Securities in scope for 13D / G disclosure must be registered securities under Section 12 of the Exchange Act.

To establish if a security is Section 12 registered, you must review the company announcements.

(1) To review the company announcements, go to EDGAR company search:

https://www.sec.gov/edgar/search/#

(2) Enter the name of the issuer

(3) Click Search (NB. You may need to extend the “Filed date range”)

(4) Review the announcements that have been made.

(5) Although we are looking for a document announcing the registration of the securities under section 12. A good indicator is if other investors are making beneficial ownership disclosures (e.g SC 13G/A (Beneficial ownership report)

(6) Another good indicator if the security is registered, is if the security can be found on the 13F list:

https://www.sec.gov/divisions/investment/13flists.htm

(7) The documents you are looking for to establish if the security is registered is:

• Form 10,
• Form 20-F,
• Form 40-F or
• Form 8-A

(8) To refine the search, under the “Filing Category”, select “Registration statements and prospectuses”.

Please note that although the below looks like it is registering the securities. It is not registering the securities under section 12 of the Exchange Act. It is only registering ADRs / ADS.

Additionally, there are de-registration publications which all need reviewed.