Form for the registration of securities issued in business combination transactions by investment companies and business development companies (PDF)

The U.S. Securities and Exchange Commission (SEC) has published Form N-14 – Registration Statement under the Securities Act of 1933 which will be valid through August 31, 2025 unless otherwise modified before, following the approval of the Office of Management and Budget (OMB) of a corresponding extension.
The statement has to be filed with the SEC by all investment management companies and business development companies for registering securities transactions involving statutory mergers and consolidations, replacement of securities (one for another), exchange offers involving the transfer of assets, reofferings or resale of previously acquired securities, or any combination thereof.
The form includes three key sections, namely the prospectus which has to be delivered to investors, the statement of additional information (SAI) which must be furnished to investors upon request, and a section pertaining to „other information“ including exhibits such as copies of all investment advisory contracts relating to the management of the assets of the registrant or „copies of the agreement of acquisition, reorganization, merger, liquidation and any amendments to it“.
The Form also contains detailed filing instructions.