SEC FORM 20-F:

SEC Form 20-F is a form issued by the Securities and Exchange Commission ("SEC") that must be submitted by all "foreign private issuers" with listed equity shares on exchanges in the U.S. Form 20-F calls for the submission of an annual report within six months of the end of a company's fiscal year or if the fiscal year-end date changes. The reporting and eligibility requirements for Form 20-F are stated in the Securities Exchange Act of 1934.

Simplified: SEC Form 20-F is an annual report filing for non-U.S. and non-Canadian companies that have securities trading in the U.S.

The goal of Form 20-F is to standardize the reporting requirements of foreign-based companies so investors can evaluate these investments alongside domestic equities. The form often contains a foreign company's annual report with financials. Form 20-F is required from foreign companies, both non-U.S. and non-Canadian companies, whose securities are traded in the U.S.

Under the New York Stock Exchange (NYSE) rules, a company must also make the report available to shareholders through the company's website and make shareholders aware the report has been released via a press release. There are also other requirements, such as posting in English that shareholders can request a hard copy of the audited financial statements, which they will receive within a reasonable period of time free of charge.

Failure to file Form 20-F with the SEC in the proper time frame subjects an NYSE-listed company to procedures under section 802.01E. After notice is given by the exchange, there is generally a six-month "cure period" where the exchange monitors the situation. Additional time may be granted after this time elapses or delisting may commence.

The process of filing a 20-F take anywhere from a few hours to a few days, depending on amount of material and complexity of the filing. The entire Private Placement Markets team is available throughout this entire process to prepare and submit subsequent amendments, redlines, and correspondence letters.

 

Service(s) to be Provided:

  • Drafting & Preparation of a Federal Securities Laws Compliant 20-F Registration Statement.

    • Our Custom 20-F Registration Statement includes (but is not limited to):

      • Structuring and Development of a Presentation Grade 20-F Registration Statement,

      • all SEC Filing(s) as required via the EDGAR,

      • Federal Securities Laws Compliance Review, and

      • Does Not include any expenses associated with any required Financial Audits, Legal Opinion Letters, etc. 

 

To engage us for a Custom 20-F Registration Statement Preparation:

  1. Private Placement Markets is very selective about the 20-F Clients it engages with. Please call our Capital Markets Team or email us as the contact listed to the left, and we will schedule a time to speak regarding your 20-F needs.

  2. If there is a mutual interest to engage for the Drafting and Filing of your 20-F, we will forward you an engagement letter to be signed, at which time you will be required to submit a retainer equal to 50% of our service charge for the drafting of the Custom 20-F Registration Statement. Our total estimated cost for a Custom 20-F Registration Statement is a Flat $2,500 USD (50% = $1,250 USD). NOTE: The balance of $1,250 will be due and payable 30 days net from retaining services or upon delivery of a final 20-F Registration Statement whichever comes first.

  3. Once complete, we will send you an email with information detailing the necessary information we need to get started working on the custom 20-F Registration Statement.

  4. General Time from Start-to-Finish, given the vast number of Registration Statemetns we have done over the past five plus years, approximately a day to a couple of days (could be shorter, could be longer, much depends on complexity and amount of information). 

Mr. Steve Muehler

Founder & Managing Member

Private Placement Markets

101 California Street

San Francisco, CA 94111

Email: Steve@PPMSecurities.com

Phone: (877) 259-8066

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Private Placement Markets, LLC (a Delaware Limited Liability Company) provides no depository services and is not insured by the FDIC. Private Placement Markets is an Investment Banking Industry Document Preparation Company and Capital Markets Advisor. Private Placement Markets does not offer, and does not offer to provide any broker dealer or market maker services. Private Placement Markets operates this website (referred to as the “Website”). By accessing this Website and any pages thereof, you agree to be bound by its Terms of Use and Privacy Policy. Past performance is no guarantee of future results. Any historical returns, expected returns, or probability projections may not reflect actual future performance. Private Placement Markets does not provide financial planning services. Private Placement Markets does not provide tax advice and does not represent in any manner that the outcomes described herein will result in any particular tax consequence.

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