Form 497

 

for Mutual Funds & Management Investment Companies

 

 

Form 497 is used by mutual funds and investment companies to file definitive materials on the SEC’s EDGAR filing system. Definitive materials include any piece of information considered material to an investor, and as such, relevant to an investor’s decision about changing their financial position in a company. Examples of definitive materials include proxy statements, prospectus publications, and Statements of Additional Information (SAI). Prospectuses containing risk/return summaries are accompanied in an SEC EDGAR filing with an XBRL component.

About Form 497

There are a number of 497 form variants, used in specific situations. The following table discusses these variants.

Form 497 Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497
Form 497K Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)
Form 497J Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497

 

Our Form 497 Solution

Send us your Form 497 either via email or our secure online submission portal. Our team will proceed to convert your material into SEC EDGAR HTML format and provide you with a secure proof for review. Once we have your approval we will submit the Form 497 with the SEC EDGAR system and provide you with a system acceptance email.

Many mutual funds create 497 in PDF format. Conversion from a PDF source document is Offistra’s specialty. Working with many companies that file to both EDGAR and SEDAR (a PDF based system), we’ve formatted tens of thousands of PDF source documents for filing with the SEC. We have a team of North American XBRL specialists who will work with you to prepare the tagged component of risk/return summaries.

 

Form 497 Automation

Our team has worked closely with software companies to automate the creation of SEC EDGAR HTML. Are your Form 497s created from a database or XML data source? If so, our automation technology may assist you in saving time and cutting costs.

 

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