Form SUPPL Files Dataset

The Form SUPPL Files Dataset is a corpus of voluntary supplemental disclosure submissions filed on EDGAR by foreign private issuers under Section 11(a) of the Securities Act of 1933. Each record is a single Form SUPPL submission identified by its 18-digit accession number and packaged as a self-contained folder pairing a metadata.json descriptor with the original EDGAR documents — typically the HTML prospectus supplement that the issuer transmitted to the Commission. The filing population is dominated by Canadian issuers operating under the U.S./Canada Multijurisdictional Disclosure System (MJDS), who use Form SUPPL to lodge prospectus supplements, pricing supplements, and other supplemental material against an already-effective base shelf prospectus filed on Form F-10 (or, less commonly, Form F-3, Form F-7, Form F-9, or Form F-80). Records are delivered in monthly ZIP containers (YYYY-MM.zip), the dataset's earliest sample is dated 2001-09-01, and supported file types are HTML, JSON, TXT, and PDF.

Dataset APIs

Dataset Files

What This Dataset Contains

The dataset captures the EDGAR submission type Form SUPPL — the transmittal foreign private issuers use to file voluntary supplemental material under Section 11(a) of the Securities Act of 1933. It is overwhelmingly used by Canadian issuers operating under MJDS to deliver a Canadian-style "prospectus supplement" against an already-effective base shelf prospectus filed on Form F-10 (or, less commonly, F-3, F-7, F-9, or F-80). The supplement names the specific tranche of securities being taken down — common shares, debt, preferred, units — together with offering size, pricing, distribution agents, listing venue, and any incremental risk factors and plan-of-distribution language not already in the base prospectus. Although Form SUPPL is technically described as "voluntary" supplemental material, in practice it is the standard EDGAR vehicle by which MJDS issuers satisfy U.S. delivery requirements for a Canadian-style prospectus supplement keyed to a particular takedown.

The form does not carry a numbered system of Items, Parts, or schedules. It is a transmittal that wraps a Canadian-style prospectus-supplement document — typically a cover page, table of contents, summary of the offering, use of proceeds, description of the securities, plan of distribution, supplementary risk factors, certificate pages, and signature block — that has been re-tagged for U.S. filing. The Form SUPPL container thus inherits the structure of a Canadian prospectus supplement rather than the Item-driven anatomy of native U.S. registration forms.

The dataset is distributed as monthly ZIP containers whose top-level folder is the year-month (YYYY-MM) and whose immediate children are the per-accession folders. Coverage begins with the dataset's earliest sample on 2001-09-01, tracking the migration of foreign-issuer filings onto EDGAR; earlier paper supplements are not in the digital corpus. The supported file types in the corpus are HTML, JSON, TXT, and PDF, with HTML and JSON exercised in essentially every record.

Content Structure of a Single Record

What one record represents

One record in the Form SUPPL Files Dataset is a single Form SUPPL submission to EDGAR, identified by its 18-digit accession number and packaged as a self-contained folder. The folder holds two layers of content: a metadata.json descriptor that summarises the filing at the EDGAR submission level, and the document file or files that the foreign private issuer transmitted to the Commission. The record is therefore one accession-level observation — not one issuer, not one offering, not one calendar event — and a single shelf-registered offering can be represented by multiple SUPPL records when the issuer files several supplements off the same base prospectus.

Folder layout and naming

Each accession-numbered folder is the unit of the record and contains two structurally distinct layers:

1. A filing-level descriptor file named metadata.json, always present, derived from the EDGAR SGML header and document index.
2. The original EDGAR submission documents — almost always one HTML document carrying the prospectus supplement, occasionally accompanied by additional HTML, plain-text, or PDF exhibits. Image attachments (.jpg, .gif, .png) referenced by the HTML are deliberately omitted from the dataset even when the EDGAR document index lists them.

The folder is named with the dash-stripped 18-digit accession number, so accession 0001104659-25-075742 lives under 000110465925075742/. Inside the folder, document filenames preserve the names assigned by the filer or its filing agent. Two dominant naming families recur: Toppan Merrill / Donnelley submissions follow the pattern tm<job#>d<doc#>_suppl.htm (for example tm2522824d1_suppl.htm, tm2523229d4_suppl.htm), while filings prepared with Issuer Direct or generic EDGAR templates use the literal name formsuppl.htm. Image exhibits referenced from the HTML follow sibling patterns such as formsuppl_001.jpg or tm<job#>d<doc#>_supplimg00N.jpg, but these files are not present in the record because image content is excluded by design.

metadata.json — filing-level descriptor

metadata.json is a single flat JSON object summarising the EDGAR submission. The fields carry the following meaning:

• formType — the submission type, always the literal string "SUPPL".
• accessionNo — the canonical dashed EDGAR accession number (e.g. 0001104659-25-075742); the folder name is the same value with dashes removed.
• filedAt — ISO 8601 timestamp at which EDGAR accepted the submission, preserving the original -04:00 / -05:00 Eastern offset.
• effectivenessDate — a YYYY-MM-DD date marking effectiveness, which for SUPPL is normally the filing date itself.
• description — fixed boilerplate text reading "Form SUPPL - Voluntary Supplemental Material by Foreign Issuers [Section 11(a)]".
• linkToFilingDetails — direct URL to the primary SUPPL HTML document on EDGAR Archives.
• linkToTxt — URL of the full-submission .txt envelope on EDGAR (the SGML-wrapped concatenation of all documents in the submission).
• linkToHtml — URL of the EDGAR *-index.htm page for the accession.
• linkToXbrl — empty string for every SUPPL record, because Form SUPPL does not carry inline XBRL or any structured financial-data exhibits.
• id — opaque 32-character hexadecimal identifier assigned to the record.
• documentFormatFiles[] — an ordered array of objects, one per document attached to the EDGAR submission. Each entry contains sequence (the integer position string from the EDGAR document index, blank for the trailing full-submission text file), size (byte count as a string), documentUrl (EDGAR Archives URL), description (filer-supplied label, often the literal "SUPPL" for the primary document), and type (the EDGAR document type, e.g. SUPPL, GRAPHIC, or a single space " " for the wrapping full-submission text file). The full-submission text envelope is always the last element and its byte count exceeds the sum of the individual document sizes because it embeds SGML headers and base64-style binary blocks.
• dataFiles[] — present but empty for SUPPL, because no XBRL data files are filed.
• seriesAndClassesContractsInformation[] — present but typically empty; the field is shared infrastructure with investment-company filings and is rarely populated for SUPPL.
• entities[] — an ordered array of filer entries reproducing the EDGAR SGML header. Each entity carries cik, companyName (with the SGML role suffix appended, e.g. ... (Filer)), irsNo, fileNo (the 333-XXXXXX registration-statement file number under which the supplement is filed; secondary co-filers receive a hyphenated suffix such as 333-279601-02), filmNo (the EDGAR film number for the acceptance), formType, act (98 for Securities Act of 1933 filings), fiscalYearEnd (MMDD), stateOfIncorporation (EDGAR two-character jurisdiction code; common values include A1 Alberta, A6 Ontario, Z4 Canada), sic (numeric SIC code with its industry-description string), and an optional tickers[] array listing trading symbols when known. A submission with multiple co-filers — for instance a parent issuer and a finance subsidiary — produces multiple entries in this array, in the order they appear in the SGML header.

The primary SUPPL document

The single *.htm document per record is the prospectus supplement itself, wrapped in the EDGAR SGML document envelope before its inline HTML body. The envelope is the standard EDGAR document framing:

          1
          <DOCUMENT>
        

          2
          <TYPE>SUPPL
        

          3
          <SEQUENCE>1
        

          4
          <FILENAME>formsuppl.htm
        

          5
          <DESCRIPTION>SUPPL
        

          6
          <TEXT>
        

          7
          <HTML> ... prospectus supplement body ... </HTML>
        

          8
          </TEXT>
        

          9
          </DOCUMENT>
        

Within the <HTML> body, the document opens with cover-page information identifying the issuer, the file number of the underlying registration statement (matching entities[].fileNo in the metadata), the title and class of securities offered, the offering size and pricing, the syndicate of dealers or agents, and the listing exchange. The body then proceeds through the prospectus-supplement narrative typical of MJDS offerings: a summary of the offering, recent developments, use of proceeds, capitalization, description of the securities, plan of distribution, supplementary or amended risk factors, tax considerations for U.S. and Canadian holders, legal matters, references to auditor consents, and the certificate page and signature block required under Canadian securities law. Embedded tables present the offering structure and capitalization. References to graphic exhibits appear as relative <IMG SRC="...jpg"> paths whose targets are not present in the dataset; rendered locally, the HTML therefore shows broken-image placeholders where issuer logos or signature graphics would otherwise appear.

Additional document slots

The file-types found in the dataset are HTML, JSON, TXT, and PDF. The HTML and JSON slots are exercised in essentially every record (the prospectus supplement and metadata.json respectively). Plain-text and PDF documents appear only in the rare cases where the filer attached a .txt cover letter, correspondence file, or PDF exhibit (such as a scanned signed certificate page) directly to the SUPPL submission rather than incorporating it by reference. When present, these files sit alongside the primary HTML in the same accession folder and are listed as additional entries in documentFormatFiles[].

Included content

A record reliably includes:

• The metadata.json filing descriptor with all of the structured fields enumerated above, including the full entities[] array recovered from the SGML header.
• The primary SUPPL HTML document containing the full prospectus-supplement narrative, with its EDGAR SGML wrapper preserved.
• Any non-image companion documents (HTML, TXT, PDF) that were part of the original EDGAR submission.

The primary HTML preserves all narrative text, tables, hyperlinks, and inline formatting of the prospectus supplement as filed.

Excluded or separate content

The following are structurally separate from the record or intentionally omitted:

• Image exhibits referenced by the HTML body (.jpg, .gif, .png files such as formsuppl_001.jpg or tm<job#>d<doc#>_supplimg00N.jpg). These remain listed in documentFormatFiles[] but their bytes are not packaged in the ZIP, which is why the rendered HTML displays broken-image placeholders.
• The base shelf prospectus filed on Form F-10 (or other registration form) under the same 333-XXXXXX file number. The supplement references it by registration number, but the registration-statement documents themselves live in different accession folders and different datasets.
• Companion filings such as 6-K furnishings, Form F-X powers of attorney, CORRESP letters, and standalone auditor-consent exhibits, which travel under their own accession numbers even when economically tied to the same offering.
• Inline XBRL or any structured financial data — Form SUPPL does not carry XBRL, and linkToXbrl is uniformly empty across the dataset.

Changes in required content and structure over time

Form SUPPL itself is a thin transmittal type whose core obligation — to deliver supplemental disclosure under Section 11(a) — has not been redrawn since the start of the dataset's coverage. The substantive content of the wrapped document, however, has tracked the evolution of MJDS practice and Canadian prospectus rules:

• The 2008 adoption of the Canadian short-form prospectus and shelf regimes (NI 44-101 and NI 44-102) standardised the cover-page and certificate-page structure now seen in the bulk of post-2010 SUPPL filings.
• Canadian Securities Administrators amendments through the 2010s expanded required risk-factor disclosure and added prescribed language around earn-outs, marketing materials, and "bought-deal" structures, all of which appear in the supplements but are not separately tagged within the SUPPL transmittal.
• More recent supplements increasingly include U.S.-tailored sections covering Canadian/U.S. tax consequences, enforceability of civil liabilities against foreign directors, and currency-of-payment terms, reflecting tighter MJDS interpretive practice.

None of these changes altered the EDGAR submission structure; they manifest as evolving narrative and table content within the wrapped HTML body rather than as new metadata fields or new exhibit slots.

Changes in data format over time

Form SUPPL submissions in the dataset have been filed across the same EDGAR-format eras as other Securities Act filings:

• Earliest filings were predominantly delivered as plain-text or rudimentary HTML wrapped in the standard SGML document envelope, with embedded tables expressed using monospaced ASCII or simple <TABLE> markup.
• From the mid-2000s onward, filings transitioned to richer HTML produced by professional filing agents (Toppan Merrill, RR Donnelley, Issuer Direct), introducing CSS-styled cover pages, multi-column tables, and inline images for issuer logos and signatures.
• The SGML document envelope itself (<DOCUMENT> / <TYPE> / <SEQUENCE> / <FILENAME> / <DESCRIPTION> / <TEXT> framing) has remained stable across the entire range, which is why the same metadata-derivation logic applies uniformly to filings throughout the dataset.
• PDF attachments grew somewhat more common over time as agents began including signed certificate pages or marketing-material exhibits as PDFs, though HTML remains overwhelmingly dominant.

Interpretation notes

Several nuances matter when working with these records:

• The accession-folder name uses the 18-digit dash-stripped form of the accession, while metadata.json records the dashed canonical form; both refer to the same submission and either is sufficient to reconstruct the EDGAR Archives URL.
• The entities[] array preserves SGML header order. For multi-filer submissions — for example a parent and its finance-subsidiary co-issuer — the first entry is typically the lead filer and subsequent entries carry hyphenated fileNo suffixes such as 333-279601-02 indicating their position in the registration statement family. Cross-record analysis of an offering generally requires joining SUPPL records by entities[].fileNo rather than by issuer CIK alone, because a single shelf can produce many supplements over its life.
• The trailing element of documentFormatFiles[] is always the EDGAR full-submission text envelope, which has type: " " (a single space) and an empty sequence. Its size exceeds the sum of the individual document sizes because the envelope embeds SGML headers and base64-encoded representations of binary attachments that are not packaged separately.
• Because graphic exhibits are excluded, documentFormatFiles[] may list image entries that have no corresponding file on disk; this is a packaging decision, not a data-integrity issue.
• The same tm<job#> Toppan Merrill job number can recur across multiple accessions when an issuer files a series of supplements off one base prospectus; document filenames are therefore not unique identifiers across the dataset, only within an accession.
• The HTML body carries the prospectus supplement as filed in Canada, lightly adapted for U.S. delivery, so machine extraction must accommodate Canadian disclosure conventions (certificate pages, plain-language risk-factor formatting, dual-currency tables) rather than the Item-numbered structure of native U.S. forms.
• linkToXbrl being empty is informative, not missing — it can be relied upon to confirm that no structured financial-data exhibit was filed.

Who Files or Publishes This Dataset, and When

Each record is a single EDGAR submission on Form SUPPL, a voluntary supplemental disclosure package lodged into the U.S. registration record by a foreign issuer with an effective Securities Act registration statement.

Legal filer. The registrant identified by CIK in the submission metadata — the foreign issuer whose securities are the subject of the underlying registration statement. The issuer is the disclosing party for liability purposes and signs the form.

Submitter on EDGAR. Almost always a third-party filing agent (Toppan Merrill, DFIN, R.R. Donnelley, and similar financial printers) acting under the issuer's EDGAR access codes, typically coordinated by U.S. and Canadian securities counsel. The agent is not the legal discloser.

The filing population is concentrated in two groups:

• Canadian issuers using the U.S./Canada Multijurisdictional Disclosure System (MJDS). Adopted by the SEC in 1991 (Securities Act Release No. 33-6902), MJDS lets eligible Canadian issuers register on Forms F-7 (rights offerings), Form F-8 (smaller exchange offers and business combinations), F-9 (investment-grade debt and preferred), F-10 (general issuer registration), and F-80 (larger exchange offers and business combinations) using Canadian-form disclosure. Canadian short-form base shelf practice generates the bulk of SUPPL traffic because take-downs are accomplished through later supplements rather than full prospectus amendments.
• Other foreign private issuers registered on Forms F-1, F-3, or F-4 whose counsel use SUPPL for supplemental material that does not fit a Rule 424 prospectus, a Rule 433 free writing prospectus, or a Form 6-K furnishing.

U.S. domestic issuers do not file Form SUPPL.

When the record is created

Form SUPPL is event-driven and voluntary. It has no periodic schedule. A submission appears when the issuer elects to lodge supplemental material into the registration record. Typical triggers:

• MJDS shelf take-downs. Each pricing supplement, prospectus supplement, or tranche document under a Canadian short-form base shelf (cross-filed in the U.S. on Form F-9 or F-10) is filed on EDGAR as a SUPPL so U.S. purchasers receive the same disclosure record.
• Roadshow material, term sheets, and pricing information the issuer or underwriter wants placed into the U.S. registration record.
• Reconciliations and supplemental financial disclosure (for example, IFRS- or Canadian GAAP-to-U.S. GAAP reconciliations, or supplemental segment or non-GAAP information responsive to staff comment).
• Other written communications connected to the registered offering that the issuer chooses to lodge in the registration record rather than furnish on Form 6-K or file as a free writing prospectus.

The form caption identifies the filing as "voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933" — the Section 11(a) liability rationale (civil liability for material misstatements or omissions in a registration statement at effectiveness) is what motivates issuers to capture supplemental disclosure inside the registration record. Unlike Rule 424, Form SUPPL imposes no deadline, but once the issuer delivers the supplement to U.S. investors, prompt EDGAR submission is the practical norm.

Filings cluster around offering activity: an MJDS issuer with an active shelf can generate multiple SUPPL accessions in a year, while an issuer with no offering activity generates none. The dataset's earliest sample (September 2001) tracks the migration of foreign-issuer filings onto EDGAR; earlier paper supplements are not in the digital corpus.

Important distinctions

• SUPPL versus Rule 424(b). Rule 424 governs mandatory final and supplemental prospectus filings off an effective registration statement and is the standard vehicle for U.S. domestic issuers and most non-MJDS foreign issuers. SUPPL is the parallel vehicle used predominantly by MJDS issuers, whose base document is a Canadian short-form prospectus and whose U.S. supplement is treated as voluntary Section 11(a) material rather than a Rule 424 prospectus.
• SUPPL versus Form 6-K. Form 6-K is the Exchange Act vehicle by which a foreign private issuer furnishes (does not file) material it has made public under home-country law or exchange rules. SUPPL goes into the Securities Act registration record; 6-K does not.
• SUPPL versus Form FWP. Form FWP, created by the 2005 Securities Offering Reform under Rule 433, is limited to free writing prospectuses used in registered offerings. SUPPL is older and broader and is not constrained to FWP-eligible content.
• Not an amendment. A SUPPL is not a post-effective amendment to the registration statement; it can, however, be superseded by a later SUPPL when pricing or terms change.
• Ongoing reporting is elsewhere. Foreign private issuer Exchange Act reporting runs through Forms 20-F, 40-F (MJDS annual report), and 6-K — not SUPPL.
• Absence is not silence. Because filing is voluntary, the lack of a SUPPL does not mean the issuer withheld disclosure; the same content may have been delivered via 424B, FWP, 6-K, or a registration-statement amendment.
• Other parties in the documents. Underwriters, transfer agents, and counsel appear in the supplemental documents but are not the filer; only the registrant is.

How This Dataset Differs From Similar Datasets or Filings

Form SUPPL is the supplemental-disclosure vehicle for foreign private issuers operating under MJDS and comparable foreign-issuer accommodations. Because it is a "top-up" tied to an already-effective registration rather than a standalone form, it sits adjacent to several SEC filing types that researchers commonly confuse with it. The neighbors below are ordered by overlap, with the decision logic for choosing SUPPL versus each alternative made explicit.

Form 424B variants (424B1-B8)

The Form 424B family is the prospectus-supplement vehicle filed under Rule 424(b) of the Securities Act. The B-suffix encodes timing and content type: 424B1 for first-use prospectuses, 424B2 for primary offerings priced after effectiveness, 424B3 for substantive prospectus changes, 424B5 for shelf takedowns, and so on.

• Regulatory authority: 424B is filed under Rule 424(b); SUPPL is filed under Section 11(a) of the Securities Act of 1933.
• Eligible filers: 424B is used by domestic issuers and by foreign issuers whose base registration is on F-1, F-3, or F-4. SUPPL is used by foreign issuers whose base registration is on an MJDS form (F-7, F-8, F-9, F-10, F-80).
• Decision logic: if the underlying registration is a U.S.-disclosure-standard form, supplements go to 424B; if it is an MJDS form relying on Canadian disclosure standards, supplements go to SUPPL.
• Volume: 424B is one of the largest filing corpora on EDGAR; SUPPL is a much smaller universe.

The two are not substitutable. A complete view of post-effective prospectus supplements across U.S. capital markets requires both.

Form FWP (Free Writing Prospectus)

FWP captures free writing prospectuses filed under Rule 433: term sheets, road show materials, marketing decks, and indicative pricing distributed during a registered offering.

• Regulatory authority: FWP under Rule 433; SUPPL under Section 11(a).
• Liability: FWP is "free writing" outside the statutory prospectus format and carries Rule 159A/Section 12(a)(2) exposure but is not itself the prospectus. SUPPL is treated as part of the statutory prospectus and carries full Section 11 liability.
• Filer population: FWP is used by domestic and foreign issuers without restriction; SUPPL is restricted to MJDS-eligible (predominantly Canadian) issuers.
• Content style: FWP tends toward marketing summaries and indicative terms; SUPPL contains prospectus-grade documents (Canadian short-form supplements, pricing supplements, expanded risk factors).

Decision logic: marketing or non-statutory communication during an offering goes to FWP; formal supplemental prospectus content for an MJDS offering goes to SUPPL.

Form 6-K

Form 6-K is the Exchange Act current report vehicle for foreign private issuers, used to furnish home-jurisdiction press releases, interim financials, and material change reports.

• Statutory regime: 6-K is an Exchange Act filing under Section 13 or Section 15(d); SUPPL is a Securities Act filing tied to an active registration.
• Filed vs furnished: 6-K content is "furnished" and generally not subject to Section 18 liability; SUPPL is "filed" and subject to Section 11.
• Trigger: 6-K is event-driven and not tied to any offering; SUPPL is offering-linked and only relevant while a registration is active.

Decision logic: if the issuer is not mid-offering, the same underlying document (e.g., a material change report) goes to 6-K; if the document forms part of a live MJDS offering's prospectus record, it goes to SUPPL. The same issuer routinely uses both at different points in its lifecycle.

MJDS registration forms (F-7, F-8, F-9, F-10, F-80)

These are the base registration statements to which SUPPL attaches. F-7 covers rights offerings; F-8 and F-80 cover business combinations and exchange offers; F-9 (largely retired) covered investment-grade debt; F-10 covers any securities offered by larger Canadian issuers. All permit eligible Canadian issuers to register with the SEC using disclosure prepared primarily under Canadian securities law.

• Relationship: parent (F-form registration) to child (SUPPL supplements).
• Frequency: an F-form is filed once per offering or shelf; SUPPL is filed repeatedly against that same registration as takedowns, pricing supplements, and material updates occur.
• Decision logic: the initial registered-offering disclosure is on the F-form; everything added after effectiveness is on SUPPL.

Reconstructing a complete MJDS offering requires pairing both.

Forms F-1, F-3, F-4 (non-MJDS foreign registration)

F-1 is the long-form foreign-issuer registration; F-3 is the short-form/shelf registration for seasoned foreign issuers; F-4 covers foreign-issuer business combinations and exchange offers. These forms apply U.S. disclosure standards with foreign-issuer accommodations (IFRS, home-country governance) but do not rely on MJDS reciprocity.

• Decision logic: a foreign issuer eligible for and electing MJDS files on the F-7/F-8/F-9/F-10/F-80 series and supplements with SUPPL. A foreign issuer not eligible for MJDS, or eligible but electing the U.S.-standard regime, files on F-1/F-3/F-4 and supplements with 424B.
• Coverage implication: SUPPL captures only the MJDS slice of foreign-issuer supplements (overwhelmingly Canadian). Full foreign-issuer supplement coverage requires SUPPL plus the relevant 424B subset.

Form 20-F

Form 20-F is the annual report for foreign private issuers under the Exchange Act, analogous to the Form 10-K.

• Cadence: 20-F is periodic and comprehensive; SUPPL is event-driven and incremental.
• Function: 20-F establishes the annual disclosure baseline; SUPPL adds offering-specific material between baselines.
• Decision logic: nothing routes between these two; they cover different obligations and coexist for the same issuer.

Form 40-F

Form 40-F is the MJDS-specific annual report available to F-9/F-10-eligible Canadian issuers, in lieu of 20-F.

• Closer analogue: 40-F is the MJDS counterpart to 20-F and is the more relevant annual baseline for SUPPL filers.
• Regime alignment: 40-F relies on Canadian continuous-disclosure documents (AIF, Canadian audited financials, MD&A) wrapped for SEC filing, mirroring SUPPL's reliance on Canadian prospectus standards.
• Decision logic: an MJDS issuer's full disclosure footprint is typically 40-F (annual) plus 6-K (interim furnishings) plus F-7/F-8/F-9/F-10/F-80 (registrations) plus SUPPL (offering supplements).

Form CB

Form CB is the notification filing for foreign private issuers conducting cross-border tender offers, rights offerings, or business combinations relying on the Rule 801, Rule 802, Rule 13e-4(h)(8), or Rule 14d-1(c) exemptions.

• Regulatory authority: CB attaches to Exchange Act tender-offer and going-private rules and is invoked when the issuer is claiming a cross-border exemption from full U.S. registration. SUPPL operates inside a fully registered MJDS offering.
• Decision logic on the same transaction: an exchange offer registered on F-8 or F-80 generates SUPPL for prospectus supplements; an exchange offer relying on Rule 802 generates CB instead. The two are generally mutually exclusive for a given transaction.

Boundary summary

Form SUPPL is defined by the intersection of three constraints, and removing any one routes the filing elsewhere:

1. Statutory basis is Section 11(a) of the Securities Act (not Rule 424(b), not Rule 433, not the Exchange Act).
2. The filer is a foreign private issuer using MJDS or a comparable accommodation (not a domestic issuer, not a non-MJDS foreign issuer).
3. The content supplements an already-effective MJDS registration (not a new registration, periodic report, or current report).

Routing if any constraint changes: domestic or F-1/F-3/F-4 supplements go to 424B; marketing-style offering communications go to FWP; non-offering foreign current reports go to 6-K; base registrations go to F-7/F-8/F-9/F-10/F-80 or F-1/F-3/F-4; annual baselines go to 40-F (MJDS) or 20-F (other foreign issuers); cross-border exemption filings go to CB. SUPPL is therefore complementary to, not interchangeable with, any of these datasets, and is most useful when joined to the underlying F-form registration and to the issuer's 40-F/6-K record.

Who Uses This Dataset

Form SUPPL is a narrow corner of EDGAR — voluntary supplemental disclosures filed under Section 11(a) of the 1933 Act since 2001, dominated by Canadian and other foreign private issuers using MJDS. The user base is correspondingly specialized.

Cross-border ECM and syndicate desks

Equity capital markets analysts and syndicate associates at investment banks track foreign private issuer offerings into the U.S. market in near real time. They watch filedAt for live deal timing, parse the prospectus body for offering size, security type, and the underwriter list in plan-of-distribution, and use entities[] to map issuer, selling shareholder, and co-filer relationships. Output: deal logs, league-table inputs, and competitive reads on who is leading MJDS shelf takedowns and bought deals.

Cross-border securities lawyers and MJDS practitioners

Counsel advising foreign private issuers on U.S. registration use SUPPL as a precedent library. They compare risk factors, use of proceeds, plan of distribution, lock-ups, and selling-shareholder mechanics across peer supplements, and use fileNumber to link each SUPPL back to the underlying F-10 or F-3 for full deal documentation. Workflow: drafting supplements, comment-letter strategy, and disclosure benchmarking.

Broker-dealer and asset-manager compliance

Compliance and onboarding diligence teams confirm that a foreign private issuer security marketed to U.S. investors is supported by current registration material. They read entities[] (CIK, issuer, co-filers), fileNumber for linkage to the parent registration, stateOfIncorporation, and effective-date fields. Workflow: issuer KYC, registered-vs.-Reg S checks, and pre-trade approval for cross-border securities.

Competitive intelligence at banks and deal-database vendors

Strategy teams and primary-market data vendors mine the SUPPL corpus by sic, stateOfIncorporation, filedAt, deal size, and named underwriters in plan-of-distribution to produce dashboards on MJDS activity, sector mix, and competitor share in cross-border supplemental issuance. Data engineers on the same teams ingest the metadata JSON (accessionNumber, entities[], filedAt, formType, fileNumber, sic, stateOfIncorporation) for entity resolution against issuer masters and parse the HTML/PDF prospectus for pricing terms.

Buy-side and credit analysts on foreign private issuers

Equity and credit analysts covering cross-listed names read SUPPL prospectus sections for use-of-proceeds, dilution mechanics, capitalization updates, and material developments incorporated by reference. Credit teams treat plan-of-distribution and use-of-proceeds disclosures as inputs to refinancing-risk views, and use the incorporated-by-reference list to pull the relevant home-jurisdiction filings.

Event-driven and quant research

Event-driven and quantitative desks use filedAt and issuer identifiers in entities[] to align supplemental filings with price, volume, and short-interest series on cross-listed securities. Output: event studies on follow-on issuance and shelf takedowns by foreign private issuers, and signal features for the MJDS issuer universe.

Financial journalists and newsroom data teams

Capital-markets reporters and newsroom data teams use SUPPL filings as primary-source confirmation of offering size, selling shareholders, and underwriters, keying off issuer names in entities[] and filedAt. The historical corpus supports ranking tables and trend pieces on MJDS issuance windows.

Regulatory and academic researchers on MJDS

Researchers studying MJDS, foreign private issuer disclosure quality, and cross-border regulatory cooperation use the dataset as a closed-universe sample. They rely on the full span back to 2001, sic and stateOfIncorporation distributions, filing volumes over time, and prospectus text for content analysis. Outputs: working papers on disclosure completeness and policy submissions on the future of MJDS and FPI accommodations.

Issuer-side IR, treasury, and advisers

IR and treasury teams at foreign private issuers, and their outside advisers, use SUPPL to benchmark plan-of-distribution language, use-of-proceeds wording, risk-factor updates, and exhibit lists against sector and jurisdictional peers ahead of their own next supplement. Workflow: peer benchmarking, disclosure-committee review, and pre-launch discussions with underwriters and counsel.

Across these users, the same anchors recur: entities[] for issuer and co-filer mapping, filedAt and effectiveness dates for timing, fileNumber for linkage to the parent registration, sic and stateOfIncorporation for sector and jurisdictional cuts, and the prospectus body for use-of-proceeds, plan-of-distribution, and risk-factor analysis. The SUPPL corpus is small but tightly aligned with cross-border capital-markets work into the U.S.

Specific Use Cases

The use cases below are concrete and recurring among teams that work with MJDS supplements. Each names the specific workflow, the record fields it touches, and the deliverable it produces.

Building an MJDS shelf-takedown deal log

Equity capital markets associates at cross-border investment banks rebuild a chronological deal log of Canadian shelf takedowns into the U.S. market. They sort records by filedAt, group SUPPL accessions sharing the same entities[].fileNo (333-XXXXXX) to collapse multiple supplements onto one shelf, and parse the prospectus body's cover page and plan-of-distribution section for offering size, security type, and the agent/underwriter syndicate. Deliverable: a weekly internal deal log and a league-table feed crediting bookrunners on MJDS supplements.

Drafting a new prospectus supplement against peer precedent

Cross-border securities counsel at firms preparing a new MJDS supplement assemble a precedent set by filtering on sic and stateOfIncorporation (for example A1 Alberta E&P issuers under SIC 1311). They diff the risk-factors, use-of-proceeds, plan-of-distribution, and Canadian/U.S. tax-consequences sections of the prospectus body across roughly twenty peer supplements, and link each back via entities[].fileNo to the underlying F-10 base prospectus for context. Deliverable: a redlined draft supplement and a disclosure-committee memo citing peer language.

Pre-trade compliance check on a cross-listed Canadian security

Broker-dealer compliance teams onboarding a Canadian issuer for U.S. retail distribution confirm that the security has live MJDS registration support. They pull the most recent SUPPL for the issuer's CIK from entities[], verify fileNo matches the active F-10 shelf, check effectivenessDate and filedAt, and confirm the security class and listing exchange in the prospectus cover page. Deliverable: a signed pre-trade approval record and a flag in the firm's product-eligibility system.

Event studies on follow-on issuance by Canadian issuers

Quantitative event-driven desks join SUPPL records to price, volume, and short-interest series for cross-listed tickers. They use filedAt (preserving the Eastern offset) as the event timestamp, entities[].cik and entities[].tickers[] as the join key, and the prospectus body to extract offering size and pricing for sizing the dilution shock. Deliverable: an abnormal-return event study around MJDS supplements and a feature set for the firm's follow-on-issuance signal.

Sector and jurisdiction dashboards for primary-market vendors

Data teams at primary-market vendors and bank strategy groups produce ongoing dashboards of MJDS issuance. They aggregate by sic (industry mix), stateOfIncorporation (Alberta vs Ontario vs Quebec vs Canada-federal), filedAt month, and offering size parsed from the prospectus body, and resolve named agents from the plan-of-distribution to track underwriter share. Deliverable: a monthly MJDS activity report and a queryable issuance database sold to ECM clients.

Closed-universe academic studies of MJDS disclosure

Researchers studying foreign-private-issuer disclosure treat the SUPPL corpus as a near-complete population of MJDS supplements since 2001. They compute coverage by sic and stateOfIncorporation, run text-analysis on the supplementary risk-factor and use-of-proceeds sections of the prospectus body, and pair each SUPPL with the matching F-10 by entities[].fileNo to study what gets added between base and supplement. Deliverable: working papers on MJDS disclosure quality and submissions to the SEC and CSA on the future of the regime.

Dataset Access

The Form SUPPL Files Dataset is available through three access patterns: a public JSON index for discovery and monitoring, a full archive download, and per-container monthly ZIP downloads.

Dataset Index JSON API: [https://api.sec-api.io/datasets/form-suppl-files.json](https://sec-api.io/datasets/form-suppl-files)

This endpoint returns the dataset index in JSON form, including dataset-level metadata (name, description, earliest sample date of 2001-09-01, last updated timestamp, total records, total size, covered form types, container format, and file types) along with the full list of monthly container files. Each container entry includes its key, size, records, updatedAt, and downloadUrl. Use this endpoint to discover available containers and to monitor which monthly ZIPs have been refreshed in the most recent run, so you can selectively download only the updated containers on a daily basis. This endpoint does not require an API key.

Example response:

          1
          {
        

          2
            "datasetId": "1f13365b-9ae0-68fa-8341-2198ee6fec0c",
        

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

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

          5
            "updatedAt": "2026-05-07T02:51:19.000Z",
        

          6
            "earliestSampleDate": "2001-09-01",
        

          7
            "totalRecords": 2230,
        

          8
            "totalSize": 191290585,
        

          9
            "formTypes": ["SUPPL"],
        

          10
            "containerFormat": "ZIP",
        

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

          12
            "containers": [
        

          13
              {
        

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

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

          16
                "size": 13818783,
        

          17
                "records": 12,
        

          18
                "updatedAt": "2026-05-07T02:51:19.000Z"
        

          19
              }
        

          20
            ]
        

          21
          }
        

Download Entire Dataset: [https://api.sec-api.io/datasets/form-suppl-files.zip](https://sec-api.io/datasets/form-suppl-files)?token=YOUR_API_KEY

Downloads the complete dataset as a single ZIP archive covering all SUPPL filings from 2001-09-01 onward. The archive contains the full set of monthly container ZIPs. This endpoint requires a valid API key passed via the token query parameter.

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

Downloads one monthly container ZIP using the key value from the index (formatted as YYYY/YYYY-MM.zip). After decompression, each container holds one folder per filing, named by its SEC accession number. Each folder contains a metadata.json describing the filing along with the underlying document files in HTML, TXT, and PDF format. This endpoint requires a valid API key.

Frequently Asked Questions

What form does this dataset cover?

The dataset covers EDGAR Form SUPPL — the submission type used by foreign private issuers to file voluntary supplemental material under Section 11(a) of the Securities Act of 1933. Every record in the dataset has formType equal to the literal string "SUPPL".

What does one record in this dataset represent?

One record is a single Form SUPPL submission to EDGAR, identified by its 18-digit accession number and packaged as a self-contained folder. The folder contains a metadata.json descriptor derived from the EDGAR SGML header plus the original submission documents — almost always one HTML prospectus supplement, occasionally accompanied by additional HTML, TXT, or PDF exhibits.

Who is required to file Form SUPPL?

Form SUPPL is filed by foreign private issuers with an effective Securities Act registration. The filing population is dominated by Canadian issuers using the U.S./Canada Multijurisdictional Disclosure System (MJDS), adopted by the SEC in 1991 (Securities Act Release No. 33-6902), whose base registrations sit on Forms F-7, F-8, F-9, F-10, or F-80. Other foreign private issuers registered on F-1, F-3, or F-4 occasionally use SUPPL for supplemental material that does not fit a Rule 424 prospectus, a Rule 433 free writing prospectus, or a Form 6-K furnishing. U.S. domestic issuers do not file Form SUPPL.

When are Form SUPPL filings made?

Form SUPPL is event-driven and voluntary, with no periodic schedule. Filings cluster around offering activity: MJDS shelf takedowns, pricing supplements, roadshow material, GAAP reconciliations, and other written communications connected to a registered offering. An MJDS issuer with an active shelf can generate multiple SUPPL accessions in a year, while an issuer with no offering activity generates none.

How does this dataset differ from Form 424B filings?

Both forms carry post-effective prospectus supplements, but they are governed by different statutory authority and different filer populations. Form 424B is filed under Rule 424(b) and is the standard supplement vehicle for U.S. domestic issuers and for foreign issuers whose base registration is on F-1, F-3, or F-4. Form SUPPL is filed under Section 11(a) and is used by foreign issuers whose base registration is on an MJDS form (F-7, F-8, F-9, F-10, F-80). A complete view of post-effective prospectus supplements across U.S. capital markets requires both datasets.

What file format is the dataset distributed in?

The dataset is distributed as monthly ZIP containers named YYYY-MM.zip, with one folder per filing inside each container. The supported file types in the corpus are HTML, JSON, TXT, and PDF. HTML and JSON appear in essentially every record (the prospectus supplement and metadata.json respectively); TXT and PDF appear only when the filer attached such an exhibit directly to the SUPPL submission.

Does Form SUPPL include XBRL or structured financial data?

No. Form SUPPL does not carry inline XBRL or any structured financial-data exhibits. The linkToXbrl field in metadata.json is uniformly empty across the dataset, and dataFiles[] is present but empty for every record. This is informative rather than missing — it can be relied upon to confirm that no structured financial-data exhibit was filed.