EDGAR (SEC)  Filings
		SECURITIES EXCHANGE ACT FORMS ACCEPTED BY EDGAR Form Header Type Header Description Form Description Annual Report ARS Annual Report Annual report to security holders Form 6-K 6-K 6-K/A Initial Filing Amendments Report filed by certain foreign private issuers to furnish information required by its country of domicile, foreign stock exchanges or distributed to security holders. Form 10-Q 10-Q 10-Q/A 10-QT 10-QT/A Initial Filing Amendments Initial Filing Amendments Quarterly or transition report that contains unaudited financial statements and an update of the company's financial position. Form 10-K 10-K 10-K/A 10-KT 10-KT/A Initial Filing Amendments Initial Filing Amendments Annual or transition report that must be filed within 90 days after the company's fiscal year and provides a comprehensive overview of the company's business. (Regulation S-K Item 504 box on the cover page is NOT checked.) Form 10-K405 10-K405 10-K405/A 10-KT405 10-KT405/A Initial Filing Amendments Initial Filing Amendments Annual or transition report where the Regulation S-K Item 504 box on the cover page is checked (see form 10-K). Form 10-KSB 10-KSB 10-KSB/A Initial Filing Amendments A small business quarterly report (see Form 10-Q). Form 10-KSB405 10-KSB 10-KSB/A Initial Filing Amendments A small business quarterly report (see Form 10-Q). Form 20-F 20-F 20-F/A Initial Filing Amendments Annual or transition report for certain foreign private issuers. Form 18-K 18-K 18-K/A Initial Filing Amendments Annual report of foreign governments and political subdivisions. Form 10-C 10-C 10-C/A Initial Filing Amendments Report by issuers of securities quoted on NASDAQ inter-dealer quotation system. Form 11-K 11-K 11-K/A 11-KT 11-KT/A Initial Filing Amendments Initial Filing Amendments Annual or transition report of employee stock purchase, savings and similar plans. Form 8-K 8-K 8-K/A Initial Filing Amendments A "current report" which is filed to report the occurrence of any material events or corporate changes that are of importance to investors or security holders and have not yet been reported by the company. 8-K12G3 8-K12G3/A Initial Filing Amendments Notification of securities of successor issuers deemed to be registered. 8-K15D5 8-K15D5/A Initial Filing Amendments Notification of assumption of duty to report by successor issuer. Form 15 15-12B 15-12B/A 15-12G 15-12G/A 15-15D 15-15D/A Initial Filing Amendments Initial Filing Amendments Initial Filing Amendments Certification of termination of registration of a class of securities under Section 12(b) and 12(g), or notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Securities Exchange Act. SP 15D2 SP 15D2/A Initial Filing Amendments Special financial report required under Regulatoin 15D Form 10 10-12B 10-12B/A 10-12G 10-12G/A Initial Filing Amendments Initial Filing Amendments General registration form that is used under the Securities Exchange Act when no other form is prescribed. Form 10-SB 10SB12B 10SB12B/A 10SB12G 10SB12G/A Initial Filing Amendments Initial Filing Amendments Registration of securities under the Securities Exchange Act for small business issuers. Form 8A 8-A12B 8-A12B/A 8-A12G 8-A12G/A Initial Filing Amendments Initial Filing Amendments Registration of certain classes of securities pursuant to section 12(b) or 12(g). 8-A12BEF   Registration of listed debt securities pursuant to section 12(b) - filing to become effective automatically upon filing. 8-A12BT 8-A12BT/A Initial Filing Amendments Registration of listed debt securities pursuant to section 12(b) - filing to become effective simultaneously with the effectiveness of a concurrent Securities Act registration statement. Form 18 18-12B 18-12B/A 18-12G 18-12G/A Initial Filing Amendments Initial Filing Amendments Registration of foreign governments or political subdivisions securities under the Securities Exchange Act. Form 8B 8-B12B 8-B12B/A 8-B12G 8-B12G/A Initial Filing Amendments Initial Filing Amendments Specialized registration form that may be used by an issuer with no securities registered under the Securities Exchange Act which is the successor to another issuer which had registered securities. Form 20F 20FR12B 20FR12B/A 20FR12G 20FR12G/A Initial Filing Amendments Initial Filing Amendments Registration statement for certain foreign private issuers. Form 13F-E 13F-E 13F-E/A Initial Filing Amendments Quarterly report filed by institutional managers. Form 12B-25 NT 15D2 NT 15D2/A *NTN15D2 Initial Filing Amendments Issued by SEC Notification of late filing of special report under Regulation 15D NT 10-Q NT 10-Q/A *NTN 10Q Initial Filing Amendments Issued by SEC Notification of late filing of Form 10-Q or 10-QSB NT 10-K NT 10-K/A *NTN 10K Initial Filing Amendments Issued by SEC Notification of late filing of Form 10-K or 10-KSB NT 11-K NT 11-K/A *NTN 11K Initial Filing Amendments Issued by SEC Notification of late filing of Form 11-K NT 20-F NT 20-F/A *NTN 20F Initial Filing Amendments Issued by SEC Notification of late filing of Form 20-F *Note: These header types are controlled and issued by the SEC and indicate that the Form 12B-25 was filed late. SECURITIES ACT FORMS ACCEPTED BY EDGAR Form Header Type Header Description Form Description Form F-1 F-1 F-1/A Initial Statement Pre-effective amend Registration statement for certain foreign private issuers. Form F-2 F-2 F-2/A Initial Statement Pre-effective amend Registration statement for certain foreign private issuers. F-2D F2DPOS Initial Statement Post-effective amend Registration of securities pursuant to dividend or interest reinvestment plans for certain foreign private issuers. Form F-3 F-3 F-3/A Initial Statement Pre-effective amend Registration statement for certain foreign private issuers offered pursuant to certain types of transactions. F-3D F3DPOS Initial Statement Post-effective amend Registration of securities pursuant to dividend or interest reinvestment plans for certain foreign private issuers. Form F-4 F-4 F-4/A Initial Statement Pre-effective amend Registration statement for foreign private issuers issued in certain business combination transactions. Form F-6 F-6 F-6/A Initial Statement Pre-effective amend Registration of depository shares evidenced by American Depositary Receipts Filing to become effective other than immediately upon filing. F-6EF F6EF/A F-6 POS Initial Statement Pre-effective amend Post-effective amend Registration of depositary shares evidenced by American Depositary Receipts Filing to become effective immediately upon filing. Form S-1 S-1 S-1/A Initial Statement Pre-effective amend General and comprehensive registration statement (the Initial Public Offering filing) Form S-2 S-2 S-2/A Initial Statement Pre-effective amend Registration of securities of certain issuers Form S-3 S-3 S-3/A Initial Statement Pre-effective amend Registration statement for certain issuers offered pursuant to certain types of transactions S-3D S-3DPOS Initial Statement Post-effective amend Registration of securities pursuant to dividend or interest reinvestment plans which become effective automatically upon filing. Form S-4 S-4 S-4/A Initial Statement Pre-effective amend Registration of securities issued in business combination transactions. S-4EF S-4EF/A S-4 POS Initial Statement Pre-effective amend Post-effective amend Securities issued in connection with the formation of a bank of savings and loan, or holding company in compliance with General Instruction G. Form S-8 S-8 S-8 POS Initial Statement Post-effective amend Registration of securities to be offered to employees pursuant to employee benefit plans. Form S-11 S-11 S-11/A Initial Statement Pre-effective amend Registration of securities of certain real estate companies. Form S-20 S-20 S-20/A Initial Statement Pre-effective amend Registration of standardized options. Form SB-1 SB-1 SB-1/A Initial Statement Pre-effective amend Optional form for the registration of securities to be sold to the public by small business issuers. Form SB-2 SB-2 SB-2/A Initial Statement Pre-effective amend Optional form for the registration of securities to be sold to the public by small business issuers. All Forms POS AM Post-effective amend Post-effective amendments. Prospectus 424A 424B1 424B2 424B3 424B4 424B5 Filed pursuant to Rule 424(a), 424(b)1, etc. Prospectus filed pursuant to Rule 424 under the Securities Act. Misc. Filings DEL AM UNDER UNDER/A RW AW Delaying amend Information pursuant to Item 4 of Form S-6 Amendment to information Item 4 of Form S-6 Registration withdrawal Amendment withdrawal   PROXY MATERIALS ACCEPTED BY EDGAR Proxy Type Header Type Header Description Preliminary proxy soliciting materials PREM14A Preliminary proxy statement relating to merger or acquisition PREC14A Preliminary proxy statement-contested solicitation PRES14A Preliminary special meeting PREN14A Non-management preliminary proxy statements not involving contested solicitations PRE 14A All other preliminary proxy statements Preliminary information statements PREM14C Preliminary information statement relating to merger or acquisition PREC14C Preliminary information statement-contested solicitation PRES14C Preliminary information statement-special meeting PRE 14C All other preliminary proxy statements Revised preliminary materials PRER14A Proxy soliciting materials PRRN14A Non-management revised preliminary proxy soliciting materials for both contested solicitations and other situations PRER14C Information statement Schedule 13E-3 filed as part of proxy materials PRE13E3 Initial-statement-preliminary form PRE13E3/A Amendment-preliminary materials DEF13E3 Schedule filed as definitive materials DEF13E3/A Amendment-definitive materials Definitive materials-proxy materials DEFM14A Definitive proxy statement relating to merger or acquisition DEFC14A Definitive proxy statement-contested solicitation DEFN14A Definitive proxy statement filed by non-management NOT in connection with contested solicitations DEF 14A All other definitive proxy statements DFRN14A Revised definitive proxy statement filed by non-management DEFR14A Revised definitive proxy soliciting materials DEFA14A Additional definitive proxy soliciting materials DFAN14A Additional definitive proxy soliciting materials filed by non-management DEFS14A Definitive proxy statement for special meeting PX14A6G Notice of exempt solicitation PX41A6N Notice of exempt preliminary Definitive materials-information statements DEFM14C Definitive information statement relating to merger or acquisition DEFC14C Definitive information statement-contested solicitation DEF 14C All other definitive information statements DEFA14C Additional definitive information materials DEFR14C Revised definitive information statement materials DEFS14C Definitive information statement for special meeting WILLIAMS ACT FORMS ACCEPTED BY EDGAR Form Header Type Header Description Form Description Schedule 13D SC 13D SC 13D/A Initial Filing Amendments General statement of beneficial ownership of securities SC 13E1 SC13E1/A Initial Filing Amendments Statement of issuer required by Rule 13e-1 of the Securities Exchange Act Schedule 13E-3 SC 13-E3 SC 13E3/A Initial Filing Amendments "Going private" transaction by certain issuers Schedule 13E-4 SC 13-E4 SC 13E4/A Initial Filing Amendments Tender offer statement for the issuer's own securities Schedule 13G SC 13G SC 13G/A Initial Filing Amendments Annual filing by certain beneficial owners of securities Schedule 14D-1 SC 14D1 SC 14D1/A Initial Filing Amendments Tender offer statement Schedule 14D-9 SC 14D9 SC 14D9/A Initial Filing Amendments Solicitation/recommendation statement regarding a tender offer SC 14F1 SC 14F1/A Initial Filing Amendments Statement regarding a change in majority of directors INVESTMENT COMPANY ACT FORMS ACCEPTED BY EDGAR Form Header Type Header Description Form Description Form S-1 & Form S-3 S-1 S-1/A POS AMI S-3 S-3/A 497 497J Initial Statement Pre-effective amend Post-effective amend Initial Statement Pre-effective amend Definitive materials Certification of no charge in definitive materials Registration statement for face-amount certificate companies. Form N-1 & Form N-1/A N-1 N-1/A Initial Statement Pre-effective amend Registration statement for open-end management investment companies that are separate accounts of insurance companies N-1A Initial statement Registration statement of open-ended management investment companies other than registered separate accounts of insurance companies N-1A/A Pre-effective amend *N-1A EL Initial statement w/24F-2 election N-1A EL/A Pre-effective amend 485APOS Filed pursuant to Rule 485(a) *485A24E Filed pursuant to Rule 485(a) w/add. shs. under 24e-2 485A24F Filed pursuant to Rule 485(a) w/24f-2 election 485BPOS Filed pursuant to Rule 485(b) POS AMI Post-effective amend *485B24E Filed pursuant to Rule 485(b) wq/add. shs. under 24e-2 *485B24F Filed pursuant to Rule 485(b) w/24e-3 election 497 Definitive materials 497J Certificate of no charge in definitive materials *NOTE: This filing cannot be submitted as an Investment Form N-2 N-2 N-2/A POS AMI 497 497J Initial Statement Pre-effective amend Post-effective amend Definitive materials Certificate of no charge in definitive materials Registration for closed-end management investment companies Form N-3 N-3 Initial Statement Registration statement of separate accounts that offer variable annuity contracts and are organized as management investment companies. N-3/A Pre-effective amend *N-3 EL Initial statement w/24f-2 election N-3 EL/A Pre-effective amend 485APOS Post-effective amend pursuant to Rule 485(a) *485A24E Filed pursuant to Rule 485(a) w/add. shs. under 24e-2 *485A24F Filed pursuant to Rule 485(a) w/24f-2 election 485BPOS Filed pursuant to Rule 485(b) *485B24E Filed pursuant to Rule 485(b) w/add. shs. under 24e-2 *485B24F Filed pursuant to Rule 485(b) w/add. shs. under 24e-2 POS AMI Filed pursuant to Rule 8b-16 497 Definitive materials 497J Certification of no change in definitive materials *NOTE: This filing cannot be submitted as an Investment Company Act of 1940 filing only. Form N-4 N-4 Initial Statement Registration statement of separate accounts that offer variable annuity contracts to register as unit investment trusts. N-4/A Pre-effective amend *N-4 EL Initial statement w/24f-2 election N-4 EL/A Pre-effective amend 487 Pre-effective pricing amend filed pursuant to Rule 487 485APOS Post-effective amend filed pursuant to Rule 485(a) 485A24E Filed pursuant to Rule 485(a) w/add. shs. under 24e-2 485BPOS Filed pursuant to Rule 485(b) *485B24E Filed pursuant to Rule 485(b) w/add. shs. under 24e-2 *485B24F Filed pursuant to Rule 485(b) w/add. shs. under 24e-2 POS AMI Filed pursuant to Rule 8b-16 497 Definitive materials 497J Certification of no change in definitive materials *NOTE: This filing cannot be submitted as an Investment Company Act of 1940 filing only. Form S-6 S-6 Initial Statement Registration statement for unit investment trusts S-6/A Pre-effective amend S-6EL24 Initial statement w/24f-2 election S-6EL24/A Post-effective amend 487 Pre-effective pricing amend filed pursuant to Rule 487 485APOS Post-effective amend filed pursuant to Rule 485(a) 485A24E Filed pursuant to Rule 485(a) w/add. shs. under 24e-2 485A24F Filed pursuant to Rule 485(a) w/add. shs. under 24f-2 485BPOS Post-effective amend filed pursuant to Rule 485(b) 485B24E Filed pursuant to Rule 485(a) w/add. shs. under 24e-2 485B24F Filed pursuant to Rule 485(a) w/add. shs. under 24f-2 497 Definitive materials 497J Certification of no change in definitive materials Form N-5 N-5 Initial Statement Registration statement for small business investment companies. N-5/A Pre-effective amend POS AMI Post-effective amend 497 Definitive materials 497J Certification of no change in definitive materials Form N-14 N-14 Initial Statement Registration of securities issued in business combination transactions by investment companies and business development companies. N-14/A Pre-effective amend N-14EL24 Initial statement w/24f-2 election N14EL24/A Pre-effective amend N-14AE Initial statement w/automatic effectiveness N-14AE/A Pre-effective amend N14AE24 Initial statement w/automatic effectivenss w/24f-2 election N14AE24/A Pre-effective amend 497 Definitive materials 497J Certification of no change in definitive materials Form N-8A N-8A N-8A/A Initial filing Amendments Notification of registration Form N-8B-2 N-8B-2 N-8B-2/A Initial filing Amendments Registration statement of unit investment trusts which are currently issuing securities Form N-8B-3 N-8B-3 N-8B-3/A Initial filing Amendments Registration statement of unincorporated management investment companies currently issuing periodic payment plan certificates. Form N-8B-4 N-8B-4 N-8B-4/A Initial filing Amendments Registration statement of face-amount certificate companies. Form N-18F-1 N-18F-1 N-18F-1/A Initial filing Amendments Notification of election by registered open-end investment company to commit itself to pay in cash all redemption request by a shareholder of record. Form N-23C-1 N-23C-1 N-23C-1/A Initial filing Amendments Report by registered close-end investment company of repurchase of its own securities during the last month. Form N-27D-1 N-27D-1 N-27D-1/A Initial filing Amendments Annual report of accounts of segregated trust by depositor or principal underwriter. Form N-6C9 N-6C9 N-6C9/A Initial filing Amendments Exemptions for foreign banks under Rule 6(c)9(c). Form 2-E 2E 2-E/A Initial filing Amendments Report of sales of securities pursuant to Regulation E. Form N-SAR NSAR-A NSAR-A/A Initial Filing Amendments Semi-annual report for management companies NSAR-AT NSAR-AT/A Initital Filing Amendments Transitional semi-annual report NSAR-B NSAR-B/A Initial Filing Amendments Annual report for management companies NSAR-BT NSAR-BT/A Initial Filing Amendments Transitional annual report NSAR-U NSAR-U/A Initial Filing Amendments Annual report for unit investment trusts NT-NSAR NT-NSAR/A *NTFNSAR Initial Filing Amendments Issued by SEC Request for extension of time for filing form N-SAR Form N-30D N-30D N-30D/A Initial Filing Amendments Semi-annual reports mailed to shareholders Form N-30B-2 N-30B-2 Filing Periodic and interim reports mailed to shareholders Rule 24f-1 24F-1 Notification of election Retroactive registration of certain investment company shares sold in excess of number of shares included in an effective registration statement Rule 24f-2 24F-2EL 24F-2EL/A 24F-2NT Declaration of election Amendments Rule 24f-2 notice Amendments Termination of declaration of election Amendments Request for extension of time for filing form N-SAR Note: This header type is controlled and issued by the SEC and indicates that the Form 12B-25 was filed late. Rule 24f-3 24F-3NT 24F-3NT/A Initial Filing Amendments Notice for secondary securities registration of unit investment trusts Rule 6-F N-6F N-6F/A Initial Filing Amendments Notice of intent to elect to be a business development company. Rule N-54A N-54A N-54A/A Initial Filing Amendments Notification of election to be a business development company. Rule N-54C N-54C N-54C/A Initial Filing Amendments Notification of withdrawal of election to be a business development company. TRUST INDENTURE ACT FORMS ACCEPTED BY EDGAR Form Header Type Header Description Form Description Form T-3 T-3 T-3/A Initial Statement Pre-Effective amend Application for qualification of trust indentures Form T-1 N/A Not a stand-alone form on EDGAR Filed as EX-25 to registration statements Form T-2 N/A Not a stand-alone form on EDGAR Filed as EX-25 to registration statements 305B2 305B2 305B2/A Initial Statement Pre-effective amend This form is essentially a Form T-1 (shelf registration statement) with an effective date set automatically for 10 days after it is received by the SEC. PUBLIC UTILITY HOLDING COMPANY ACT FORMS ACCEPTED BY EDGAR Form Header Type Header Description Form Description Form U-1 U-1 U-1/A POS AMC Initial Filing Pre-Effective amend Post-effective amend Application or declaration regarding sale and acquisition of assets and securities by registered holding companies and subsidiaries. Form U-13-1 U-13-1 U-13-1/A Initial Filing Amendments Application for approval of mutual service company. Form U-3A3-1 U-3A3-1 U-3A3-1/A Initial Filing Amendments Twelve-month statement by bank claiming exemption from provisions of the Public Utility Holding Company Act. Form U-7D U-7D U-7D/A Initial Filing Amendments Certificate concerning lease of a utility facilities and nuclear fuel. Form U-R-1 U-R-1 U-R-1/A Initial Filing Amendments Declaration with respect to solicitation regarding reorganization of registered holding company or subsidiary. Form 45B-3 45B-3 45B-3/A Initial Filing Amendments Transitional statement concerning extensions of credit filed. Form 35 APP 35-APP 35-APP/A Initial Filing Amendments Statement concerning proposed transaction for which no form of application is prescribed. Form 35-CERT 35-CERT 35-CERT/A Initial Filing Amendments Certificate concerning terms and conditions filed pursuant to Rule 24. Form U-13-60 U-13-60 U-13-60 Initial Filing Amendments Annual report for mutual subsidiary service companies. Form U-3A-2 U-3A-2 U-3A-2/A Initial Filing Amendments Annual report for exempt holding companies which are intrastate or predominately operating companies. Form U-6B-2 U-6B-2 U-6B-2/A Initial Filing Amendments Certificate of notification of security issues, renewals or guaranties exempt under the Public Utility Holding Company Act. Form U5A U5A U5A/A Initial Filing Amendments Notification of registration filed under section 5(a) of the Public Utility Holding Company Act. Form U5B U5B U5B/A Initial Filing Amendments Registration statement by public utility holding companies providing financial and other information concerning the issue and sale of securities. Form U5S U5S U5S/A Initial Filing Amendments Annual report for holding companies registered pursuant to Section 5 of the Public Utility Holding Company Act. Form U-12(I)B U-12-1B U-12-1B/A Initial Filing Amendments Advanced annual statement by certain persons regularly employed or retained by a registered holding company or subsidiary and whose employment contemplates only routine expenses. Form U-13E-1 U-13E-1 U-13E-1/A Initial Filing Amendments Report by an affiliate service company or one engaged principally in performance of service proposing to take any step in performance of service, construction or sale of goods. Form U-33-S U-33-S U-33-S/A Initial Filing Amendments Annual report filed, on or before May 1 of each year, by a public utility company that is an associate of one or more foreign utility companies, unless such public utility company is an associate of a registered holding company, or of a holding company exempt from registration. Form U-57 U-57 U-57/A Initial Filing Amendments Notification of status as a foreign utility company. PROPOSED SECURITIES ACT FORM TYPES In February 1995, the SEC issued proposals which would, among other matters, necessitate the addition of several new form types to EDGAR in order to implement two solutions to prospectus delivery issues arising in connection with the change to T+3 securities transaction statement. In anticipation of these proposals being adopted, the EDGAR system has been modified to accommodate this rulemaking. If the proposals are adopted, the new form types would include: Form Header Type Form Description Form F-1MEF F-1MEF Registration pursuant to proposed Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a Form F-1. Form F-2MEF F-2MEF Registration pursuant to proposed Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a Form F-2. Form F-3MEF F-3MEF Registration pursuant to proposed Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a Form F-3. Form S-1MEF S-1MEF Registration pursuant to proposed Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a Form S-1. Form S-2MEF S-2MEF Registration pursuant to proposed Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a Form S-2. Form S-3MEF S-3MEF Registration pursuant to proposed Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a Form S-3. Form S-11MEF S-11MEF Registration pursuant to proposed Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a Form S-11. Form SB-1MEF SB-1MEF Registration pursuant to proposed Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a Form SB-1. Form SB-2MEF SB-2MEF Registration pursuant to proposed Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a Form SB-2. POS462B POS462B Post-effective amendment to proposed Securities Act Rule 462(b) registration statement. Prospectus 424B6 424E Filed pursuant to Rules 424(b)(6) and 424E, respectively.
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