Form U-1 applications and declarations under PUHCA
Form U-1: applications and declarations under the Public Utility Holding Company Act of 1935, used until the act's repeal in 2006.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%22U-1%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"U-1"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is U-1?
The Public Utility Holding Company Act of 1935 (PUHCA) gave the SEC broad authority over registered utility holding companies. Form U-1 was the application or declaration used to seek SEC approval for financings, acquisitions of utility assets and other transactions subject to the act.
PUHCA was repealed by the Energy Policy Act of 2005, effective February 2006, and oversight moved largely to FERC. EDGAR's U-1 series is a detailed record of utility mergers and financings from the 1990s to 2006.
Registered public utility holding companies and their subsidiaries under PUHCA.
Before transactions requiring SEC approval under PUHCA, until February 2006.
Filings per year
Every U-1 filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Transaction description | The financing, acquisition or other transaction proposed. |
| Applicable provisions | Sections of PUHCA under which approval was sought. |
| Financial information | Pro forma financial statements and capitalization. |
| Exhibits | Agreements, opinions and proposed notices. |
Get U-1 data with SecFeed
Search the filings with formType:"U-1", read any document as text or PDF, and use these APIs for structured data:
Search every SEC EDGAR filing since 1993 with Lucene-style queries over ticker, CIK, form type, filing date, company, SIC and 8-K items.
Text Search APISearch every word of every EDGAR filing and exhibit since 2001. Exact phrases, form type, CIK and date filters, results as JSON.
Document Download APIList every file in an SEC filing and download any document, exhibit, XBRL file or image from the EDGAR archive with one authenticated call.
Latest U-1 filings
| Company | Form | Filed | |
|---|---|---|---|
| EXELON CORP | U-1/A | 2006-02-02 | EDGAR ↗ |
| EXELON CORP | U-1/A | 2006-01-24 | EDGAR ↗ |
| EXELON CORP | U-1/A | 2006-01-20 | EDGAR ↗ |
| EXELON CORP | U-1/A | 2005-12-30 | EDGAR ↗ |
| DOMINION RESOURCES INC /VA/ | U-1/A | 2005-12-22 | EDGAR ↗ |
| DOMINION RESOURCES INC /VA/ | U-1/A | 2005-12-21 | EDGAR ↗ |
| ENTERGY CORP /DE/ | U-1/A | 2005-12-06 | EDGAR ↗ |
| ENTERGY LOUISIANA INC | U-1/A | 2005-12-02 | EDGAR ↗ |
Use cases
- Research historical utility mergers and financings
- Study the regulatory history of US utilities before 2006
Related forms
Form U5S: annual reports of registered public utility holding companies under Section 5 of PUHCA, filed until 2006.
U-3A-2PUHCA exemption statementForm U-3A-2: annual statements by utility holding companies claiming exemption from PUHCA registration, filed until 2005.
U-57Foreign utility company noticeForm U-57: notifications of foreign utility company status under Section 33 of PUHCA, filed until 2006.
FAQ
Why does Form U-1 end in 2006?
PUHCA was repealed by the Energy Policy Act of 2005, effective February 2006.
Who regulates utility holding companies now?
FERC administers the successor framework, known as PUHCA 2005.
Every U-1 filing, one API call away
500 free calls a month. JSON, CSV, PDF and a Python SDK.