ALL SEC FORM TYPES

Form Type SEC Description
10-12B Initial general form for registration of a class of securities pursuant to section 12(b)
10-12B/A Amendment to Initial general form for registration of a class of securities pursuant to section 12(b)
10-12G Initial general form for registration of a class of securities pursuant to section 12(g)
10-12G/A Amendment to Initial general form for registration of a class of securities pursuant to section 12(g)
10-D Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17
10-D/A Amendment to Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17
10-K Annual report pursuant to section 13 and 15(d)
10-K/A Amendment to Annual report pursuant to section 13 and 15(d)
10-KT Transition report pursuant to Rule 13a-10 or 15d-10
10-KT/A Amendment to Transition report pursuant to Rule 13a-10 or 15d-10
10-Q Quarterly report pursuant to sections 13 or 15(d)
10-Q PF Pro forma version of Quarterly report pursuant to sections 13 or 15(d)
10-Q/A Amendment to Quarterly report pursuant to sections 13 or 15(d)
10-QT Transition report pursuant to Rule 13a-10 or 15d-10
10-QT/A Amendment to Transition report pursuant to Rule 13a-10 or 15d-10
11-K Annual report of employee stock purchase, savings and similar plans
11-K/A Amendment to Annual report of employee stock purchase, savings and similar plans
11-KT Transition report pursuant to rule 13a-10 or 15d10
11-KT/A Amendment to Transition report pursuant to rule 13a-10 or 15d10
13F-HR Initial Quarterly Form 13F Holdings report filed by institutional managers
13F-HR/A Amendment to Initial Quarterly Form 13F Holdings report filed by institutional managers
13F-NT Initial Quarterly Form 13F Notice Report filed by institutional managers
13F-NT/A Amendment to Initial Quarterly Form 13F Notice Report filed by institutional managers
144 Filing for proposed sale of securities under Rule 144
144/A Amendment to Filing for proposed sale of securities under Rule 144
15-12B Notice of termination of registration of a class of securities under Section 12(b)
15-12B/A Amendment to Notice of termination of registration of a class of securities under Section 12(b)
15-12G Notice of termination of registration of a class of securities under Section 12(g)
15-12G/A Amendment to Notice of termination of registration of a class of securities under Section 12(g)
15-15D Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
15-15D/A Amendment to Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
15F-12B Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b)
15F-12B/A Amendment to Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b)
15F-12G Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g)
15F-12G/A Amendment to Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g)
15F-15D Notice of a foreign private issuer’s suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
15F-15D/A Amendment to Notice of a foreign private issuer’s suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
18-12B Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b)
18-12B/A Amendment to Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b)
18-12G Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g)
18-12G/A Amendment to Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g)
18-K Annual report for foreign governments and political subdivisions
18-K/A Amendment to Annual report for foreign governments and political subdivisions
1-E Notification by Small Business Investment Companies and Business Development Companies
1-E/A Amendment to Notification by Small Business Investment Companies and Business Development Companies
20-F Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d)
20-F/A Amendment to Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d)
20FR12B Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b)
20FR12B/A Amendment to Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b)
20FR12G Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g)
20FR12G/A Amendment to Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g)
24F-2NT Rule 24F-2 notice filed on Form 24F-2
24F-2NT/A Amendment to Rule 24F-2 notice filed on Form 24F-2
25 Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange
25/A Amendment to Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange
2-E Report of Sales of Securities
2-E/A Amendment to Report of Sales of Securities
3 Initial statement of beneficial ownership of securities
3/A Amendment to Initial statement of beneficial ownership of securities
305B2 Application for designation of a new trustee under the Trust Indenture Act
305B2/A Amendment to Application for designation of a new trustee under the Trust Indenture Act
4 Statement of changes in beneficial ownership of securities
4/A Amendment to Statement of changes in beneficial ownership of securities
40-17F1 Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1 of the Investment Company Act of 1940 filed on Form N-17F-1
40-17F1/A Amendment to Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1 of the Investment Company Act of 1940 filed on Form N-17F-1
40-17F2 Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2/A Amendment to Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17G Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17G/A Amendment to Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17GCS Filings of claim or settlement pursuant to rule 17g-1(g)(1)(2) or (3) of the Investment Company Act of 1940
40-17GCS/A Amendment to Filings of claim or settlement pursuant to rule 17g-1(g)(1)(2) or (3) of the Investment Company Act of 1940
40-24B2 Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940
40-24B2/A Amendment to Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940
40-33 Copies of all stockholder derivative actions filed with a court against an investment company or an affiliate thereof pursuant to Section 33 of the Investment Company Act of 1940
40-33/A Amendment to Copies of all stockholder derivative actions filed with a court against an investment company or an affiliate thereof pursuant to Section 33 of the Investment Company Act of 1940
40-6B Application under the Investment Company Act by an employees’ securities company
40-6B/A Amendment to Application under the Investment Company Act by an employees’ securities company
40-8B25 Application Requesting Extension of Time for Filing Certain Information, Documents or Reports
40-8F-2 Initial application for deregistration pursuant to Investment Company Act Rule 0-2
40-8F-2/A Amendment to Initial application for deregistration pursuant to Investment Company Act Rule 0-2
40-APP Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-APP/A Amendment to Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-F Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4
40-F/A Amendment to Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4
40FR12B Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act
40FR12B/A Amendment to Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act
40FR12G Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act
40FR12G/A Amendment to Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act
40-OIP Applications under the Investment Company Act reviewed by Office of Insurance Products
40-OIP/A Amendment to Applications under the Investment Company Act reviewed by Office of Insurance Products
424A Prospectus filed pursuant to Rule 424(a)
424B1 Prospectus filed pursuant to Rule 424(b)(1)
424B2 Prospectus filed pursuant to Rule 424(b)(2)
424B3 Prospectus filed pursuant to Rule 424(b)(3)
424B4 Prospectus filed pursuant to Rule 424(b)(4)
424B5 Prospectus filed pursuant to Rule 424(b)(5)
424B7 Prospectus filed pursuant to Rule 424(b)(7)
424B8 Prospectus filed pursuant to Rule 424(b)(8)
425 Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions
485APOS Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)
485BPOS Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing)
485BXT Post-effective amendment filed pursuant to Securities Act Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)
486APOS Post-effective amendment to filing filed pursuant to Securities Act Rule 486(a)
486BPOS Post-effective amendment to filing filed pursuant to Securities Act Rule 486(b)
487 Pre-effective pricing amendment filed pursuant to Securities Act Rule 487
497 Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497
497AD Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 and the Note to Rule 482(c)
497H2 Filings made pursuant to Rule 497(h)(2)
497J Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497
497K Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k) Cannot be used until March 31, 2009.
5 Annual statement of changes in beneficial ownership of securities
5/A Amendment to Annual statement of changes in beneficial ownership of securities
6-K Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments
6-K/A Amendment to Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments
8-A12B Form for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b)
8-A12B/A Amendment to Form for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b)
8-A12G Form for registration of a class of securities pursuant to section 12(g)
8-A12G/A Amendment to Form for registration of a class of securities pursuant to section 12(g)
8-K Current report filing
8-K/A Amendment to Current report filing
8-K12B Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(b)
8-K12B/A Amendment to Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(b)
8-K12G3 Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(g)
8-K12G3/A Amendment to Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(g)
8-K15D5 Notification of assumption of duty to report by successor issue under section 15(d)
8-K15D5/A Amendment to Notification of assumption of duty to report by successor issue under section 15(d)
ANNLRPT Periodic Development Bank filing, submitted annually
ANNLRPT/A Amendment to Periodic Development Bank filing, submitted annually
APP WD Withdrawal of an application for exemptive or other relief from the federal securities laws
APP WD/A Amendment to Withdrawal of an application for exemptive or other relief from the federal securities laws
ARS Annual report to security holders
ARS/A Amendment to Annual report to security holders
AW Withdrawal of amendment to a registration statement filed under the Securities Act
AW WD Withdrawal of a request for withdrawal of an amendment to a registration statement
CB Notification form filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons
CB/A Amendment to Notification form filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons
CORRESP A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
COVER A cover letter must be sent as a document with another submission type.
DEF 14A Definitive proxy statements
DEF 14C Definitive information statements
DEFA14A Additional definitive proxy solicitation materials
DEFA14C Definitive additional information statement materials including Rule 14(a)(12) material
DEFC14A Definitive proxy statement in connection with contested solicitations
DEFC14C Definitive information statement – contested solicitations
DEFM14A Definitive proxy statement relating to a merger,acquisition, or disposition
DEFM14C Definitive information statement relating to merger or acquisition
DEFN14A Definitive proxy statement filed by non management
DEFR14A Definitive revised proxy soliciting materials
DEFR14C Definitive revised information statement materials
DEL AM Separately filed delaying amendment under Securities Act Rule 473 to delay effectiveness of a 1933 Act registration statement
DFAN14A Definitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material
DFRN14A Revised definitive proxy statement filed by non-management
DSTRBRPT Distribution of primary obligations Development Bank report
DSTRBRPT/A Amendment to Distribution of primary obligations Development Bank report
F-1 Registration statement for securities of certain foreign private issuers
F-1/A Amendment to Registration statement for securities of certain foreign private issuers
F-10 Registration statement for securities of certain Canadian issuers under the Securities Act of 1933
F-10/A Amendment to Registration statement for securities of certain Canadian issuers under the Securities Act of 1933
F-10EF Auto effective registration statement for securities of certain Canadian issuers under the Securities Act of 1933
F-10POS Post-effective amendment to a F-10EF registration
F-1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-1
F-3 Registration statement for specified transactions by certain foreign private issuers
F-3/A Amendment to Registration statement for specified transactions by certain foreign private issuers
F-3ASR Automatic shelf registration statement of securities of well-known seasoned issuers
F-3D Registration statement for dividend or interest reinvestment plan securities of foreign private issuers
F-3DPOS Post-Effective amendment to a F-3D registration
F-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 3
F-4 Registration statement for securities issued by foreign private issuers in certain business combination transactions
F-4 POS Post-effective amendment to a F-4EF registration
F-4/A Amendment to Registration statement for securities issued by foreign private issuers in certain business combination transactions
F-4EF Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions
F-4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 4
F-6 Registration statement for American Depositary Receipts representing securities of certain foreign private issuers
F-6 POS Post-effective amendment to a F-6EF registration
F-6/A Amendment to Registration statement for American Depositary Receipts representing securities of certain foreign private issuers
F-6EF Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers
F-7 Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933
F-7 POS Post-effective amendment to a F-7 registration
F-7/A Amendment to Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933
F-8 Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933
F-8 POS Post-effective amendment to a F-8 registration
F-8/A Amendment to Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933
F-80 Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933
F-80/A Amendment to Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933
F-80POS Post-effective amendment to a F-80 registration
F-9 Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933
F-9 POS Post-effective amendment to a F-9EF registration
F-9/A Amendment to Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933
F-9EF Auto effective registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933
F-N Notification of the appointment of an agent for service by certain foreign institutions
F-N/A Amendment to Notification of the appointment of an agent for service by certain foreign institutions
FWP Filing under Securities Act Rules 163/433 of free writing prospectuses
F-X For appointment of agent for service of process by issuers registering securities
F-X/A Amendment to For appointment of agent for service of process by issuers registering securities
MODULE
N-1 Initial registration statement filed on Form N-1 for open-end management investment companies.
N-1/A Amendment to Initial registration statement filed on Form N-1 for open-end management investment companies.
N-14 Initial registration statement filed on Form N14 for open-end investment company, including those filed with automatic effectiveness under Rule 488 (business combinations)
N-14/A Amendment to Initial registration statement filed on Form N14 for open-end investment company, including those filed with automatic effectiveness under Rule 488 (business combinations)
N-14 8C Initial registration statement filed on Form N14 by closed-end investment company (business combinations)
N-14 8C/A Amendment to Initial registration statement filed on Form N14 by closed-end investment company (business combinations)
N-14MEF A new registration statement filed on Form N14 by closed end investment companies filed under Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on Form N-14
N-18F1 Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1
N-18F1/A Amendment to Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1
N-1A Initial registration statement filed on Form N1A for open-end management investment companies
N-1A/A Amendment to Initial registration statement filed on Form N1A for open-end management investment companies
N-2 Initial filing of a registration statement on Form N-2 for closed-end investment companies
N-2/A Amendment to Initial filing of a registration statement on Form N-2 for closed-end investment companies
N-23C-2 Notice by closed-end investment companies of intention to call or redeem their own securities under Investment Company Act Rule 23c-2
N-23C-2/A Amendment to Notice by closed-end investment companies of intention to call or redeem their own securities under Investment Company Act Rule 23c-2
N-23C3A Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only
N-23C3A/A Amendment to Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only
N-23C3B Filing pursuant to Rule 23c-3(c) only on Form N23C-3
N-23C3B/A Amendment to Filing pursuant to Rule 23c-3(c) only on Form N23C-3
N-23C3C Filing pursuant to Rule 23c-3(b) and (c) on Form N-23C-3
N-23C3C/A Amendment to Filing pursuant to Rule 23c-3(b) and (c) on Form N-23C-3
N-27D-1 Accounting for segregated trust accounts on Form N-27D-1
N-27D-1/A Amendment to Accounting for segregated trust accounts on Form N-27D-1
N-2MEF A new registration statement on Form N-2 filed under Securities Act Rule 462(b) by closed-end investment companies of up to an additional 20% of securities for an offering that was registered on Form N-2
N-3 Initial registration statement on Form N-3 for separate accounts (management investment companies)
N-3/A Amendment to Initial registration statement on Form N-3 for separate accounts (management investment companies)
N-30B-2 Periodic and interim reports mailed to investment company shareholders (other than annual and semi-annual reports mailed to shareholders pursuant to Rule 30e-1)
N-30D Initial annual and semi-annual reports mailed to investment company shareholders pursuant to Rule 30e-1 (other than those required to be submitted as part of Form NCSR)
N-30D/A Amendment to Initial annual and semi-annual reports mailed to investment company shareholders pursuant to Rule 30e-1 (other than those required to be submitted as part of Form NCSR)
N-4 Initial registration statement on Form N-4 for separate accounts (unit investment trusts)
N-4/A Amendment to Initial registration statement on Form N-4 for separate accounts (unit investment trusts)
N-5 Registration statement for small business investment companies
N-5/A Amendment to Registration statement for small business investment companies
N-54A Notification of election by business development companies filed on Form N-54A
N-54A/A Amendment to Notification of election by business development companies filed on Form N-54A
N-54C Notification of withdrawal by business development companies filed on Form N-54C
N-54C/A Amendment to Notification of withdrawal by business development companies filed on Form N-54C
N-6 Registration statement for separate accounts (unit investment trusts)
N-6/A Amendment to Registration statement for separate accounts (unit investment trusts)
N-6F Notice of intent by business development companies to elect to be subject to Sections 55 through 65 of the 1940 Act filed on Form N-6F
N-6F/A Amendment to Notice of intent by business development companies to elect to be subject to Sections 55 through 65 of the 1940 Act filed on Form N-6F
N-8A Initial notification of registration under section 8(a) filed on Form N-8A
N-8A/A Amendment to Initial notification of registration under section 8(a) filed on Form N-8A
N-8B-2 Initial registration statement for unit investment trusts filed on Form N-8B-2
N-8B-2/A Amendment to Initial registration statement for unit investment trusts filed on Form N-8B-2
N-8B-3 Initial registration statement for periodic payment plans filed on Form N-8B-3
N-8B-3/A Amendment to Initial registration statement for periodic payment plans filed on Form N-8B-3
N-8B-4 Initial registration statement for face-amount certificate companies filed on Form N-8B-4
N-8B-4/A Amendment to Initial registration statement for face-amount certificate companies filed on Form N-8B-4
N-8F Application for deregistration made on Form N8F
N-8F/A Amendment to Application for deregistration made on Form N8F
N-CSR Certified annual shareholder report of registered management investment companies filed on Form N-CSR
N-CSR/A Amendment to Certified annual shareholder report of registered management investment companies filed on Form N-CSR
N-CSRS Certified semi-annual shareholder report of registered management investment companies filed on Form N-CSR
N-CSRS/A Amendment to Certified semi-annual shareholder report of registered management investment companies filed on Form N-CSR
N-PX Annual Report of Proxy Voting Record of Registered Management Investment Companies filed on Form N-PX
N-PX/A Amendment to Annual Report of Proxy Voting Record of Registered Management Investment Companies filed on Form N-PX
N-Q Annual Report of Proxy Voting Record of Registered Management Investment Companies filed on Form N-PX
N-Q/A Amendment to Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company filed on Form N-Q
NSAR-A Semi-annual report for management companies filed on Form N-SAR
NSAR-A/A Amendment to Semi-annual report for management companies filed on Form N-SAR
NSAR-AT Transitional semi-annual report filed on Form NSAR
NSAR-AT/A Amendment to Transitional semi-annual report filed on Form NSAR
NSAR-B Annual report for management companies filed on Form N-SAR
NSAR-B/A Amendment to Annual report for management companies filed on Form N-SAR
NSAR-BT Transitional annual report filed on Form NSAR
NSAR-BT/A Amendment to Transitional annual report filed on Form NSAR
NSAR-U Annual report for unit investment trusts filed on Form N-SAR
NSAR-U/A Amendment to Annual report for unit investment trusts filed on Form N-SAR
NT 10-D Notice under Rule 12b25 of inability to timely file all or part of a Form 10-D
NT 10-D/A Amendment to Notice under Rule 12b25 of inability to timely file all or part of a Form 10-D
NT 10-K Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT
NT 10-K/A Amendment to Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT
NT 10-Q Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB
NT 10-Q/A Amendment to Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB
NT 11-K Notice under Rule 12b25 of inability to timely file all or part of a form 11-K
NT 11-K/A Amendment to Notice under Rule 12b25 of inability to timely file all or part of a form 11-K
NT 15D2 Notice under Rule 12b25 of inability to timely file a special report pursuant to section 15d-2
NT 15D2/A Amendment to Notice under Rule 12b25 of inability to timely file a special report pursuant to section 15d-2
NT 20-F Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F
NT 20-F/A Amendment to Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F
NT-NCSR Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report)
NT-NCSR/A Amendment to Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report)
NT-NSAR Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR
NT-NSAR/A Amendment to Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR
POS 8C Post-effective amendment filed under the 1933 Act only or under both the 1933 and 1940 Acts pursuant to Section 8(c) of the 1933 Act by closed-end investment companies (this filing cannot be submitted as a 1940 Act only filing)
POS AM Post-effective amendment to a registration statement that is not immediately effective upon filing
POS AMI Post-effective amendment (for filings made under the 1940 Act only)
POS EX Post-effective amendment filed solely to add exhibits to a registration statement
POS462B Post-effective amendment to Securities Act Rule 462(b) registration statement
POS462C Post-effective amendment to a registration statement filed under Rule 462(c)
POSASR Post-effective Amendment to an automatic shelf registration statement on Form S-3ASR or Form F-3ASR
PRE 14A Preliminary proxy statement not related to a contested matter or merger/acquisition
PRE 14C Preliminary information statement not related to a contested matter or merger/acquisition
PREC14A Preliminary proxy statement in connection with contested solicitations
PREC14C Preliminary information statements – contested solicitations
PREM14A Preliminary proxy statement relating to a merger, acquisition, or disposition
PREM14C Preliminary information statements relating to merger or acquisition
PREN14A Preliminary proxy statement filed by non-management
PRER14A Preliminary revised proxy soliciting materials
PRER14C Preliminary revised information statements
PRRN14A Revised preliminary proxy statement filed by non-management
PX14A6G Notice of exempt solicitation
PX14A6N Notice of exempt solicitation for the purpose of determining whether to solicit proxies, consents, or authorizations in opposition to a proposed roll-up transaction filed pursuant to Rule 14a6(g) of the Securities Exchange Act of 1934
QRTLYRPT Periodic Development Bank filing, submitted quarterly
QRTLYRPT/A Amendment to Periodic Development Bank filing, submitted quarterly
RW Registration Withdrawal Request
RW WD Withdrawal of a Registration Withdrawal Request
S-1 General form of registration statement for all companies including face-amount certificate companies
S-1/A Amendment to General form of registration statement for all companies including face-amount certificate companies
S-11 Registration statement for securities to be issued by real estate companies
S-11/A Amendment to Registration statement for securities to be issued by real estate companies
S-11MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 11
S-1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 1
S-20 Registration statement for standardized options
S-20/A Amendment to Registration statement for standardized options
S-3 Registration statement for specified transactions by certain issuers
S-3/A Amendment to Registration statement for specified transactions by certain issuers
S-3ASR Automatic shelf registration statement of securities of well-known seasoned issuers
S-3D Automatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans
S-3DPOS Post-effective amendment to a S-3D registration statement
S-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 3
S-4 Registration of securities issued in business combination transactions
S-4 POS Post-effective amendment to a S-4EF registration statement
S-4/A Amendment to Registration of securities issued in business combination transactions
S-4EF Auto effective registration statement for securities issued in connection with the formation of a bank or savings and loan holding company in compliance with General Instruction G
S-4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-4
S-6 Initial registration statement filed on Form S-6 for unit investment trusts
S-6/A Amendment to Initial registration statement filed on Form S-6 for unit investment trusts
S-8 Initial registration statement for securities to be offered to employees pursuant to employee benefit plans
S-8 POS Post-effective amendment to a S-8 registration statement
S-B Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B)
S-B/A Amendment to Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B)
S-BMEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-B
SC 13D Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities
SC 13D/A Amendment to Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities
SC 13E1 Schedule 13-E1 statement of issuer required by Rule 13e-1
SC 13E1/A Amendment to Schedule 13-E1 statement of issuer required by Rule 13e-1
SC 13E3 Schedule filed to report going private transactions
SC 13E3/A Amendment to Schedule filed to report going private transactions
SC 13G Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions
SC 13G/A Amendment to Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions
SC 14D9 Tender offer solicitation / recommendation statements filed under Rule 14d-9
SC 14D9/A Amendment to Tender offer solicitation / recommendation statements filed under Rule 14d-9
SC 14F1 Statement regarding change in majority of directors pursuant to Rule 14f-1
SC 14F1/A Amendment to Statement regarding change in majority of directors pursuant to Rule 14f-1
SC TO-C Written communication relating to an issuer or third party tender offer
SC TO-I Issuer tender offer statement
SC TO-I/A Amendment to Issuer tender offer statement
SC TO-T Third party tender offer statement
SC TO-T/A Amendment to Third party tender offer statement
SC13E4F Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers
SC13E4F/A Amendment to Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers
SC14D1F Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers
SC14D1F/A Amendment to Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers
SC14D9C Written communication by the subject company relating to a third party tender offer
SC14D9F Solicitation/recommendation statement pursuant to Section 14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c) by foreign issuers
SC14D9F/A Amendment to Solicitation/recommendation statement pursuant to Section 14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c) by foreign issuers
SEGMENT
SH-ER Weekly Form SH Entries Report Filed by Institutional Investment Managers
SH-ER/A Amendment to Weekly Form SH Entries Report Filed by Institutional Investment Managers
SH-NT Weekly Form SH Notice Report Filed by Institutional Investment Managers
SH-NT/A Amendment to Weekly Form SH Notice Report Filed by Institutional Investment Managers
SP 15D2 Special Financial Report filed under Rule 15d-2
SP 15D2/A Amendment to Special Financial Report filed under Rule 15d-2
SUPPL Voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers
T-3 Initial application for qualification of trust indentures
T-3/A Amendment to Initial application for qualification of trust indentures
T-6 Application for determination of eligibility of a foreign person to act as institutional trustee filed pursuant to Section 310(a)(1) of the Trust Indenture Act of 1939
T-6/A Amendment to Application for determination of eligibility of a foreign person to act as institutional trustee filed pursuant to Section 310(a)(1) of the Trust Indenture Act of 1939
TA-2 Form for reporting activities of transfer agents registered pursuant to Section 17a of the Securities Exchange Act of 1934
UNDER Initial undertaking to file reports
UNDER/A Amendment to Initial undertaking to file reports