Regulation M-A transaction assessment and routing

ScreenSEC › SEC Workflows › Regulation M-A transaction assessment and routing·step 1

Complete the Identity fields. Each value is validated against the schema before the next step unlocks.

• Transaction entity (required)

  entityId

  Select the principal entity for this Regulation M-A routing assessment. Use its lowercase-with-dashes id, e.g. acme-corp-hq.

ScreenSEC › SEC Workflows › Regulation M-A transaction assessment and routing·step 2

Complete the Scope fields. Each value is validated against the schema before the next step unlocks.

• Transaction type (required)

  transactionKind

  Enter transaction type.

• Entity role (required)

  participantRole

  Enter entity role.

• Regulation M-A, tender, proxy, and going-private applicability artifact ID (required)

  applicabilityArtifactId

  Enter regulation m-a, tender, proxy, and going-private applicability artifact id.

• Cross-border exemption and MJDS analysis artifact ID (required)

  crossBorderAnalysisArtifactId

  Enter cross-border exemption and mjds analysis artifact id.

ScreenSEC › SEC Workflows › Regulation M-A transaction assessment and routing·step 3

Complete the Timing fields. Each value is validated against the schema before the next step unlocks.

• Public announcement and commencement trigger artifact ID (required)

  announcementAndCommencementArtifactId

  Enter public announcement and commencement trigger artifact id.

• Filing deadlines and minimum offer-period artifact ID (required)

  deadlineAndOfferPeriodArtifactId

  Enter filing deadlines and minimum offer-period artifact id.

ScreenSEC › SEC Workflows › Regulation M-A transaction assessment and routing·step 4

Complete the Routing fields. Each value is validated against the schema before the next step unlocks.

• Schedule TO is required (required)

  scheduleToRequired

  Enter schedule to is required.

• Linked Schedule TO workflow IDoptional

  scheduleToWorkflowId

  Enter linked schedule to workflow id.

• Schedule 14D-9 is required (required)

  schedule14d9Required

  Enter schedule 14d-9 is required.

• Linked Schedule 14D-9 workflow IDoptional

  schedule14d9WorkflowId

  Enter linked schedule 14d-9 workflow id.

• Schedule 13E-3 is required (required)

  schedule13e3Required

  Enter schedule 13e-3 is required.

• Linked Schedule 13E-3 workflow IDoptional

  schedule13e3WorkflowId

  Enter linked schedule 13e-3 workflow id.

• Securities Act registration statement is required (required)

  registrationStatementRequired

  Enter securities act registration statement is required.

• Linked Form S-4 or F-4 registration workflow IDoptional

  registrationWorkflowId

  Enter linked form s-4 or f-4 registration workflow id.

• Proxy or information statement is required (required)

  proxyOrInformationStatementRequired

  Enter proxy or information statement is required.

• Linked proxy or information-statement workflow IDoptional

  proxyOrInformationWorkflowId

  Enter linked proxy or information-statement workflow id.

• Form CB is required (required)

  formCbRequired

  Enter form cb is required.

• Linked Form CB workflow IDoptional

  formCbWorkflowId

  Enter linked form cb workflow id.

• Approved no-immediate-filing decision artifact IDoptional

  noImmediateFilingDecisionArtifactId

  Enter approved no-immediate-filing decision artifact id.

ScreenSEC › SEC Workflows › Regulation M-A transaction assessment and routing·step 5

Complete the Disclosure fields. Each value is validated against the schema before the next step unlocks.

• Pre-commencement and transaction written communications artifact ID (required)

  writtenCommunicationsArtifactId

  Enter pre-commencement and transaction written communications artifact id.

• Plain-English summary term sheet artifact ID (required)

  summaryTermSheetArtifactId

  Enter plain-english summary term sheet artifact id.

• Terms, parties, purpose, plans, funds, interests, and arrangements artifact ID (required)

  transactionDisclosureArtifactId

  Enter terms, parties, purpose, plans, funds, interests, and arrangements artifact id.

• Applicable bidder, issuer, target, and pro forma financial information artifact ID (required)

  financialInformationArtifactId

  Enter applicable bidder, issuer, target, and pro forma financial information artifact id.

• Regulation M-A Items 1000-1016 applicability matrix artifact ID (required)

  regulationMaItemsArtifactId

  Enter regulation m-a items 1000-1016 applicability matrix artifact id.

• Exhibits and incorporation-by-reference artifact ID (required)

  exhibitAndIncorporationArtifactId

  Enter exhibits and incorporation-by-reference artifact id.

ScreenSEC › SEC Workflows › Regulation M-A transaction assessment and routing·step 6

Complete the Procedure fields. Each value is validated against the schema before the next step unlocks.

• Objective and verifiable offer conditions artifact ID (required)

  offerConditionsArtifactId

  Enter objective and verifiable offer conditions artifact id.

• Dissemination, minimum-period, extension, withdrawal, and prompt-payment artifact ID (required)

  disseminationAndProceduralComplianceArtifactId

  Enter dissemination, minimum-period, extension, withdrawal, and prompt-payment artifact id.

• Rule 14e-5 outside purchases analysis artifact ID (required)

  outsidePurchasesArtifactId

  Enter rule 14e-5 outside purchases analysis artifact id.

ScreenSEC › SEC Workflows › Regulation M-A transaction assessment and routing·step 7

Complete the Governance fields. Each value is validated against the schema before the next step unlocks.

• Transaction counsel approval artifact ID (required)

  legalApprovalArtifactId

  Enter transaction counsel approval artifact id.

• Board or transaction committee approval artifact ID (required)

  transactionCommitteeApprovalArtifactId

  Enter board or transaction committee approval artifact id.