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13D or 13G filing - process and cost

Tim Eriksen

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I believe Jeff Moore has done it himself for either one or two companies.  My impression was that it's easy enough to do yourself, just time consuming.


If you're looking for someone professional I'd call a few law firms and get a quote.  Something like this is so routine I doubt there'd be much variance in cost.  If you're looking for a securities law firm I'm sure a few on here could help, or you can just pick up the NYC phone book and start calling.  I'm not sure if a firm would do this if they didn't have a previous relationship with you.  Did you check with your firm's lawyer?  They might have something standard setup already.



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I decided to create the filing in Word and use Vintage Filings (a division of PR Newswire) for the filing.  A filer has to get a CIK code from the SEC first.  Vintage will electronically submit the form for $99.  Someone can do that part on their own.  It was easy to find the 13D requirements on line and to look at filings by others and modify them.  Vintage charges $149 for the first page and $14 per additional page.  The total 13D filing was 7 pages plus a two page letter.  I haven't received the bill yet.   


I could have done it for free by learning the SEC's .txt filing system, but I went through that about 5 years ago and I more than happy to pay a few hundred dollars to not have to do that again.  The other down side to doing it on your own is the final product looks vastly different (i.e., crappy) than the professionally done product.

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