Form 497H2 filings under Rule 497(h)(2)
Form 497H2: prospectuses filed under Securities Act Rule 497(h)(2), mainly by closed-end funds completing a registered offering.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%22497H2%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"497H2"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is 497H2?
Submission type 497H2 covers filings made pursuant to Rule 497(h)(2). Rule 497(h) deals with prospectuses that contain information omitted from a registration statement at the time it became effective, the investment company counterpart of the Rule 430A pricing process.
On EDGAR the type was used mostly by closed-end funds, such as prime rate and target term funds, to file the final prospectus with pricing information after effectiveness. Recent filers generally use other 497 types, so the series is sparse.
Registered investment companies, mostly closed-end funds, filing a prospectus under Rule 497(h)(2).
After a registration statement becomes effective, when the final prospectus with previously omitted information is used.
Filings per year
Every 497H2 filing on EDGAR, counted from the SecFeed index. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Final prospectus | Offering terms including pricing information omitted at effectiveness. |
| Fund details | Investment objective, strategies, risks and fees. |
| Underwriting | Underwriters and distribution arrangements, when applicable. |
Get 497H2 data with SecFeed
Search the filings with formType:"497H2", read any document as text or PDF, and use these APIs for structured data:
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Latest 497H2 filings
| Company | Form | Filed | |
|---|---|---|---|
| Dreyfus Alcentra Global Credit Income 2024 Target Term Fund, Inc. | 497H2 | 2017-10-27 | EDGAR ↗ |
| ING PRIME RATE TRUST | 497H2 | 2013-09-20 | EDGAR ↗ |
| ING PRIME RATE TRUST | 497H2 | 2013-09-20 | EDGAR ↗ |
| ING PRIME RATE TRUST | 497H2 | 2013-08-21 | EDGAR ↗ |
| ING PRIME RATE TRUST | 497H2 | 2013-08-21 | EDGAR ↗ |
| ING PRIME RATE TRUST | 497H2 | 2013-07-19 | EDGAR ↗ |
| ING PRIME RATE TRUST | 497H2 | 2013-07-19 | EDGAR ↗ |
| ING PRIME RATE TRUST | 497H2 | 2013-06-20 | EDGAR ↗ |
Use cases
- Research closed-end fund offerings and their final terms
- Find final prospectuses for historical fund IPOs
Related forms
Rule 497 definitive prospectuses, SAIs and supplements of mutual funds, ETFs and closed-end funds, the documents actually sent to investors.
N-2Closed-end fund and BDC registrationForm N-2 registration statements for closed-end funds, interval funds and business development companies, including N-2ASR automatic shelves.
424B4Priced IPO prospectusEvery 424B4 final prospectus since 1994: the priced IPO and offering prospectus with shares sold, price per share, proceeds and underwriters.
FAQ
When was 497H2 used?
Mostly by closed-end funds filing final prospectuses after effectiveness. The live chart on this page shows the years it appears in EDGAR.
Where are today's closed-end fund prospectuses?
Usually under Form 497 and the 424B series, plus the N-2 registration statement.
Every 497H2 filing, one API call away
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