain-text or minimally formatted HTML composed as typewriter-style letters. Later filings adopt richer HTML formatting — headings, embedded styling, occasional tables, hyperlinks, and inline graphics references (though the graphics themselves are not preserved). PX14A6N has never been subject to XBRL or inline-XBRL tagging, so no record carries structured financial markup.

Interpretation notes

• SGML inside HTML. Every primary document begins with SGML scaffolding (<DOCUMENT>, <TYPE>, <SEQUENCE>, <FILENAME>, <TEXT>) and closes with </TEXT></DOCUMENT>. The HTML payload is everything between <TEXT> and </TEXT>. Strict HTML pipelines should slice on these markers before parsing.
• Subject vs. filer is encoded in the company name. The entities[] array does not carry an explicit role key. The trailing parenthetical on companyName ((Subject) versus (Filed by)) is the only signal distinguishing the issuer whose securities are the subject of the solicitation from the participant who filed the notice.
• Sparse filer demographics. Individual filers — the dominant case under Rule 14a-2(b)(1) and Rule 14a-2(b)(4) — produce an entities[] row with only cik, companyName, and type populated. Company-style fields (sic, stateOfIncorporation, irsNo, fiscalYearEnd, fileNo, filmNo, act) are absent and should not be assumed present.
• Whitespace sentinel values. The complete-submission .txt wrapper entry in documentFormatFiles[] uses a literal single-space string for both sequence and type, not an empty string and not null. Filters keyed on these fields should treat a single space as the wrapper sentinel.
• Free-form prose payload. Because the body of a PX14A6N filing is unstructured narrative, extracting the four Rule 14a-104 content elements (registrant identification, participant interest, conflicts, soliciting material) requires text-level parsing rather than reliance on standardized headings. Filers vary widely in how they label or order these elements, and in many filings the four elements are interwoven rather than presented as discrete labeled sections.
• Cross-form-code routing. Submissions filed under the PX14A6N form code include both genuine Rule 14a-6(n) roll-up notices and the broader population of non-management exempt solicitations on general proxy matters (governance reforms, individual proposals, withhold campaigns). The dataset preserves every filing carrying the PX14A6N form code as submitted, irrespective of whether the underlying subject is a true roll-up.
• Compact records, image-free. Records are typically small — a metadata file plus one HTML document, occasionally one or two non-image exhibits. Any references inside the HTML to embedded GIF/JPG/PNG resources will resolve to files that are not present in the folder; consumers requiring those images must fetch them directly from EDGAR via the URLs in documentFormatFiles[].

Who Files or Publishes This Dataset, and When

Who files the record

In its core statutory form, each PX14A6N record is filed on EDGAR by a security holder conducting an exempt preliminary solicitation about a proposed roll-up transaction involving limited partnership interests. The filer is never the roll-up sponsor or general partner. It is a separate, substantial holder of the LP interests who is engaged in secondary-market trading of those interests and is communicating with other limited partners about the transaction outside the formal proxy statement process.

In practice, this is a narrow population: secondary-market LP funds, mini-tender purchasers, dissident limited partners, tender offer specialists, and activist investors targeting real estate or oil-and-gas partnerships, plus any affiliates participating in the same solicitation. The broader EDGAR population filed under the PX14A6N form code also includes individual shareholders and small holder coalitions communicating publicly about ordinary proxy matters.

Filing conditions

Form PX14A6N is filed only by persons who simultaneously satisfy each of the following under the Securities Exchange Act of 1934:

• Five percent or more beneficial ownership of the class of LP interests that is the subject of the proposed roll-up.
• Reliance on the Rule 14a-2(b)(4) exemption, which permits limited solicitations in connection with a roll-up by holders that are also engaged in secondary-market trading of the affected interests.
• Active secondary-market trading in those LP interests at or around the time of the solicitation. The form exists precisely because the combination of a 5%-plus position, active trading, and active solicitation would otherwise disqualify the holder from the standard Rule 14a-2(b) exemptions.

Roll-up sponsors and general partners are outside this filer population. They file the underlying proxy and registration materials (PRE 14A, DEFM14A, S-4, etc.) under standard Regulation 14A and Securities Act requirements.

Triggering event and timing

The filing is event-driven. It is triggered by a preliminary roll-up communication: the point at which a qualifying 5%-plus, trading-active holder begins or is about to begin soliciting other limited partners about a proposed roll-up in reliance on Rule 14a-2(b)(4).

The notice must be filed at or about the time the soliciting materials are first sent, given, or otherwise made available to security holders. It is not an after-the-fact disclosure. There is no periodic cadence, no fiscal anchor, and no annual or quarterly deadline. Each Form PX14A6N corresponds to a specific solicitation tied to a specific proposed roll-up, and additional submissions or amendments are made when the materials, the filer's position, or the communications change.

If the solicitation moves outside Rule 14a-2(b)(4), for example by becoming a formal proxy contest, the filer must switch to full Regulation 14A proxy filings, and PX14A6N is no longer the right vehicle.

Regulatory framework

Three Exchange Act provisions converge on this form:

• Rule 14a-2(b)(4) supplies the substantive exemption from full Regulation 14A proxy requirements for roll-up-related solicitations by holders trading the affected interests.
• Rule 14a-6(n) imposes the notice-of-filing obligation on any 5%-plus holder relying on that exemption, requiring a Notice of Exempt Preliminary Roll-up Communication to be filed with the Commission.
• Rule 14a-104 prescribes the content of the notice: identification of the roll-up, identification of the filer, the size and nature of the filer's position, any conflicts of interest, and the soliciting materials themselves.

The regime implements the Limited Partnership Rollup Reform Act of 1993, which amended the Exchange Act in response to abusive roll-up practices in the late 1980s and early 1990s and directed the Commission to require enhanced disclosure from significant secondary-market solicitors. Rules 14a-2(b)(4), 14a-6(n), and 14a-104 are the SEC's implementation of that mandate.

Important distinctions

• Filer vs. roll-up sponsor. PX14A6N is a third-party holder's disclosure, not a sponsor disclosure. Sponsors and general partners file PREM14A, DEFM14A, S-4, and similar forms instead.
• Five-percent threshold. Solicitors who do not cross 5% of the class, or who are not engaged in secondary-market trading of the LP interests, do not trigger the Rule 14a-6(n) notice obligation, even if other proxy and anti-fraud rules still apply.
• PX14A6G vs. PX14A6N. Form PX14A6G is the broader Notice of Exempt Solicitation under Rule 14a-6(g), used by holders of more than $5 million of an issuer's securities soliciting without seeking proxy authority. PX14A6N is the roll-up-specific analogue under Rule 14a-2(b)(4), with a narrower filer population focused on LP roll-up transactions.
• Schedule 13D/13G. A 5%-plus holder may have a parallel beneficial ownership reporting obligation under Section 13(d) or Section 13(g). Those filings run independently; neither substitutes for the other.
• Passive co-investors. Long-term limited partners with no secondary-market trading activity who simply communicate with each other are outside the Rule 14a-2(b)(4) / 14a-6(n) framework.

On EDGAR, PX14A6N submissions first appear in March 2001. Total volume is small, reflecting the limited frequency of LP roll-up transactions in any given year.

How This Dataset Differs From Similar Datasets or Filings

Form PX14A6N occupies a narrow slot in Regulation 14A: a notice of an exempt preliminary solicitation, filed by a non-management 5%-plus security holder, tied specifically to a roll-up transaction involving limited-partnership interests. The closest comparison points are other Rule 14a notices, the sponsor's own roll-up proxy statements, non-management proxy materials, the Section 13 ownership schedules, and the underlying Rule 14a-104 content specification.

Form PX14A6G — Notice of Exempt Solicitation (Rule 14a-6(g))

The nearest cousin and the most commonly confused filing.

• Trigger / exemption. PX14A6G: Rule 14a-6(g), invoked when a holder of more than $5 million of the class conducts an exempt solicitation under Rule 14a-2(b)(1). PX14A6N: Rule 14a-6(n), invoked when a 5%-or-greater holder makes a preliminary communication in a roll-up under Rule 14a-2(b)(4).
• Filer population. PX14A6G: any non-management holder above the $5M dollar threshold — activists, pension funds, governance groups, proxy advisors. PX14A6N: 5%-plus holders in a limited-partnership roll-up only.
• Context. PX14A6G is used across all proxy contexts (governance votes, M&A, say-on-pay, contested elections). PX14A6N is restricted to LP roll-up transactions.
• Timing. PX14A6G can be filed at any point in the solicitation cycle. PX14A6N is by definition preliminary, before any definitive sponsor proxy.
• Volume. PX14A6G runs to thousands of filings per year. PX14A6N volume is small, reflecting the rarity of LP roll-up transactions.
• Content. PX14A6G typically attaches letters, white papers, or presentations on any proposal. PX14A6N carries the Rule 14a-104 set: roll-up identification, the filer's stake, conflicts disclosure, and the attached communication.

PREM14A and DEFM14A — Roll-Up Proxy Statements (Schedule 14A, Item 14)

The sponsor-side documents that PX14A6N typically comments on.

• Filer. PREM14A / DEFM14A: the registrant or roll-up sponsor. PX14A6N: a non-management holder opposing or commenting on that transaction.
• Regime. PREM14A / DEFM14A are full Schedule 14A proxy statements covering Items 1-22, including the Item 14 roll-up disclosures. PX14A6N is an exemption notice with a scoped Rule 14a-104 field set, not a full proxy.
• Function. Sponsor proxies solicit votes in favor. PX14A6N notifies the SEC of an exempt communication, usually opposing or independent.
• Timing. PREM14A is preliminary on the sponsor track; DEFM14A is definitive. PX14A6N runs in parallel only with the preliminary phase.
• Document profile. PREM14A / DEFM14A are long narrative disclosures with fairness opinions, projections, and conflicts. PX14A6N is short — a cover notice plus the attached communication.

DFAN14A — Definitive Additional Materials by Non-Management

The non-exempt, post-definitive analogue often grouped with PX14A6N in non-management proxy datasets.

• Exempt vs. non-exempt. DFAN14A is non-exempt — the filer is running a full contested solicitation with its own PREN14A / DFAN14A track. PX14A6N is exempt and the filer files no proxy statement of their own.
• Timing. DFAN14A is post-definitive follow-on material. PX14A6N is preliminary (the "P" prefix and Rule 14a-6(n) both reference the preliminary stage).
• Content depth. DFAN14A can carry full campaign communications. PX14A6N is a short notice attaching a single exempt communication.
• Context. DFAN14A covers any contested matter. PX14A6N is roll-up-only.

Schedule 13D and Schedule 13G — Beneficial Ownership Reports

Overlap with PX14A6N is limited to the shared 5% number.

• Statutory basis. Sections 13(d) / 13(g) ownership disclosure vs. Regulation 14A proxy-solicitation notice.
• Trigger. 13D / 13G: acquiring beneficial ownership above 5%. PX14A6N: conducting an exempt solicitation in a roll-up while holding 5% or more.
• Filer population. 13D / 13G: any 5%-plus holder of any registered equity class. PX14A6N: 5%-plus holders in LP roll-ups only.
• Content. 13D / 13G: identity, holdings, purpose, funding source, contracts. PX14A6N: transaction identification, conflicts, attached solicitation material.
• Timing. 13D / Schedule 13G is tied to the acquisition date (10-day or amendment windows). PX14A6N is tied to dissemination of the exempt communication during the preliminary roll-up window.

Rule 14a-104 — Content Specification, Not a Form

Rule 14a-104 is the regulation prescribing what must appear in a Notice of Exempt Preliminary Roll-up Communication. PX14A6N is the EDGAR submission type that carries it. Any dataset organized around Rule 14a-104 content fields is sourced exclusively from PX14A6N filings — 14a-104 is the schema, PX14A6N is the channel.

Key differences at a glance

• Only PX14A6N combines: non-management filer, Rule 14a-2(b)(4) exemption, roll-up of LP interests, and preliminary stage.
• PX14A6G shares the exempt-notice mechanic but uses a different exemption and covers all proxy contexts.
• PREM14A / DEFM14A are the sponsor's full proxy statements for the same transaction — opposite side, opposite disclosure depth.
• DFAN14A is the non-exempt, post-definitive non-management track — different exemption status, different timing.
• Schedule 13D / 13G share only the 5% threshold; the regimes do not overlap functionally.

Boundary summary

PX14A6N is the only EDGAR vehicle that captures preliminary, exempt, non-management commentary inside an LP roll-up transaction. It cannot substitute for, and is not substituted by, PX14A6G (broader exempt activism), PREM14A / DEFM14A (sponsor-side full disclosure), DFAN14A (non-exempt non-management materials), or Schedules 13D / 13G (ownership reporting). For roll-up research, PX14A6N is almost always read alongside the sponsor's PREM14A / DEFM14A and any related Section 13 filings to reconstruct the full transaction record.

Who Uses This Dataset

The user base is narrow but well-defined: lawyers, governance analysts, activist and secondary-market investors, litigation researchers, and academic and data teams who need the actual soliciting materials, filer identity, ownership statements, and conflict-of-interest disclosures.

Proxy-solicitation and M&A lawyers

Securities counsel drafting or contesting roll-up communications use prior PX14A6N filings as precedent. They read the soliciting materials text to model argument structure, the Rule 14a-104 conflict disclosures to gauge required specificity, and filing metadata to confirm timing relative to the related preliminary or definitive proxy. Outputs include client PX14A6N notices, sponsor responses, and opinions on whether a communication qualifies for the Rule 14a-2(b)(4) exemption.

Governance and proxy-advisory analysts

Analysts at proxy-advisory firms and stewardship desks read the soliciting materials to extract the dissenting party's economic case against the roll-up, alleged sponsor conflicts, and proposed alternatives. This feeds vote recommendations on the related proxy and policy notes on partnership roll-ups.

Activist and event-driven research teams

Activist research desks use PX14A6N as a source of dissident communications outside the DEFC14A and PX14A6G universe. They use filer identification and ownership statements to map who is publicly opposing each roll-up, and the soliciting materials to track recurring arguments. Output: internal precedent libraries and playbooks for future contested transactions.

Secondary-market LP-interest funds

Funds trading LP interests in real estate, oil and gas, and equipment-leasing partnerships track roll-ups affecting portfolio holdings. They focus on partnership identity, filer ownership stake, sponsor conflict disclosures, and the substance of communications urging LPs to vote no or hold out. Inputs feed pricing during contested windows, hold-versus-tender decisions, and dissident-bloc construction.

Academic researchers in securities law and finance

Researchers build longitudinal samples from the metadata, run content analysis on soliciting-material text, and code conflict-of-interest disclosures for empirical work on roll-up sponsors and Rule 14a-2(b)(4) practice. Outputs include working papers and casebook material on dissent in non-corporate entities.

Compliance staff at proxy solicitors and filing agents

Compliance staff use prior submissions as a reference library to confirm exhibit structure, cover-page format, and the expected detail in conflict-of-interest and ownership sections. Workflow uses: internal checklists, junior-staff training, and pre-transmission QC.

Litigation and investigations researchers

Litigation support analysts on roll-up disputes, fiduciary-duty suits, and securities class actions use soliciting materials, filer identity, and timing metadata to build solicitation-period chronologies, identify witnesses, and corroborate claims about market information. Output: discovery responses, expert-report exhibits, and pretrial timelines.

Data engineers on governance and proxy products

Engineering teams ingest the metadata for indexing and the HTML, TXT, and PDF documents for full-text extraction, normalizing PX14A6N into broader proxy schemas so downstream legal, governance, and activist products achieve complete exempt-solicitation coverage.

LLM and RAG developers on securities-law corpora

Teams building retrieval systems for proxy practice use the structured metadata and document set to ground model responses about Rule 14a-2(b)(4), Rule 14a-6(n), and Rule 14a-104 in actual filings rather than secondary commentary.

Specific Use Cases

The dataset's narrow scope — exempt non-management solicitations, with a tail of true Rule 14a-6(n) roll-up notices — makes it useful for a small set of focused workflows that combine the metadata sidecar with the actual soliciting-material text.

Mapping dissident filers against specific roll-up transactions

Activist and event-driven desks parse entities[] to separate the (Subject) issuer from the (Filed by) participant and join the subject cik against PREM14A / DEFM14A filings on the same partnership. The resulting cross-reference shows every non-management voice that filed exempt commentary on a given roll-up, with the soliciting-material HTML payload supplying the substantive argument. Output: per-deal dissident maps used to gauge opposition strength and to source counterparties for dissident-bloc construction.

Precedent libraries for drafting PX14A6N notices

Securities counsel pull the primary .htm document and any EX-99.* attachments for filings on comparable issuers (matched via the subject entity's sic and stateOfIncorporation) to model how prior filers worded the Rule 14a-104 elements — registrant identification, participant interest, conflict-of-interest disclosure, and the attached communication. Conflict-of-interest paragraphs in particular are mined for boilerplate that has cleared EDGAR without staff comment. Output: draft notices and internal style guides for the Rule 14a-2(b)(4) exemption.

Solicitation-period chronologies for litigation

Litigation researchers use filedAt timestamps together with the soliciting-material body to place each exempt communication on a timeline against the sponsor's preliminary and definitive proxies, tender materials, and Section 13 filings. The 18-digit accession folder name keys the records back to the canonical EDGAR submission for exhibit production. Output: discovery chronologies, expert-report exhibits, and pretrial timelines in fiduciary-duty and roll-up disputes.

Recurring-filer and argument-cluster analysis

Governance analysts and academic researchers group records by the (Filed by) company name to identify repeat solicitors (individual gadflies, governance groups, named coalitions) and run text analysis on the HTML payloads to cluster the arguments they advance — supermajority repeal, proxy access, sponsor conflicts, fairness-opinion attacks. Output: empirical papers on Rule 14a-2(b)(4) practice and proxy-advisor policy notes on partnership roll-ups.

Pricing inputs for secondary-market LP-interest funds

Funds trading limited-partnership interests filter records to subject entities matching portfolio holdings, then read the soliciting material for the filer's ownership stake, the dissent's economic case, and any disclosed conflicts on the sponsor side. The filing's appearance on EDGAR is itself a market-moving event during a contested roll-up window. Inputs feed pricing during the preliminary window and hold-versus-tender decisions on individual partnerships.

Grounding corpus for proxy-practice retrieval systems

LLM and RAG teams index the metadata.json fields for structured retrieval (form type, accession, subject CIK, filer name, filing date) and embed the HTML/PDF/TXT document bodies for semantic search. Because the dataset is the only EDGAR channel that captures preliminary exempt non-management commentary, it lets a retrieval system answer questions about Rule 14a-2(b)(4), Rule 14a-6(n), and Rule 14a-104 with citations to actual filings rather than secondary commentary.

Dataset Access

Dataset Index JSON API: https://api.sec-api.io/datasets/form-px14a6n-files.json

Returns dataset metadata such as name, description, last updated timestamp, earliest sample date, total record count, total size, form types covered, container format, and file types included. The response also includes the full dataset download URL and the list of individual container files, each with its size, record count, updated timestamp, and download URL. Use this endpoint to monitor which containers were updated in the most recent refresh and decide which ones to download on a day-by-day basis. This endpoint does not require an API key.

Example response:

          1
          {
        

          2
            "datasetId": "1f13365b-9ae0-6a09-9a2d-544420a05d8f",
        

          3
            "datasetDownloadUrl": "https://api.sec-api.io/datasets/form-px14a6n-files.zip",
        

          4
            "name": "Form PX14A6N Files Dataset",
        

          5
            "updatedAt": "2026-04-15T18:23:05.113Z",
        

          6
            "earliestSampleDate": "2001-03-01",
        

          7
            "totalRecords": 63,
        

          8
            "totalSize": 754387,
        

          9
            "formTypes": ["PX14A6N"],
        

          10
            "containerFormat": "ZIP",
        

          11
            "fileTypes": ["TXT", "JSON", "HTML", "PDF"],
        

          12
            "containers": [
        

          13
              {
        

          14
                "downloadUrl": "https://api.sec-api.io/datasets/form-px14a6n-files/2026/2026-03.zip",
        

          15
                "key": "2026/2026-03.zip",
        

          16
                "size": 13818783,
        

          17
                "records": 154,
        

          18
                "updatedAt": "2026-04-15T18:23:05.113Z"
        

          19
              }
        

          20
            ]
        

          21
          }
        

Download Entire Dataset: https://api.sec-api.io/datasets/form-px14a6n-files.zip?token=YOUR_API_KEY

Downloads the complete dataset as a single ZIP archive containing all Form PX14A6N filings from March 2001 to present. This endpoint requires an API key.

Download Single Container: https://api.sec-api.io/datasets/form-px14a6n-files/2026/2026-03.zip?token=YOUR_API_KEY

Downloads one individual container, such as a monthly archive, instead of the full dataset. Use the container downloadUrl values from the dataset index to fetch only the segments you need. This endpoint requires an API key.

Frequently Asked Questions

What form does this dataset cover?

The dataset covers Form PX14A6N — the Notice of Exempt Solicitation filed under Rule 14a-6(n) of the Securities Exchange Act of 1934. The form's substantive content is prescribed by Rule 14a-104 and includes registrant identification, the participant's interest, conflict-of-interest disclosure, and the soliciting material itself.

What does one record in this dataset represent?

One record is a single EDGAR submission of Form PX14A6N, stored as a per-accession folder named with the 18-digit dash-stripped EDGAR accession number. The folder contains a normalized metadata.json sidecar and every primary and exhibit document from the original submission, with image files excluded.

Who is required to file Form PX14A6N?

In its statutory core, Form PX14A6N is filed by a non-management 5%-plus holder of LP interests that is engaged in secondary-market trading of those interests and is conducting an exempt preliminary solicitation in a proposed roll-up transaction in reliance on Rule 14a-2(b)(4). In practice, the EDGAR population filed under the PX14A6N code is dominated by individual shareholders and small coalitions communicating about ordinary proxy matters as well. Roll-up sponsors and general partners are outside this population and file PRE 14A, DEFM14A, S-4, and similar materials instead.

When is a Form PX14A6N filed?

The filing is event-driven, not periodic. It must be made at or about the time the soliciting materials are first sent, given, or otherwise made available to security holders — there is no annual or quarterly deadline, and each notice corresponds to a specific solicitation tied to a specific transaction or proxy matter.

What time period and file formats does the dataset cover?

EDGAR PX14A6N submissions first appear in March 2001, and the dataset covers filings from that date forward. It is distributed as monthly ZIP containers, with TXT, JSON, HTML, and PDF file types: JSON is the metadata sidecar, HTML carries the notice body and most exhibits, PDF appears as an occasional exhibit format, and TXT corresponds to occasional plain-text submissions or text-typed exhibits.

How does this dataset differ from Form PX14A6G filings?

PX14A6G is the broader Notice of Exempt Solicitation under Rule 14a-6(g), used by holders of more than $5 million of an issuer's securities to conduct exempt solicitations across all proxy contexts. PX14A6N is the narrower roll-up-specific analogue under Rule 14a-2(b)(4), filed by 5%-plus holders engaged in secondary-market trading of LP interests subject to a proposed roll-up. PX14A6G volumes run to thousands of filings per year; PX14A6N volume is small.

How do I access the dataset?

The dataset index is available at https://api.sec-api.io/datasets/form-px14a6n-files.json and does not require an API key. Full-dataset and per-container ZIP downloads are available at https://api.sec-api.io/datasets/form-px14a6n-files.zip and https://api.sec-api.io/datasets/form-px14a6n-files/{year}/{year}-{month}.zip respectively, both with ?token=YOUR_API_KEY.