Form N-5 small business investment company registrations

Form N-5 filings from 1996 to 2013: registration statements of small business investment companies under the 1933 and 1940 Acts.

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19filings on EDGAR

1996first filed

2013-09-24latest filing

curl -H "Authorization: Bearer $SECFEED_KEY" \
  "https://secfeedapi.com/v1/filings?query=formType:%22N-5%22&size=2"

import os, requests

r = requests.get(
    "https://secfeedapi.com/v1/filings",
    params={'query': 'formType:"N-5"', 'size': '2'},
    headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())

What is N-5?

Form N-5 is the registration statement used by small business investment companies (SBICs), licensed by the Small Business Administration, to register under the Investment Company Act and register their securities under the Securities Act.

Very few SBICs register with the SEC, so the dataset is small; the last N-5 filing on EDGAR under this type is from 2013.

Who files

Small business investment companies registering with the SEC.

When it is filed

At registration and with pre-effective or post-effective amendments.

Filings per year

Every N-5 filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.

What is inside

Section	Contents
Prospectus	Business, investment policies and management.
SBA license	Information on the company's SBIC status.
Financial statements	Audited financials.

Get N-5 data with SecFeed

Search the filings with formType:"N-5", read any document as text or PDF, and use these APIs for structured data:

Filing Search API

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Document Download API

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Latest N-5 filings

Company	Form	Filed
CapitalSouth Partners SBIC Fund III, L.P.	`N-5/A`	2013-09-24	EDGAR ↗
CapitalSouth Partners SBIC Fund III, L.P.	`N-5`	2013-09-20	EDGAR ↗
Rand Capital SBIC, Inc.	`N-5`	2009-02-06	EDGAR ↗
WATERSIDE CAPITAL CORP	`N-5/A`	2006-03-02	EDGAR ↗
WATERSIDE CAPITAL CORP	`N-5/A`	2006-02-13	EDGAR ↗
WATERSIDE CAPITAL CORP	`N-5`	2005-12-13	EDGAR ↗
RAND CAPITAL SBIC LP	`N-5`	2002-05-16	EDGAR ↗
UNITED CAPITAL INVESTMENT CORP	`N-5/A`	2000-12-18	EDGAR ↗

Use cases

Research SBICs and small business lending funds
Closed-end and BDC history

Related forms

N-2Closed-end fund and BDC registration

Form N-2 registration statements for closed-end funds, interval funds and business development companies, including N-2ASR automatic shelves.

N-54ABDC election notice

Form N-54A notifications of election to be regulated as a business development company (BDC) under the Investment Company Act.

2-EReg E sales report

Form 2-E filings from 2002 to 2017: reports of sales of securities under Rule 609 of Regulation E.

FAQ

What is Form N-5?

The registration statement for small business investment companies under the Securities Act and the Investment Company Act.

What is an SBIC?

A small business investment company licensed by the Small Business Administration to invest in small businesses.

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