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Mergers and Acquisitions

SEC Transactions

SEC Filings related to M&A

  • 14D1 Tender offer filed with the SEC and the target company giving the terms of the offer and the acquirer company background.
  • 14D9 Response to the tender offer filed with the SEC and the acquirer. Indicates whether offer is hostile or friendly and gives recommendation to the shareholders.
  • DEFM14A - Merger proxy (details of the merger to be considered by shareholders).
  • DEFM14C. Definitive information statement related to merger proxy
  • 8-K. Used for unscheduled material events or corporate changes. Filed within 4 business days of qualifying events.
  • S-4 Registration. Used to register securities that will be part of a business combination transaction. Contains the "Merger Proxy/Prospectus" (details of merger to be considered by shareholders).

Business Research Librarian

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Marcella Barnhart
Lippincott Library
Van Pelt/Dietrich Library Center
3420 Walnut Street
2nd floor, room 256
Philadelphia, PA 19104


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(215) 898-7555