Schedule 13E-1 issuer statements under Rule 13e-1

Schedule 13E-1 filings from 1996 to 2016: issuer statements required by Exchange Act Rule 13e-1.

35filings on EDGAR

1996first filed

2016-02-12latest filing

curl -H "Authorization: Bearer $SECFEED_KEY" \
  "https://secfeedapi.com/v1/filings?query=formType:%22SC%2013E1%22&size=2"

import os, requests

r = requests.get(
    "https://secfeedapi.com/v1/filings",
    params={'query': 'formType:"SC 13E1"', 'size': '2'},
    headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())

What is SC 13E1?

Rule 13e-1 applies when an issuer purchases its own securities after a third party has commenced a tender offer for them. Before such purchases, the issuer must file a statement describing the securities, the purchase terms and the purpose, recorded as SC 13E1.

The filings are rare and appear in contested tender offers, where a target buys back stock in response to a bid.

Who files

Issuers buying their own securities while a third-party tender offer is pending.

When it is filed

Before the purchases are made.

Filings per year

Every SC 13E1 filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.

What is inside

Section	Contents
Securities	Title and amount the issuer intends to buy.
Purpose	Why the issuer is purchasing.
Source of funds	How the purchases are financed.

Get SC 13E1 data with SecFeed

Search the filings with formType:"SC 13E1", read any document as text or PDF, and use these APIs for structured data:

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Latest SC 13E1 filings

Company	Form	Filed
CHAMPION INDUSTRIES INC	`SC 13E1/A`	2016-02-12	EDGAR ↗
Apple Hospitality REIT, Inc.	`SC 13E1`	2015-04-17	EDGAR ↗
Apple Hospitality REIT, Inc.	`SC 13E1`	2015-01-16	EDGAR ↗
OSHKOSH CORP	`SC 13E1`	2012-11-16	EDGAR ↗
TRANSATLANTIC HOLDINGS INC	`SC 13E1`	2011-09-22	EDGAR ↗
Sinoenergy CORP	`SC 13E1/A`	2010-04-09	EDGAR ↗
CANTERBURY CONSULTING GROUP INC	`SC 13E1/A`	2005-01-24	EDGAR ↗
PEOPLESOFT INC	`SC 13E1`	2004-01-13	EDGAR ↗

Use cases

Research defensive buybacks in hostile bids
Tender offer research

Related forms

SC TO-TOutside tender offer

Schedule TO-T tender offer statements filed by bidders buying shares directly from a target's shareholders, with every amendment since 2000.

SC TO-ICompany buyback tender

Schedule TO-I issuer tender offers: companies and closed-end funds buying back their own shares, debt exchange offers and option exchanges.

SC 14D9Board view on a tender

Schedule 14D-9 statements in which a target company's board recommends shareholders accept, reject or stay neutral on a tender offer.

FAQ

What does Rule 13e-1 require?

An issuer purchasing its own securities during a third-party tender offer must first file a statement with the SEC.

How is this different from SC TO-I?

SC TO-I covers an issuer's own tender offer; SC 13E1 covers purchases during someone else's tender offer.

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