You must pay filing fees when you submit most registration statements under the Securities Act of 1933, transaction filings such as merger proxy statements under the Securities Exchange Act of 1934, and applications on Form T-3 under the Trust Indenture Act of 1939. You do not pay an initial registration fee for mutual fund and unit investment trust registration statements, but you pay fees each year when you file your Form 24F-2.
If your filing is fee bearing and adequate funds are not available in your account, the filing will eventually be suspended. Fees are charged for fee bearing filings regardless of the type of tool used to construct your filing.
Note: When you transmit a test submission, EDGAR checks your U.S. Bank fee deposit and informs you if you are lacking your fees.
FILINGS THAT REQUIRE FILING FEES
1933 Act Filings by Corporations
You must pay a filing fee with the following 1933 Act filings:
S-1, S-2, S-3, S-3D, S-4, S-4EF, S-8, S-11, SB-1, SB-2, S-20, F-1, F-2, F-2D, F-3, F-3D, F-4, F-6, F-6EF, SF-1, SF-3MEF
You also must pay a fee with all rule 462(b) filings – form types with a “MEF ” suffix. You will be required to pay a filing fee on pre-effective amendments to registration statements (e.g., S-1/A) if additional securities are being registered in the amendment. Since you cannot register additional securities by post-effective amendment, no fee is required for these filings (e.g., S-8POS).
1934 Act Filings
You must pay a filing fee with the following 1934 Act filings:
SC TO-T, SC TO-I, SC 13E-3, SC13E4F, SC14D1F
A fee is sometimes required for the following 1934 Act Filings:
PREM14A, PREM14C, PRER14A, PRER14C, SC 13E1
1933 and 1940 Act Filings by Investment Companies
You must pay a filing fee with the following EDGAR submissions made by investment companies:
24F-2NT, N-2, N-5, N-14 8C, N-14MEFYour registration fee is calculated based on the proposed public offering of shares of common stock. The current fee is $124.50 per $1,000,000. See https://www.sec.gov/ofm/Article/feeamt.html for more information.
WHERE TO PAY FILING FEES
Paper Filers: If you are submitting a filing in paper, you may either send the fee by wire transfer or check to US Bank, or directly to the Commission at 100 F Street, NE., Washington D.C. 20549. We cannot accept personal checks for payment of fees.
Electronic Filers: If you are submitting a filing electronically or in paper under a hardship exemption, you MUST send the fee to the US Bank in St. Louis, Missouri. You may make the payment to US Bank by wire transfer, mail or hand delivery.
US Bank is the U.S. Treasury designated depository of SEC filing fees. The hours of operation at US Bank are 8:30 a.m. to 6:30 p.m. Eastern Time for wire transfers. Please allow sufficient time to complete your fee transactions prior to submitting filings that require fees. We will not accept your filing if we have not received sufficient funds when you file. We will, however, accept a rule 462(b) filing submitted between 5:30 p.m. and 10:00 p.m. Eastern Time if the fee is received no later than the close of business on the next business day.
How to Send Filing Fees to the US Bank
Specific instructions on the various methods of making fee payments to the US Bank are as follows:
Wire Transfer: Any bank or wire transfer service may initiate wire transfers of filing fee payments through the FEDWIRE system to US Bank. You do not need to establish an account at US Bank in order to remit filing fee payments. Your wire must include the following information:
Receiving Bank’s ABA Number:021030004
Receiving Bank’s Name:TREAS NYC
Beneficiary Information (BNF):850000001001
Beneficiary Name:Securities & Exchange Commission
Reference to Beneficiary:Registrant’s SEC-assigned CIK Number
You must include the US Treasury account number designated for SEC filers (850000001001) and the payor’s SEC-assigned CIK (Central Index Key) number (also known as the SEC-assigned registrant or payor account number) in the wire transfer. To ensure proper credit and prompt filing acceptance you also must follow the FEDWIRE Instructions precisely and provide the required information in the proper format.
Mail and Hand Delivery: For mail or hand delivery of fee payments, you should: make checks and money orders payable to the Securities and Exchange Commission, omitting the name or title of any official of the Commission; and include on the front of the check or money order the US Treasury account number designated for SEC filers (850000001001) and CIK number of the account to which the fee is to be applied.
You must address fees you transmit by mail to:
Securities and Exchange Commission
Post Office Box 979081
St. Louis, Missouri 63197
You hand deliver fee payments to US Bank, Missouri on weekdays from 8:00 a.m. to 5:00 p.m. (Eastern Standard Time). You cannot hand deliver a fee payment on a federal holiday. You must place all hand deliveries in a sealed envelope, with the Commission’s lockbox number, 979081, and the US Treasury account number designated for SEC filers (850000001001) written on the outside. You must include with all cash payments a separate sheet of paper providing the same information specified for checks and money orders.
[Obtained from the SEC’s EDGAR Filer Management website]
For more information, visit the SEC’s Filing Fees Branch.