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Does the SEC accept PDFs?

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My legal team has asked whether or not we can file our proxy statement in both an htm and a pdf?  Does anyone have any experience submitting a pdf to the SEC? Thanks.
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Dato Stemmer
  • Jonathan Gregory

    Hi Barbara - the link below has some helpful information on what can/cannot be submitted to the SEC via certain file formats. It sounds like if you're filing the HTML version, as well as the PDF, then you've satisfied the filing requirements.

    http://www.newsfilecorp.com/filing/edgar/html_vs_ascii.php?_sm_byp=iVVJt51w6nHfHMNv

    I do know that images (a lot of company file infographics with their earnings, my company included); those files need to be text searchable. There are some available work-arounds to satisfy that requirement.

    Hope this helps! Thanks, Jonathan

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  • Mike Davis
    Nailed it, Jonathan!

    The requirements for these types of submissions are found in the EFM Vol. II, Sec. 5.2.3, which spells out all the nitty-gritty details. Also, in Wdesk, when you perform a Save As PDF, you have the option to save the file to your project, which would save you a step.

    Let me know if you have other questions. Thanks and have a great day!

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