List of TDK Subsitaries (According to SEC Filings)

The following is a complete list of subsidiaries of TDK Corporation according to SEC filings:

Name of company Head office location Function Percentage owned
SAE Magnetics (H.K.) Ltd.
Hong Kong, China Production of electronic materials and components 100%
TDK Hong Kong Co., Ltd.
Hong Kong, China Production of electronic materials and components 100%
TDK Fujitsu Philippines Corporation
Laguna, Philippines Production of electronic materials and components 65.80%
TDK Xiamen Co., Ltd.
Xiamen, China Production of electronic materials and components 100%
TDK Taiwan Corporation
Taipei, Taiwan Production of electronic materials and components 95.40%
Headway Technologies, Inc.
California, U.S.A. Production of electronic materials and components 100%
Amperex Technology Ltd.
Hong Kong, China Production of electronic materials and components 100%
TDK (Malaysia) Sdn. Bhd.
Negeri Sembilan, Malaysia Production of electronic materials and components 100%
Korea TDK Co., Ltd.
Seoul, South Korea Production of electronic materials and components 100%
Magnecomp Precision Technology Public Company Ltd.
Ayutthaya, Thailand Production of electronic materials and components 89%
TDK Dalian Corporation
Dalian, China Production of electronic materials and components 100%
TDK Corporation of America
Illinois, U.S.A. Sale of electronic materials and components 100%
TDK Electronics Europe GmbH
Düsseldorf, Germany Sale of electronic materials and components 100%
TDK Singapore (Pte) Ltd.
Singapore Sale of electronic materials and components, and recording media 100%
TDK (Thailand) Co., Ltd.
Bangkok, Thailand Production of recording media, and electronic materials and components 100%
TDK Electronics Corporation
New York, U.S.A. Sale of recording media 100%
TDK U.S.A. Corporation
New York, U.S.A. Others 100%
TDK Europe S.A.
Luxembourg Others 100%
Lambda Holdings Inc.
New York, U.S.A. Others 100%
Lambda Far East Ltd.
Devon, United Kingdom Others 100%
Magnecomp Labuan Inc.
Labuan, Malaysia Others 100%
TDK-MCC Corporation
Akita, Japan Production of electronic materials and components 100%
Densei-Lambda K.K.
Tokyo, Japan Production of electronic materials and components 100%
TDK Ugo Corporation
Akita, Japan Production of electronic materials and components 100%
TDK Shonai Corporation
Yamagata, Japan Production of electronic materials and components 100%
Media Technology Corporation
Yamanashi, Japan Production of recording media 70%
TDK Service Corporation
Tokyo, Japan Others 100%

SEC notice of exempt offering of securities (Form D)

The U.S. Securities and Exchange Commission (SEC) can file a SEC Notice of Exempt Offering of Securities (Form D). This notice must be filed by companies and funds that happened to sell securities without registration. The Securities Act of 1933 enacted by the United States Congress allows them to do so.

The date of the first sale is the date that the investor is contractually obligated to invest money. Securities are proof of ownership or debt deeds that have a monetary value and can be sold. In the past, these securities used to be in paper format, however, now they are most likely stored digitally.

Examples of securities are stocks, options, and bonds. Usually selling these unregistered is considered a felony. There are times when people who work for a company may get stocks. However, these stocks need to be registered with SEC in order for them to be sold.

SEC Prospectus [Rule 424(b)(1)]

SEC Prospectus Rule 424B1 is the prospectus form that is filed by a company if there are amended articles or changes to their prospectus therein. A company would also file this when there is any new or forgotten information on the original prospectus, thus correcting before finalization.
With the 1933 Securities act, investors are now able to make better financial decisions based on what a company actually tells the public. The act required securities issuers to file and complete statements of registration about financial and material information that the public investors may need know before buying in. These are filed with the SEC before they are available for purchase by the public, namely ten copies of a relevant prospectus including: The companies Ticker symbol, what the company plans to do after their IPO, the number and types of shares they offer, their last reported price, and a few others.
This relevant prospectus will also include how an investor could go about gaining more information about the company, so there is no hidden information or lack of information being volunteered by the company. Things such as finances, share volume, and even amendments to previous prospectus articles. The companies last annual report, (if they have one), will also be included in the list of information that should be easily found by the investor if needed.
As well, the form should include information on experts who prepared the prospectus and other files. These experts are also verified by the SEC and are on file to be contacted should the need arise. Before these forms existed there were instances of companies who’s prospectus would change without anyone knowing or being contacted about it, as well as companies not displaying certain information about themselves. In order to make a level playing field for everyone, this has been done away with by this act and the form itself.

SEC Form 485BPOS Overview

The specific form 485BPOS is actually not a form, or an original filing itself, but an amendment to a previous filing. This amendment corrected further oversights on the 1940 SEC filing act and was the second one processed on said act. The form therein is structured towards a filing by investment companies or a significant security offering. Below is amendment the form is tailored toward.

This forms purpose is to arrange and layout complete details of investment strategies by an investment company. By the same token, the form must also state all security offerings the company has lined up, in the same style, and is a registration statement required for filing separate accounts.
A separate account is when an investor is seeking to manage a financial institution or an individual pool of assets. Typically this is done through a financial advisor, brokerage firm, or institution; for example an insurance company or credit union. Normally sought out by affluent customers and high net worth investors because of the high-risk high reward process that the service normally uses to ensure customers continue to receive a note of good news when they check their accounts.
This is a very popular asset strategy right now, as separate accounts often entail giving a high net worth individual title and ownership of an account that they fund, then hand the account off to an investment specialist or financial advisor who then has the discretion of what and when to trade.
These accounts are highly regulated and are overseen by specialists due to the nature of these investments being rather risky and often employ riskier strategies to find high yields. Other requirements such as a minimum investment limit make it just a little harder to obtain these types of accounts, and therefore the SEC is better able to keep them regulated and fair.

SEC Form 13F-NT Overview

In the capital and securities market, there are many different types of forms and documents used. One important form is the SEC Form 13-NFT. If you are reading this, chances are you want to know what this form is. In that respect, this article describes this important federal document in-depth. It entails the definition of the SEC Form 13-NFT form and what this form consists of.

SEC Form 13F-NT Definition

SEC Form 13f-NT is a quarterly report filed by institutional investment managers to the SEC in accordance to SEC regulations. In this case, SEC stands for “Securities and Exchange Commission.” In the United States, this is an independent federal agency that is charged with protecting investors, maintaining fair as well as orderly functioning of securities markets and aiding capital formation.

SEC Form 13F-NT Components

This form consists of three parts:

  1. The Cover Page—this includes the calendar year or quarter ended, amendment details if there are some, as well as name and address of the institutional investment manager filing the report. It also includes the name, title and phone number of the person singing this report on behalf of the reporting manager. Lastly, the page also comprises names, titles, and phone numbers of other managers reporting for this manager.
  2. The Information Table—this consists of eight columns into which various details are entered. Columns 1, 2, 3 and 4 have the name of security issuers, the title of each class of security, CUSIP and the values of the securities respectively. Columns 5, 6,7 and 8, on the other hand, require share or PRN amount, investment discretion, other managers and voting authority(sole, shared or none) respectively.
  3. The Summary Page—this page literally summarizes the entire document. It condenses the entire information, including Form 13 F information table entry total, down to a few paragraphs.

    Final Thoughts

    The SEC Form 13F-NT is an important report that some institutional investment managers will have to file with the Securities Exchange Commission quarterly. It is a requirement by the federal government that all institutional managers that manage equity assets of at least $100 million in value fill and submit this form to the SEC according to the number of times stipulated by the law.

SEC Form 424B3 Overview

  • The United State’s Security and Exchange Commission is an independent federal agency that regulates the process of issuing stocks or bonds to investors by companies as a way of financing the businesses. Before a company kicks off the stocks or bonds offer process, the agency requires that the company files a document known as SEC FORM 424B3.

    What Is SEC FORM 424B3?

    First of all, businesses often issue a document called a prospectus to the public when they are about to offer stocks, bonds or other securities to investors. A prospectus is simply a type of business document that provides facts and details about the business to potential investors. Of course, new events may occur after that, which may lead to new facts and details about the particular company, which are not in the public domain yet.

    That is where SEC FORM 424B3 comes in. This is a prospectus that the Securities and Exchange Commission requires businesses to file with them prior to kicking off the process of issuing bonds and stocks to the public. That is if new events have occurred, leading to new information about the company, which is not contained in the previous prospectus.

    SEC FORM 424B3 FAQs

    Is it a requirement that companies file SEC FORM 424B3, before selling stocks and bonds to investors? The answer is “NO”. The Securities and Exchange Commission requires companies to file the form only if after issuing a prospectus to the public, new events occurred, which resulted in a substantive change from the supplied information.

    What are the components of SEC FORM 424B3? The components of this form are:

  • The proposed offerings.
  • The risk factors involved in this investment.
  • How the company intends to use the proceeds.
  • The proposed dividend policy.
  • Description of Capital Stock.
  • How the company will conduct bond or stock sales.
  • The plan of bond or stock distribution.
  • Legal affairs.
    Can I file the form alone without professional aid? Yes of course! Simply go to sec.gov and follow the instructions. However, it is better to let a professional do that for you to save time and avoid making mistakes.

    Final Thoughts

    The SEC Form 424B3 is an important prospectus that businesses need to file with the Securities and Exchange Commission under certain circumstances. While you can file it alone, it is always better to let an expert do that for you. That way, you save time and avoid errors that could prove to be too costly in the end.

SEC Filing: Trust Indenture Act of 1939

The 1939 SEC Filing of the Trust Indenture Act (TIA), is a federal law that added restrictions and security to bonds valued at certain amounts. Specifically, it states that there must be a written formal agreement or “indenture”, for any bond sale of $5 million or more. The indenture must be signed by both the bondholder, as well as the issuer. At the same time, the act requires a trustee be appointed for every bond issued therein. This way the rights of the bondholder are not compromised at any time during the process.

This act was mainly passed for the protection of bond investors. It ensures that the trustee has no conflict of interest with the issuer, and to announce twice yearly certain information to investors and securities holders. By having a fair legal and binding contract between the bondholder and the issuer, with a trustee there as an unbiased third party to help oversee the legality and equality for both parties.

The document itself must be read and approved by the SEC and must highlight all the terms and conditions that the trustee, issuer and lender need to abide by for the duration of the bond life. As well, any extra covenants, such as call or put provisions must be outlined in this document; as to allow all parties to be aware of the terms that are set to happen during the bonds life. In the event of insolvency (when an organization can no longer meet its financial obligations), the trustee is given rights to seize and sell the issuers assets to reclaim the investment made. This gives the investor a little more of a safety net in cases such as bankruptcy or fraud within invested securities as well.

Before this act it would be very easy to buy into a very big security while not really knowing all the small nuances that can take place within this type of deal. This act requires there be a fair written contract with a trustee and approved by the SEC along with every provision therein, so all parties are aware of what kind of contract they are entering into.