Form 40-33 investment company litigation filings
Copies of stockholder derivative actions filed against an investment company or its affiliates, under Section 33 of the 1940 Act.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%2240-33%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"40-33"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is 40-33?
Section 33 of the Investment Company Act requires a registered investment company to file with the SEC copies of any pleading, verdict or judgment in a stockholder derivative action brought on behalf of the fund against an officer, director, adviser or other affiliate.
40-33 filings are a direct record of litigation over fund fees and governance, such as excessive fee suits against advisers.
Registered investment companies that are the subject of derivative actions.
Within 10 days after receipt of the complaint or other filing in the action.
Filings per year
Every 40-33 filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Complaint | The pleading filed in court. |
| Parties | The fund, the defendants and the plaintiff shareholders. |
| Claims | Typically breach of fiduciary duty or excessive fee claims under Section 36(b). |
| Settlement or judgment | Later filings in the case. |
Get 40-33 data with SecFeed
Search the filings with formType:"40-33", read any document as text or PDF, and use these APIs for structured data:
Latest 40-33 filings
| Company | Form | Filed | |
|---|---|---|---|
| Blue Owl Capital Corp | 40-33 | 2026-10-09 | EDGAR ↗ |
| BlackRock TCP Capital Corp. | 40-33 | 2026-08-28 | EDGAR ↗ |
| FS KKR Capital Corp | 40-33 | 2026-08-25 | EDGAR ↗ |
| ARES CAPITAL CORP | 40-33 | 2026-08-21 | EDGAR ↗ |
| BlackRock TCP Capital Corp. | 40-33 | 2026-08-07 | EDGAR ↗ |
| Blue Owl Technology Finance Corp. | 40-33 | 2026-07-31 | EDGAR ↗ |
| FS KKR Capital Corp | 40-33 | 2026-07-17 | EDGAR ↗ |
| FS KKR Capital Corp | 40-33 | 2026-07-02 | EDGAR ↗ |
Use cases
- Track excessive fee litigation against fund advisers
- Research fund governance disputes
Related forms
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FAQ
What kind of suits appear in 40-33?
Stockholder derivative actions on behalf of a fund, often Section 36(b) fee claims.
Are these SEC enforcement actions?
No. They are private lawsuits that the fund must report.
Every 40-33 filing, one API call away
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