Anyone know if proxy materials are mailed out on a certain day, can the proxy can be filed with the SEC after 5:30 pm that same day and be considered ok? Rule requires proxy to be filed the same day materials are mailed or given to shareholders.

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If you file after 5:30, then it is not “filed” on that business day per exchange act rules. The only thing you can file after 5:30 and still be fine are form 4s.

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Yeah I know. Just not sure if there is a gray area with proxy, being that it’s submitted to the SEC the same day they commenced mailing (stretching it - I know wording is “filed”). No one is getting the proxy the day of mailing or even day after. Also not sure how this can become an issue/blow up (don’t think SEC is going to ping it). Maybe a risk if there is a distraught investor.

Pretty sure it needs to be publicly filed/on EDGAR to commence mailing. Also just to clarify on the above for anyone reading, there are filings other than Form 4s that can be filed after 5:30, including Form 3s, Form 5s, correspondence and S-1MEFs (462b reg stmts).

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So how would this blow up/become an issue? Investor raises it?

Use notice and access.

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