Flock blog
Reading regulatory filings, sourced and dated.
Plain-English guides to the public filings Flock tracks: 13F reports, NSE and BSE shareholding patterns, bulk and block deals, and FII/DII flows. Every claim links to its source. Research, not advice.
What is Form C? SEC crowdfunding offering
Form C is the SEC offering statement for a Regulation Crowdfunding raise. The $5M cap, the funding-portal rule, the Form C-AR annual report, and what it shows. Not advice.
What is Form CRS? Adviser relationship summary
Form CRS is the short SEC relationship summary a broker or adviser gives retail investors. What it covers, the two-page limit, and how it relates to Form ADV. Not advice.
What is Form S-11? SEC real estate/REIT filing
Form S-11 is the SEC registration statement for securities of REITs and real estate companies. Who uses it, what it excludes, and how it differs from an S-1. Not advice.
Promoter reclassification: SEBI LODR Reg 31A
Promoter reclassification is how a promoter becomes a public shareholder under SEBI LODR Reg 31A. The 10% cap, the conditions, and the approval steps. Not advice.
Form 1-A vs S-1: Reg A offering vs full IPO
Form 1-A vs S-1: both take a company to public investors. The 1-A is a capped Regulation A route; the S-1 is a full IPO registration. How they differ. Not advice.
Form C vs Form D: crowdfunding vs private
Form C vs Form D: both mark a capital raise on EDGAR. Form C is a public crowdfunding offering; Form D is a notice of a private placement. How the two differ. Not advice.
Form CRS vs Form ADV: summary vs brochure
Form CRS vs Form ADV: the CRS is a two-page retail relationship summary; the ADV is the fuller adviser brochure. What each covers and how they fit together. Not advice.
What is a Form N-14 filing? Fund merger doc
A Form N-14 filing is the SEC registration a fund files to merge or reorganize and issue new shares to another fund's shareholders. What it covers. Not advice.
What is a Form N-CSR filing? Fund report
A Form N-CSR filing is the certified shareholder report a registered fund files with the SEC, with financial statements and officer certification. Not advice.
What is a Schedule 14C filing? Info statement
A Schedule 14C filing is the SEC information statement a company sends when majority shareholders already approved an action, so no proxy vote is asked. Not advice.
What is a Form F-4 filing? Foreign M&A doc
A Form F-4 filing is the SEC registration a foreign private issuer files to issue shares in a merger or exchange offer. What it covers and how it differs. Not advice.
What is a SAST disclosure? SEBI Reg 29
A SAST disclosure is the SEBI Takeover Code report an acquirer files on crossing 5% and on every 2% change in an Indian listed company. Thresholds explained. Not advice.
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