Filing Mistakes: April Fools Edition
Broc Romanek
![Broc Romanek]()
Broc Romanek
TheGovernanceBeat.com for Cooley; RealTransparentDisclosure.com; ESGProfessionalsNetwork.com
Over the years, Broc has blogged about mistakes made in filings (here is one such blog). Members are kind enough to send us good stories about mistakes they’ve seen in SEC filings. Here are a few new ones (please send your own stories – we’ll keep them confidential unless you tell us otherwise):
– That time Riley needed to update the beneficial ownership table (pg. 19)
– The prospectus that included a note to fire the lawyers – this could be an urban legend, since we haven’t been able to find it on Edgar
– The SEC’s updated Form 10-K – which until recently included a box for “Emerging growth compnay” – another reason to use our Word template
I live in fear of internal notes making it into filings – always do a “ctrl+F” search for brackets, all team member names and NSFW words before giving the go-ahead!
Chairman, Carl T. Hagberg and Associates since 1992, Managing Partner, CT Hagberg LLC since 2009
6 年Hi Broc, and my all-time favorite blooper is the time that our Manufacturers Hanover Trust Company annual report referred to our "certified pubic accountants." We had so many requests for copies, we had to start the printing press again. And actually, with all the publicity- and all the empathy for us - and all the laughs that were generated - no one minded at all...and even our Corporate Secretary got over it. Cheers! Carl