Step 1 of 8: Identity
SEC Filings & Disclosure
Insider & beneficial ownership reportingDetermine Rule 13e-3 applicability and filing timing; identify every filing person, subject company, and security; link combined or concurrent filings; collect the Schedule 13E-3 and Regulation M-A disclosure, fairness, report, appraisal, financial, exhibit, dissemination, signature, legal, and committee evidence; submit to EDGAR; and reconcile the receipt.
Basis: Going-private transactions
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
8 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 8
ScreenSEC › SEC Workflows › Schedule 13E-3 going-private transactionstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Subject company (required)
entityIdSelect the issuer whose equity securities are the subject of the going-private transaction. Use its lowercase-with-dashes id, e.g. acme-corp-hq.
Step 2 of 8
ScreenSEC › SEC Workflows › Schedule 13E-3 going-private transactionstep 2
Complete the Lineage fields. Each value is validated against the schema before the next step unlocks.
EDGAR submission type (required)
filingTypeEnter edgar submission type.
This is an amendment (required)
amendmentEnter this is an amendment.
Original Schedule 13E-3 accession numberoptional
originalAccessionNumberEnter original schedule 13e-3 accession number.
Material change and amendment explanation artifact IDoptional
amendmentExplanationArtifactIdEnter material change and amendment explanation artifact id.
Step 3 of 8
ScreenSEC › SEC Workflows › Schedule 13E-3 going-private transactionstep 3
Complete the Scope fields. Each value is validated against the schema before the next step unlocks.
Going-private transaction mode (required)
transactionModeEnter going-private transaction mode.
Rule 13e-3 applicability and exemption analysis artifact ID (required)
applicabilityAndExemptionAnalysisArtifactIdEnter rule 13e-3 applicability and exemption analysis artifact id.
Mode-specific filing and dissemination timing artifact ID (required)
filingTimingArtifactIdEnter mode-specific filing and dissemination timing artifact id.
Issuer, affiliate, and all filing-person identity artifact ID (required)
filingPersonsArtifactIdEnter issuer, affiliate, and all filing-person identity artifact id.
Subject company and subject securities artifact ID (required)
subjectCompanyAndSecuritiesArtifactIdEnter subject company and subject securities artifact id.
Step 4 of 8
ScreenSEC › SEC Workflows › Schedule 13E-3 going-private transactionstep 4
Complete the Related Filings fields. Each value is validated against the schema before the next step unlocks.
Transaction uses a combined Schedule 13E-3/Schedule TO (required)
combinedScheduleToEnter transaction uses a combined schedule 13e-3/schedule to.
Linked Schedule TO workflow IDoptional
scheduleToWorkflowIdEnter linked schedule to workflow id.
A Securities Act registration statement is filed concurrently (required)
relatedRegistrationStatementEnter a securities act registration statement is filed concurrently.
Linked registration statement workflow IDoptional
registrationWorkflowIdEnter linked registration statement workflow id.
A proxy or information statement is filed concurrently (required)
relatedProxyOrInformationStatementEnter a proxy or information statement is filed concurrently.
Linked proxy or information-statement workflow IDoptional
proxyOrInformationWorkflowIdEnter linked proxy or information-statement workflow id.
Step 5 of 8
ScreenSEC › SEC Workflows › Schedule 13E-3 going-private transactionstep 5
Complete the Disclosure fields. Each value is validated against the schema before the next step unlocks.
Item 1 summary term sheet artifact ID (required)
summaryTermSheetArtifactIdEnter item 1 summary term sheet artifact id.
Special Factors section artifact ID (required)
specialFactorsArtifactIdEnter special factors section artifact id.
Transaction terms and dissenters' rights artifact ID (required)
transactionTermsArtifactIdEnter transaction terms and dissenters' rights artifact id.
Past contacts, purposes, reasons, plans, and effects artifact ID (required)
pastContactsPurposesPlansEffectsArtifactIdEnter past contacts, purposes, reasons, plans, and effects artifact id.
Source and amount of funds or consideration artifact ID (required)
sourceAndAmountOfFundsArtifactIdEnter source and amount of funds or consideration artifact id.
Required subject-company financial information artifact ID (required)
subjectCompanyFinancialInformationArtifactIdEnter required subject-company financial information artifact id.
Interests and transactions in subject securities artifact ID (required)
interestsInSubjectSecuritiesArtifactIdEnter interests and transactions in subject securities artifact id.
Solicitation, recommendation, and compensation arrangements artifact ID (required)
solicitationAndRecommendationArrangementsArtifactIdEnter solicitation, recommendation, and compensation arrangements artifact id.
Persons, assets, retained parties, and material agreements artifact ID (required)
personsAssetsAgreementsArtifactIdEnter persons, assets, retained parties, and material agreements artifact id.
Other material information artifact ID (required)
otherMaterialInformationArtifactIdEnter other material information artifact id.
Step 6 of 8
ScreenSEC › SEC Workflows › Schedule 13E-3 going-private transactionstep 6
Complete the Fairness fields. Each value is validated against the schema before the next step unlocks.
Each filing person's fairness determination and factors artifact ID (required)
filingPersonFairnessDeterminationsArtifactIdEnter each filing person's fairness determination and factors artifact id.
All materially related reports, opinions, and appraisals artifact ID (required)
reportsOpinionsAppraisalsArtifactIdEnter all materially related reports, opinions, and appraisals artifact id.
Preparer relationships, contingency, and quantified compensation artifact ID (required)
preparerRelationshipsAndCompensationArtifactIdEnter preparer relationships, contingency, and quantified compensation artifact id.
Step 7 of 8
ScreenSEC › SEC Workflows › Schedule 13E-3 going-private transactionstep 7
Complete the Package fields. Each value is validated against the schema before the next step unlocks.
Items 1001-1016 Regulation M-A cross-reference artifact ID (required)
regulationMaCrossReferenceArtifactIdEnter items 1001-1016 regulation m-a cross-reference artifact id.
Item 1016 exhibit index artifact ID (required)
exhibitIndexArtifactIdEnter item 1016 exhibit index artifact id.
Security-holder dissemination evidence artifact ID (required)
securityHolderDisseminationArtifactIdEnter security-holder dissemination evidence artifact id.
Final Schedule 13E-3 document artifact ID (required)
scheduleDocumentArtifactIdEnter final schedule 13e-3 document artifact id.
Step 8 of 8
ScreenSEC › SEC Workflows › Schedule 13E-3 going-private transactionstep 8
Complete the Governance fields. Each value is validated against the schema before the next step unlocks.
All required filing-person signatures artifact ID (required)
signatureArtifactIdEnter all required filing-person signatures artifact id.
Securities-law approval artifact ID (required)
legalApprovalArtifactIdEnter securities-law approval artifact id.
Special committee or board approval artifact ID (required)
specialCommitteeOrBoardApprovalArtifactIdEnter special committee or board approval artifact id.
Continue with the next guide in this framework's table of contents.
Mandatory initial statement of beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide Insider & beneficial ownership reportingMandatory statement of changes in beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide Insider & beneficial ownership reportingMandatory annual statement of beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide