Form U-3A3-1: PUHCA exemption statements by banks (1994 to 2005)
Annual statements by banks holding utility securities claiming an exemption under PUHCA 1935, filed until 2005.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%22U-3A3-1%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"U-3A3-1"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is U-3A3-1?
Banks that held voting securities of utility companies in a fiduciary or similar capacity could claim an exemption from holding company status under PUHCA 1935. Form U-3A3-1 was the statement filed to claim it; large custody and trust banks were the main filers.
Filings end in 2005, before PUHCA's repeal took effect in 2006.
Banks holding utility voting securities in a fiduciary or custodial capacity.
Annually under PUHCA; ended in 2005.
Filings per year
Every U-3A3-1 filing on EDGAR, counted from the SecFeed index. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Bank | The filer. |
| Utility securities held | Holdings in utility companies. |
| Exemption claimed | Basis for the exemption. |
Get U-3A3-1 data with SecFeed
Search the filings with formType:"U-3A3-1", read any document as text or PDF, and use these APIs for structured data:
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Latest U-3A3-1 filings
| Company | Form | Filed | |
|---|---|---|---|
| STATE STREET BANK & TRUST CO | U-3A3-1 | 2005-03-29 | EDGAR ↗ |
| STATE STREET BANK & TRUST CO | U-3A3-1 | 2004-03-29 | EDGAR ↗ |
| MELLON BANK N A | U-3A3-1 | 2003-03-27 | EDGAR ↗ |
| STATE STREET BANK & TRUST CO | U-3A3-1 | 2003-03-26 | EDGAR ↗ |
| STATE STREET BANK & TRUST CO | U-3A3-1 | 2002-03-27 | EDGAR ↗ |
| MELLON BANK N A | U-3A3-1 | 2002-03-27 | EDGAR ↗ |
| MELLON BANK N A | U-3A3-1 | 2001-03-30 | EDGAR ↗ |
| STATE STREET BANK & TRUST CO | U-3A3-1 | 2001-03-29 | EDGAR ↗ |
Use cases
- Research bank holdings of utility securities before 2006
Related forms
Notifications of registration by public utility holding companies under Section 5(a) of PUHCA 1935, ending with its repeal in 2006.
U-13-60PUHCA service company reportsAnnual reports of mutual and subsidiary service companies in registered utility holding company systems under PUHCA 1935.
FAQ
Why did banks file U-3A3-1?
To claim an exemption from PUHCA 1935 holding company status for utility securities held in a fiduciary capacity.
When did these filings end?
In 2005, ahead of PUHCA's repeal in 2006.
Every U-3A3-1 filing, one API call away
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