5 Mistakes Made With Preliminary Proxy Statements

A preliminary proxy statement is a draft of the proxy that is filed with the SEC – in certain specified circumstances as required by a SEC rule – before the final – known as the “definitive” – version is filed. The five mistakes include:

• Forgetting Corp Fin may delay a proxy for weeks
• Filing a revised preliminary for immaterial changes
• Filing for shareholder proposals
• Leaving too much blank
• Forgetting to file a proxy card

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