Exchange Act Form 8-K

Forms and Documents

Document Name	Status
Form SEC 873 Exchange Act Form 8-K Form and Instruction	Modified
Form 8-KSupportingStatement.Final.pdf Supporting Statement A	2024-09-23
March 22, 2023 EDGAR PIA.pdf Supplementary Document	2024-09-17
Form 8-K.30 Day Federal Register Notice.pdf Supplementary Document	2024-09-17
Form 8-K.60 Day Federal Register Notice.pdf Supplementary Document	2024-09-17

IC Document Collections

IC ID	Document Title	Status
34191	Exchange Act Form 8-K Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0060	ICR Reference No: 202409-3235-003
Status: Received in OIRA	Previous ICR Reference No: 202305-3235-007
Agency/Subagency: SEC	Agency Tracking No: CF 270-050
Title: Exchange Act Form 8-K
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 09/27/2024

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2024
Responses	70,560	118,387
Time Burden (Hours)	445,300	747,133
Cost Burden (Dollars)	59,373,418	99,204,430

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Abstract: Form 8-K is filed by issuers to satisfy their current reporting obligations pursuant to Sections 13 and 15(d) of the Exchange Act in connection with the occurrence of significant corporate events.

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Authorizing Statute(s): US Code: 15 USC 77f, 77g, 77h, 77j Name of Law: Securities Act of 1933
   US Code: 15 USC 77s(a) Name of Law: Securities Act of 1933
   US Code: 15 USC 78c(b), 78l, 78m, 78o(d) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w(a), 78ll Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 54590	07/01/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 75004	09/13/2024
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Exchange Act Form 8-K	SEC 873	Form 8-K

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	70,560	118,387	0	0	-47,827	0
Annual Time Burden (Hours)	445,300	747,133	0	0	-301,833	0
Annual Cost Burden (Dollars)	59,373,418	99,204,430	0	0	-39,831,012	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The decrease in burden of 301,833 hours and the decrease of ($39,831,012) in cost burden are due to an adjustment. The decrease in both the burden hours and cost burden reflect a decrease in the number of respondents filing Form 8-K.

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Annual Cost to Federal Government: $131,724,880

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 09/27/2024

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