Securities and Exchange Commission

SEC Filings

SEC Filings are an important source of information for merger arbitrage trading. Merger Arbitrage Limited provides many links to this information throughout the site. Important documents and press statements are often featured on our deal factsheet pages. For example, the 8-K filing regarding The Habit Restaurants (HABT) merger. In addition, MAL has also produced guides showing how to understand and read SEC filings and specifically a Form 8-K. It is imperitive traders and investors understand the importance of these filings and how to interpret them accordingly.

The Securities and Exchange Commission (SEC) is an independent agency of the United States federal government. The commission holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry. This encompasses the nation’s stock and options exchanges, and other activities and organizations, including the electronic securities markets in the U.S. It was created by Congress in 1934 as the first federal regulator of the securities markets.

Dunkin’ Brands Group (DNKN) – SC TO-T/A [Amend] – Tender offer statement by Third Party – on 15th December 2020 at 6:07 am

Filed: 2020-12-15 AccNo: 0001193125-20-317428 Size: 45 KB Read More form type DUNKIN' BRANDS GROUP, INC. (0001357204)

Tiffany & Co. (TIF) – 4 – Statement of changes in beneficial ownership of securities – on 14th December 2020 at 5:51 pm

Filed: 2020-12-14 AccNo: 0000098246-20-000136 Size: 7 KB Read More form type TIFFANY & CO (0000098246)

Tiffany & Co. (TIF) – DEFA14A – Additional definitive proxy soliciting materials and Rule 14(a)(12) material – on 8th December 2020 at 6:55 am

Filed: 2020-12-08 AccNo: 0001193125-20-312228 Size: 53 KB Read More form type TIFFANY & CO (0000098246)

Tiffany & Co. (TIF) – 8-K – Current report – on 8th December 2020 at 6:52 am

Filed: 2020-12-08 AccNo: 0001193125-20-312226 Size: 190 KBItem 7.01: Regulation FD DisclosureItem 9.01: Financial Statements and Exhibits Read More form type TIFFANY & CO (0000098246)

Dunkin’ Brands Group (DNKN) – SC 14D9/A [Amend] – Solicitation, recommendation statements – on 7th December 2020 at 7:32 am

Filed: 2020-12-07 AccNo: 0001193125-20-311174 Size: 17 KB Read More form type DUNKIN' BRANDS GROUP, INC. (0001357204)

Dunkin’ Brands Group (DNKN) – SC TO-T/A [Amend] – Tender offer statement by Third Party – on 7th December 2020 at 6:06 am

Filed: 2020-12-07 AccNo: 0001193125-20-311093 Size: 56 KB Read More form type DUNKIN' BRANDS GROUP, INC. (0001357204)

Dunkin’ Brands Group (DNKN) – SC 14D9/A [Amend] – Solicitation, recommendation statements – on 3rd December 2020 at 8:01 am

Filed: 2020-12-03 AccNo: 0001193125-20-309012 Size: 88 KB Read More form type DUNKIN' BRANDS GROUP, INC. (0001357204)

Tiffany & Co. (TIF) – 4 – Statement of changes in beneficial ownership of securities – on 30th November 2020 at 8:33 pm

Filed: 2020-11-30 AccNo: 0000098246-20-000134 Size: 12 KB Read More form type TIFFANY & CO (0000098246)

Tiffany & Co. (TIF) – 4 – Statement of changes in beneficial ownership of securities – on 30th November 2020 at 8:30 pm

Filed: 2020-11-30 AccNo: 0000098246-20-000133 Size: 13 KB Read More form type TIFFANY & CO (0000098246)

Tiffany & Co. (TIF) – 4 – Statement of changes in beneficial ownership of securities – on 30th November 2020 at 8:24 pm

Filed: 2020-11-30 AccNo: 0000098246-20-000131 Size: 16 KB Read More form type TIFFANY & CO (0000098246)

Tiffany & Co. (TIF) – 4 – Statement of changes in beneficial ownership of securities – on 30th November 2020 at 8:23 pm

Filed: 2020-11-30 AccNo: 0000098246-20-000130 Size: 14 KB Read More form type TIFFANY & CO (0000098246)

Tiffany & Co. (TIF) – 4 – Statement of changes in beneficial ownership of securities – on 30th November 2020 at 8:19 pm

Filed: 2020-11-30 AccNo: 0000098246-20-000129 Size: 16 KB Read More form type TIFFANY & CO (0000098246)

Tiffany & Co. (TIF) – 4 – Statement of changes in beneficial ownership of securities – on 30th November 2020 at 8:17 pm

Filed: 2020-11-30 AccNo: 0000098246-20-000128 Size: 7 KB Read More form type TIFFANY & CO (0000098246)

Tiffany & Co. (TIF) – 4 – Statement of changes in beneficial ownership of securities – on 30th November 2020 at 8:27 pm

Filed: 2020-11-30 AccNo: 0000098246-20-000132 Size: 13 KB Read More form type TIFFANY & CO (0000098246)

Dunkin’ Brands Group (DNKN) – SC 14D9/A [Amend] – Solicitation, recommendation statements – on 27th November 2020 at 4:51 pm

Filed: 2020-11-27 AccNo: 0001193125-20-304595 Size: 16 KB Read More form type DUNKIN' BRANDS GROUP, INC. (0001357204)

Dunkin’ Brands Group (DNKN) – SC TO-T/A [Amend] – Tender offer statement by Third Party – on 27th November 2020 at 4:13 pm

Filed: 2020-11-27 AccNo: 0001193125-20-304564 Size: 84 KB Read More form type DUNKIN' BRANDS GROUP, INC. (0001357204)

Tiffany & Co. (TIF) – 8-K – Current report – on 27th November 2020 at 6:38 am

Filed: 2020-11-27 AccNo: 0001193125-20-304104 Size: 183 KBItem 8.01: Other EventsItem 9.01: Financial Statements and Exhibits Read More form type TIFFANY & CO (0000098246)

Tiffany & Co. (TIF) – DEFA14A – Additional definitive proxy soliciting materials and Rule 14(a)(12) material – on 27th November 2020 at 6:45 am

Filed: 2020-11-27 AccNo: 0001193125-20-304113 Size: 47 KB Read More form type TIFFANY & CO (0000098246)

Tiffany & Co. (TIF) – DEFM14A – Definitive proxy statement relating to merger or acquisition – on 27th November 2020 at 6:05 am

Filed: 2020-11-27 AccNo: 0001193125-20-304075 Size: 2 MB Read More form type TIFFANY & CO (0000098246)

Dunkin’ Brands Group (DNKN) – SC TO-T/A [Amend] – Tender offer statement by Third Party – on 24th November 2020 at 11:06 am

Filed: 2020-11-24 AccNo: 0001193125-20-302231 Size: 37 KB Read More form type DUNKIN' BRANDS GROUP, INC. (0001357204)

Dunkin’ Brands Group (DNKN) – SC14D9C – Written communication relating to third party tender offer – on 3rd November 2020 at 8:30 am

Filed: 2020-11-03 AccNo: 0001193125-20-284456 Size: 31 KB Read More form type DUNKIN' BRANDS GROUP, INC. (0001357204)

Dunkin’ Brands Group (DNKN) – SC TO-C – Written communication relating to an issuer or third party – on 2nd November 2020 at 6:25 pm

Filed: 2020-11-03 AccNo: 0001193125-20-284131 Size: 8 MB Read More form type DUNKIN' BRANDS GROUP, INC. (0001357204)

Dunkin’ Brands Group (DNKN) – SC14D9C – Written communication relating to third party tender offer – on 2nd November 2020 at 5:04 pm

Filed: 2020-11-02 AccNo: 0001193125-20-284028 Size: 36 KB Read More form type DUNKIN' BRANDS GROUP, INC. (0001357204)

Dunkin’ Brands Group (DNKN) – SC TO-C – Written communication relating to an issuer or third party – on 2nd November 2020 at 9:30 am

Filed: 2020-11-02 AccNo: 0001193125-20-283308 Size: 1 MB Read More form type DUNKIN' BRANDS GROUP, INC. (0001357204)

Dunkin’ Brands Group (DNKN) – SC14D9C – Written communication relating to third party tender offer – on 2nd November 2020 at 6:25 am

Filed: 2020-11-02 AccNo: 0001193125-20-283278 Size: 156 KB Read More form type DUNKIN' BRANDS GROUP, INC. (0001357204)

Dunkin’ Brands Group (DNKN) – 8-K – Current report – on 2nd November 2020 at 6:15 am

Filed: 2020-11-02 AccNo: 0001193125-20-283269 Size: 938 KBItem 1.01: Entry into a Material Definitive AgreementItem 7.01: Regulation FD DisclosureItem 9.01: Financial Statements and Exhibits Read More…