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src="//upload.wikimedia.org/wikipedia/commons/thumb/1/1c/Seal_of_the_United_States_Securities_and_Exchange_Commission.svg/220px-Seal_of_the_United_States_Securities_and_Exchange_Commission.svg.png" decoding="async" width="220" height="220" class="mw-file-element" srcset="//upload.wikimedia.org/wikipedia/commons/thumb/1/1c/Seal_of_the_United_States_Securities_and_Exchange_Commission.svg/330px-Seal_of_the_United_States_Securities_and_Exchange_Commission.svg.png 1.5x, //upload.wikimedia.org/wikipedia/commons/thumb/1/1c/Seal_of_the_United_States_Securities_and_Exchange_Commission.svg/440px-Seal_of_the_United_States_Securities_and_Exchange_Commission.svg.png 2x" data-file-width="720" data-file-height="720" /></a><figcaption>Securities and Exchange Commission (SEC) logo</figcaption></figure> <p>The <b>SEC filing</b> is a <a href="/wiki/Financial_statements" class="mw-redirect" title="Financial statements">financial statement</a> or other formal document submitted to the <a href="/wiki/U.S._Securities_and_Exchange_Commission" title="U.S. Securities and Exchange Commission">U.S. Securities and Exchange Commission</a> (SEC). <a href="/wiki/Public_company" title="Public company">Public companies</a>, certain insiders, and <a href="/wiki/Broker-dealer" title="Broker-dealer">broker-dealers</a> are required to make regular SEC filings. <a href="/wiki/Investor" title="Investor">Investors</a> and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. Many, but not all SEC filings are available online through the SEC's <a href="/wiki/EDGAR" class="mw-redirect" title="EDGAR">EDGAR</a> (Electronic Data Gathering, Analysis, and Retrieval) database and as structured datasets in the Harvard Dataverse. <sup id="cite_ref-1" class="reference"><a href="#cite_note-1"><span class="cite-bracket">[</span>1<span class="cite-bracket">]</span></a></sup> <sup id="cite_ref-2" class="reference"><a href="#cite_note-2"><span class="cite-bracket">[</span>2<span class="cite-bracket">]</span></a></sup> <sup id="cite_ref-3" class="reference"><a href="#cite_note-3"><span class="cite-bracket">[</span>3<span class="cite-bracket">]</span></a></sup> </p> <meta property="mw:PageProp/toc" /> <div class="mw-heading mw-heading2"><h2 id="Common_filing_types">Common filing types</h2><span class="mw-editsection"><span class="mw-editsection-bracket">[</span><a href="/w/index.php?title=SEC_filing&action=edit&section=1" title="Edit section: Common filing types"><span>edit</span></a><span class="mw-editsection-bracket">]</span></span></div> <p>The most commonly filed SEC forms are the 10-K and the 10-Q. These forms are composed of four main sections: The business section, the F-pages, the Risk Factors, and the MD&A. The business section provides an overview of the Company. The F-pages contain the financial statements which are either audited or reviewed by an independent auditor. </p><p>The Risk Factors contain a list of all of the potential risks that exist for the company. While the MD&A contains a narrative about the financial results of the company. This narrative is also accompanied by management's expectations for the upcoming year.<sup id="cite_ref-4" class="reference"><a href="#cite_note-4"><span class="cite-bracket">[</span>4<span class="cite-bracket">]</span></a></sup> </p> <table class="wikitable" border="1"> <tbody><tr> <th>Form name </th> <th>Description </th></tr> <tr> <td>F-1 </td> <td>Registration statement for certain foreign private issuers </td></tr> <tr> <td><a href="/wiki/Form_D" title="Form D">Form D</a> </td> <td>An exempt offering of securities under <a href="/wiki/Regulation_D_(SEC)" title="Regulation D (SEC)">Regulation D</a> </td></tr> <tr> <td><a href="/wiki/Form_3" title="Form 3">3</a> </td> <td>Initial statement of beneficial ownership (Insider transactions) </td></tr> </tbody></table> <p>Other filings are required with respect to <a href="/wiki/Securities_offering" title="Securities offering">offerings</a> by <a href="/wiki/Privately_held_company" title="Privately held company">private companies</a>. 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href="mw-data:TemplateStyles:r1129693374"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1129693374"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1129693374"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1129693374"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1129693374"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1129693374"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1129693374"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1129693374"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1129693374"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1129693374"><table class="sidebar sidebar-collapse nomobile nowraplinks accounting"><tbody><tr><td class="sidebar-pretitle">Part of <a href="/wiki/Category:Accounting" title="Category:Accounting">a series</a> on</td></tr><tr><th class="sidebar-title-with-pretitle"><a href="/wiki/Accounting" title="Accounting">Accounting</a></th></tr><tr><td class="sidebar-image"><span class="notpageimage" typeof="mw:File"><a href="/wiki/File:Ledger.png" class="mw-file-description" title="Early 19th-century German ledger"><img alt="Early 19th-century German ledger" src="//upload.wikimedia.org/wikipedia/commons/thumb/e/e6/Ledger.png/200px-Ledger.png" decoding="async" width="200" height="105" class="mw-file-element" srcset="//upload.wikimedia.org/wikipedia/commons/thumb/e/e6/Ledger.png/300px-Ledger.png 1.5x, //upload.wikimedia.org/wikipedia/commons/thumb/e/e6/Ledger.png/400px-Ledger.png 2x" data-file-width="1706" data-file-height="896" /></a></span></td></tr><tr><td class="sidebar-above"> <div class="hlist"><ul><li><a href="/wiki/Historical_cost" title="Historical cost">Historical cost</a></li><li><a href="/wiki/Constant_purchasing_power_accounting" title="Constant purchasing power accounting">Constant purchasing power</a></li><li><a href="/wiki/Management_accounting" title="Management accounting">Management</a></li><li><a href="/wiki/Tax_accounting_in_the_United_States" title="Tax accounting in the United States">Tax</a></li></ul></div></td></tr><tr><td class="sidebar-content"> <div class="sidebar-list mw-collapsible mw-collapsed noborder"><div class="sidebar-list-title" style="color: var(--color-base)">Major types</div><div class="sidebar-list-content mw-collapsible-content"><div class="hlist"><ul><li><a href="/wiki/Audit" title="Audit">Audit</a></li><li><a href="/wiki/Budget" title="Budget">Budget</a></li><li><a href="/wiki/Cost_accounting" title="Cost accounting">Cost</a></li><li><a href="/wiki/Forensic_accounting" title="Forensic accounting">Forensic</a></li><li><a href="/wiki/Financial_accounting" title="Financial accounting">Financial</a></li><li><a href="/wiki/Fund_accounting" title="Fund accounting">Fund</a></li><li><a href="/wiki/Governmental_accounting" title="Governmental accounting">Governmental</a></li><li><a href="/wiki/Management_accounting" title="Management accounting">Management</a></li><li><a href="/wiki/Social_accounting" title="Social accounting">Social</a></li><li><a href="/wiki/Tax_accounting" class="mw-redirect" title="Tax accounting">Tax</a></li></ul></div></div></div></td> </tr><tr><td class="sidebar-content"> <div class="sidebar-list mw-collapsible mw-collapsed"><div class="sidebar-list-title" style="color: var(--color-base)">Key concepts</div><div class="sidebar-list-content mw-collapsible-content"><div class="hlist"><ul><li><a href="/wiki/Accounting_period" title="Accounting period">Accounting period</a></li><li><a href="/wiki/Accrual" title="Accrual">Accrual</a></li><li><a href="/wiki/Constant_purchasing_power_accounting" title="Constant purchasing power accounting">Constant purchasing power</a></li><li><a href="/wiki/Economic_entity" title="Economic entity">Economic entity</a></li><li><a href="/wiki/Fair_value" title="Fair value">Fair value</a></li><li><a href="/wiki/Going_concern" title="Going concern">Going concern</a></li><li><a href="/wiki/Historical_cost" title="Historical cost">Historical cost</a></li><li><a href="/wiki/Matching_principle" title="Matching principle">Matching principle</a></li><li><a href="/wiki/Materiality_(auditing)" title="Materiality (auditing)">Materiality</a></li><li><a href="/wiki/Revenue_recognition" title="Revenue recognition">Revenue recognition</a></li><li><a href="/wiki/Unit_of_account" title="Unit of account">Unit of account</a></li></ul></div></div></div></td> </tr><tr><td class="sidebar-content"> <div class="sidebar-list mw-collapsible mw-collapsed"><div class="sidebar-list-title" style="color: var(--color-base)">Selected accounts</div><div class="sidebar-list-content mw-collapsible-content"><div class="hlist"><ul><li><a href="/wiki/Asset" title="Asset">Assets</a></li><li><a href="/wiki/Cash" title="Cash">Cash</a></li><li><a href="/wiki/Cost_of_goods_sold" title="Cost of goods sold">Cost of goods sold</a></li><li><a href="/wiki/Depreciation" title="Depreciation">Depreciation</a> / <a href="/wiki/Amortization_(business)" class="mw-redirect" title="Amortization (business)">Amortization (business)</a></li><li><a href="/wiki/Equity_(finance)" title="Equity (finance)">Equity</a></li><li><a href="/wiki/Expense" title="Expense">Expenses</a></li><li><a href="/wiki/Goodwill_(accounting)" title="Goodwill (accounting)">Goodwill</a></li><li><a href="/wiki/Liability_(financial_accounting)" title="Liability (financial accounting)">Liabilities</a></li><li><a href="/wiki/Profit_(accounting)" title="Profit (accounting)">Profit</a></li><li><a href="/wiki/Revenue" title="Revenue">Revenue</a></li></ul></div></div></div></td> </tr><tr><td class="sidebar-content"> <div class="sidebar-list mw-collapsible mw-collapsed"><div class="sidebar-list-title" style="color: var(--color-base)"><a href="/wiki/Accounting_standard" title="Accounting standard">Accounting standards</a></div><div class="sidebar-list-content mw-collapsible-content"><div class="hlist"><ul><li><a href="/wiki/Generally_accepted_accounting_principles" class="mw-redirect" title="Generally accepted accounting principles">Generally-accepted principles</a></li><li><a href="/wiki/Generally_accepted_auditing_standards" class="mw-redirect" title="Generally accepted auditing standards">Generally-accepted auditing standards</a></li><li><a href="/wiki/Convergence_of_accounting_standards" title="Convergence of accounting standards">Convergence</a></li><li><a href="/wiki/International_Financial_Reporting_Standards" title="International Financial Reporting Standards">International Financial Reporting Standards</a></li><li><a href="/wiki/International_Standards_on_Auditing" title="International Standards on Auditing">International Standards on Auditing</a></li><li><a href="/wiki/Management_Accounting_Principles" class="mw-redirect" title="Management Accounting Principles">Management Accounting Principles</a></li></ul></div></div></div></td> </tr><tr><td class="sidebar-content"> <div class="sidebar-list mw-collapsible mw-collapsed"><div class="sidebar-list-title" style="color: var(--color-base)"><a href="/wiki/Financial_statement" title="Financial statement">Financial statements</a></div><div class="sidebar-list-content mw-collapsible-content"><div class="hlist"><ul><li><a href="/wiki/Annual_report" title="Annual report">Annual report</a></li><li><a href="/wiki/Balance_sheet" title="Balance sheet">Balance sheet</a></li><li><a href="/wiki/Cash_flow_statement" title="Cash flow statement">Cash-flow</a></li><li><a href="/wiki/Statement_of_changes_in_equity" title="Statement of changes in equity">Equity</a></li><li><a href="/wiki/Income_statement" title="Income statement">Income</a></li><li><a href="/wiki/Management_discussion_and_analysis" class="mw-redirect" title="Management discussion and analysis">Management discussion</a></li><li><a href="/wiki/Notes_to_the_financial_statements" class="mw-redirect" title="Notes to the financial statements">Notes to the financial statements</a></li></ul></div></div></div></td> </tr><tr><td class="sidebar-content"> <div class="sidebar-list mw-collapsible mw-collapsed"><div class="sidebar-list-title" style="color: var(--color-base)"><a href="/wiki/Bookkeeping" title="Bookkeeping">Bookkeeping</a></div><div class="sidebar-list-content mw-collapsible-content"><div class="hlist"><ul><li><a href="/wiki/Bank_reconciliation" title="Bank reconciliation">Bank reconciliation</a></li><li><a href="/wiki/Debits_and_credits" title="Debits and credits">Debits and credits</a></li><li><a href="/wiki/Double-entry_bookkeeping_system" class="mw-redirect" title="Double-entry bookkeeping system">Double-entry system</a></li><li><a href="/wiki/FIFO_and_LIFO_accounting" title="FIFO and LIFO accounting">FIFO and LIFO</a></li><li><a href="/wiki/General_journal" title="General journal">Journal</a></li><li><a href="/wiki/Ledger" title="Ledger">Ledger</a> / <a href="/wiki/General_ledger" title="General ledger">General ledger</a></li><li><a href="/wiki/Trial_balance" title="Trial balance">Trial balance</a></li></ul></div></div></div></td> </tr><tr><td class="sidebar-content"> <div class="sidebar-list mw-collapsible mw-collapsed"><div class="sidebar-list-title" style="color: var(--color-base)"><a href="/wiki/Audit" title="Audit">Auditing</a></div><div class="sidebar-list-content mw-collapsible-content"><div class="hlist"><ul><li><a href="/wiki/Financial_audit" title="Financial audit">Financial</a></li><li><a href="/wiki/Internal_audit" title="Internal audit">Internal</a></li><li><a href="/wiki/Accounting_networks_and_associations" class="mw-redirect" title="Accounting networks and associations">Firms</a></li><li><a href="/wiki/Auditor%27s_report" title="Auditor's report">Report</a></li><li><a href="/wiki/Sarbanes%E2%80%93Oxley_Act" title="Sarbanes–Oxley Act">Sarbanes–Oxley Act</a></li></ul></div></div></div></td> </tr><tr><td class="sidebar-content"> <div class="sidebar-list mw-collapsible mw-collapsed"><div class="sidebar-list-title" style="color: var(--color-base)">People and organizations</div><div class="sidebar-list-content mw-collapsible-content"><div class="hlist"><ul><li><a href="/wiki/Accountant" title="Accountant">Accountants</a></li><li><a href="/wiki/Category:Accounting_organizations" title="Category:Accounting organizations">Accounting organizations</a></li><li><a href="/wiki/Luca_Pacioli" title="Luca Pacioli">Luca Pacioli</a></li></ul></div></div></div></td> </tr><tr><td class="sidebar-content"> <div class="sidebar-list mw-collapsible mw-collapsed"><div class="sidebar-list-title" style="color: var(--color-base)">Development</div><div class="sidebar-list-content mw-collapsible-content"><div class="hlist"><ul><li><a href="/wiki/History_of_accounting" title="History of accounting">History</a></li><li><a href="/wiki/Accounting_research" title="Accounting research">Research</a></li><li><a href="/wiki/Positive_accounting" title="Positive accounting">Positive accounting</a></li><li><a href="/wiki/Sarbanes%E2%80%93Oxley_Act" title="Sarbanes–Oxley Act">Sarbanes–Oxley Act</a></li></ul></div></div></div></td> </tr><tr><td class="sidebar-content"> <div class="sidebar-list mw-collapsible mw-collapsed"><div class="sidebar-list-title" style="color: var(--color-base)">Misconduct</div><div class="sidebar-list-content mw-collapsible-content"><div class="hlist"><ul><li><a href="/wiki/Creative_accounting" title="Creative accounting">Creative</a></li><li><a href="/wiki/Earnings_management" title="Earnings management">Earnings management</a></li><li><a href="/wiki/Error_account" title="Error account">Error account</a></li><li><a href="/wiki/Hollywood_accounting" title="Hollywood accounting">Hollywood</a></li><li><a href="/wiki/Off-balance-sheet" title="Off-balance-sheet">Off-balance-sheet</a></li><li><a href="/wiki/Two_sets_of_books" title="Two sets of books">Two sets of books</a></li></ul></div></div></div></td> </tr><tr><td class="sidebar-navbar"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1129693374"><style data-mw-deduplicate="TemplateStyles:r1239400231">.mw-parser-output .navbar{display:inline;font-size:88%;font-weight:normal}.mw-parser-output .navbar-collapse{float:left;text-align:left}.mw-parser-output .navbar-boxtext{word-spacing:0}.mw-parser-output .navbar ul{display:inline-block;white-space:nowrap;line-height:inherit}.mw-parser-output .navbar-brackets::before{margin-right:-0.125em;content:"[ "}.mw-parser-output .navbar-brackets::after{margin-left:-0.125em;content:" ]"}.mw-parser-output .navbar li{word-spacing:-0.125em}.mw-parser-output .navbar a>span,.mw-parser-output .navbar a>abbr{text-decoration:inherit}.mw-parser-output .navbar-mini abbr{font-variant:small-caps;border-bottom:none;text-decoration:none;cursor:inherit}.mw-parser-output .navbar-ct-full{font-size:114%;margin:0 7em}.mw-parser-output .navbar-ct-mini{font-size:114%;margin:0 4em}html.skin-theme-clientpref-night .mw-parser-output .navbar li a abbr{color:var(--color-base)!important}@media(prefers-color-scheme:dark){html.skin-theme-clientpref-os .mw-parser-output .navbar li a abbr{color:var(--color-base)!important}}@media print{.mw-parser-output .navbar{display:none!important}}</style><div class="navbar plainlinks hlist navbar-mini"><ul><li class="nv-view"><a href="/wiki/Template:Accounting" title="Template:Accounting"><abbr title="View this template">v</abbr></a></li><li class="nv-talk"><a href="/wiki/Template_talk:Accounting" title="Template talk:Accounting"><abbr title="Discuss this template">t</abbr></a></li><li class="nv-edit"><a href="/wiki/Special:EditPage/Template:Accounting" title="Special:EditPage/Template:Accounting"><abbr title="Edit this template">e</abbr></a></li></ul></div></td></tr></tbody></table> <div class="mw-heading mw-heading2"><h2 id="All_filing_types">All filing types</h2><span class="mw-editsection"><span class="mw-editsection-bracket">[</span><a href="/w/index.php?title=SEC_filing&action=edit&section=2" title="Edit section: All filing types"><span>edit</span></a><span class="mw-editsection-bracket">]</span></span></div> <p>The <a rel="nofollow" class="external text" href="https://www.sec.gov/info/edgar/forms/edgform.pdf">filings</a> accepted by the SEC as of November 2011. </p> <table class="wikitable" border="1"> <tbody><tr> <th>Form name </th> <th>Description </th></tr> <tr> <td>1-E, 1-E/A </td> <td>Notification under Regulation E by small business investment companies and business development companies (and amendment thereto) </td></tr> <tr> <td>1-E AD, 1-E AD/A </td> <td>Sales material filed pursuant to Rule 607 under Regulation E. (and amendment thereto) </td></tr> <tr> <td>2-E, 2-E/A </td> <td>Sales material filed pursuant to Rule 609 under Regulation E. (and amendment thereto) </td></tr> <tr> <td><a href="/wiki/Form_10-12B" title="Form 10-12B">10-12B</a>, 10-12B/A </td> <td>Initial general form for registration of a class of securities pursuant to section 12(b) (and amendment thereto) </td></tr> <tr> <td>10-12G, 10-12G/A </td> <td>Initial general form for registration of a class of securities pursuant to section 12(g) (and amendment thereto) </td></tr> <tr> <td>10-D, 10-D/A </td> <td>Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17 (and amendment thereto) </td></tr> <tr> <td>10-K, 10-K/A </td> <td>Annual report pursuant to section 13 and 15(d) (and amendment thereto) </td></tr> <tr> <td>10-KT, 10-KT/A </td> <td>Transition report pursuant to Rule 13a-10 or 15d-10 (and amendment thereto) </td></tr> <tr> <td>10-Q, 10-Q/A </td> <td>Quarterly report pursuant to section 13 and 15(d) (and amendment thereto) </td></tr> <tr> <td>10-QT, 10-QT/A </td> <td>Transition report pursuant to Rule 13a-10 or 15d-10 (and amendment thereto) </td></tr> <tr> <td>11-K, 11-K/A </td> <td>Annual report of employee stock purchase, savings and similar plans (and amendment thereto) </td></tr> <tr> <td>11-KT, 11-KT/A </td> <td>Transition report pursuant to Rule 13a-10 or 15d-10 (and amendment thereto) </td></tr> <tr> <td>13F-HR, 13F-HR/A </td> <td>Initial Quarterly Form 13F Holdings report filed by institutional managers (and amendment thereto) </td></tr> <tr> <td>13F-NT, 13F-NT/A </td> <td>Initial Quarterly Form 13F Notice Report filed by institutional managers (and amendment thereto) </td></tr> <tr> <td>13H, 13H-Q, 13H-A, 13H-I, 13H-R, 13H-T </td> <td>Large Trader Registration Information Required of Large Traders Pursuant to the Securities Exchange Act of 1934 and Rule 13h-1 Thereunder. Initial Filing (13H), Amended Filing (13H-Q), Annual Filing (13H-A), Inactive Status (13H-I), Reactivated Status (13H-R), and Termination Filing (13H-T) </td></tr> <tr> <td>144, 144/A </td> <td>Filing for proposed sale of securities under Rule 144 (and amendment thereto) </td></tr> <tr> <td>15-12B, 15-12B/A </td> <td>Notice of termination of registration of a class of securities under Section 12(b) (and amendment thereto) </td></tr> <tr> <td>15-12G, 15-12G/A </td> <td>Notice of termination of registration of a class of securities under Section 12(g) (and amendment thereto) </td></tr> <tr> <td>15-15D, 15-15D/A </td> <td>Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act (and amendment thereto) </td></tr> <tr> <td>15F-12G, 15F-12G/A </td> <td>Notice of termination of a foreign private issuer's registration of a class of securities under Section 12(g) (and amendment thereto) </td></tr> <tr> <td>15F-15D, 15F-15D/A </td> <td>Notice of a foreign private issuers suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act (and amendment thereto) </td></tr> <tr> <td>18-K, 18-K/A </td> <td>Annual report for foreign governments (and amendment thereto) </td></tr> <tr> <td>20-F, 20-F/A </td> <td>Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) (and amendment thereto) </td></tr> <tr> <td>20FR12B, 20FR12B/A </td> <td>Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b) (and amendment thereto) </td></tr> <tr> <td>20FR12G, 20FR12G/A </td> <td>Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g) (and amendment thereto) </td></tr> <tr> <td>24F-2NT, 24F-2NT/A </td> <td>Rule 24F-2 notice filed on Form 24F-2 (and amendment thereto) </td></tr> <tr> <td>25, 25/A </td> <td>Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange (and amendment thereto) </td></tr> <tr> <td>25-NSE, 25-NSE/A </td> <td>Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities (and amendment thereto) </td></tr> <tr> <td><a href="/wiki/Form_3" title="Form 3">3</a>, 3/A </td> <td>Initial statement of beneficial ownership of securities (and amendment thereto) </td></tr> <tr> <td>305B2, 305B2/A </td> <td>Application for designation of a new trustee under the Trust Indenture Act </td></tr> <tr> <td><a href="/wiki/Form_4" title="Form 4">4</a>, 4/A </td> <td>Statement of changes in beneficial ownership of securities (and amendment thereto) </td></tr> <tr> <td>40-6B, 40-6B/A </td> <td>Application under the Investment Company Act by an employees‟ securities company </td></tr> <tr> <td>40-17F2 </td> <td>Initial certificate of accounting of securities and similar investments in the custody of management investment companies </td></tr> <tr> <td>40-17F2/A </td> <td>Amendment </td></tr> <tr> <td>40-17G </td> <td>Fidelity bond </td></tr> <tr> <td>40-17G/A </td> <td>Fidelity bond (Amendment) </td></tr> <tr> <td>40-202A/A </td> <td>Filing 40-202A/A </td></tr> <tr> <td>40-206A/A </td> <td>Amendment </td></tr> <tr> <td>40-24B2 </td> <td>Filing of sales literature </td></tr> <tr> <td>40-24B2/A </td> <td>Filing of sales literature (Amendment) </td></tr> <tr> <td>40-33 </td> <td>All stockholder derivative actions filed with a court against an investment company or an affiliate </td></tr> <tr> <td>40-8B25 </td> <td>Document or Report </td></tr> <tr> <td>40-8F-2 </td> <td>Initial application for de-registration pursuant to Investment Company Act Rule 0-2 </td></tr> <tr> <td>40-APP </td> <td>Applications under the Investment Company Act other than those reviewed by Office of Insurance Products </td></tr> <tr> <td>40-APP/A </td> <td>Applications under the Investment Company Act other than those reviewed by Office of Insurance Products (Amendment) </td></tr> <tr> <td>40-F </td> <td>Annual reports filed by certain Canadian issuers </td></tr> <tr> <td>40-F/A </td> <td>Annual reports filed by certain Canadian issuers (Amendment) </td></tr> <tr> <td>40-OIP </td> <td>Applications under the Investment Company Act reviewed by Office of Insurance Products </td></tr> <tr> <td>40-OIP/A </td> <td>Applications under the Investment Company Act reviewed by Office of Insurance Products (Amendment) </td></tr> <tr> <td>40FR12B </td> <td>Registration of a class of securities of certain Canadian issuers </td></tr> <tr> <td>40FR12B/A </td> <td>Registration of a class of securities of certain Canadian issuers (Amendment) </td></tr> <tr> <td>40FR12G </td> <td>Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act </td></tr> <tr> <td>40FR12G/A </td> <td>Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act (Amendment) </td></tr> <tr> <td>424A </td> <td>Prospectus </td></tr> <tr> <td>424B1 </td> <td>Prospectus </td></tr> <tr> <td>424B2 </td> <td>Prospectus </td></tr> <tr> <td>424B3 </td> <td>Prospectus </td></tr> <tr> <td>424B4 </td> <td>Prospectus </td></tr> <tr> <td>424B5 </td> <td>Prospectus </td></tr> <tr> <td>424B7 </td> <td>Prospectus </td></tr> <tr> <td>424B8 </td> <td>Prospectus </td></tr> <tr> <td>425 </td> <td>Filing under <a href="/wiki/Securities_Act_of_1933" title="Securities Act of 1933">Securities Act of 1933</a> Rule 425 of certain prospectuses and communications in connection with business combination transactions </td></tr> <tr> <td>485APOS </td> <td>Post-effective amendment </td></tr> <tr> <td>485BPOS </td> <td>Post-effective amendment </td></tr> <tr> <td>485BXT </td> <td>Post-effective amendment </td></tr> <tr> <td>486APOS </td> <td>Post-effective amendment </td></tr> <tr> <td>486BPOS </td> <td>Post-effective amendment </td></tr> <tr> <td>487 </td> <td>Pre-effective pricing amendment </td></tr> <tr> <td>497 </td> <td>Definitive materials </td></tr> <tr> <td>497AD </td> <td>Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 </td></tr> <tr> <td>497H2 </td> <td>Filings made pursuant to Rule 497(h)(2) </td></tr> <tr> <td>497J </td> <td>Certification of no change in definitive materials </td></tr> <tr> <td>497K1 </td> <td>Profiles for certain open-end management investment companies </td></tr> <tr> <td>497K2 </td> <td>Profiles for certain open-end management investment companies </td></tr> <tr> <td>497K3A </td> <td>Profiles for certain open-end management investment companies </td></tr> <tr> <td>497K3B </td> <td>Profiles for certain open-end management investment companies </td></tr> <tr> <td><a href="/wiki/Form_5" title="Form 5">5</a> </td> <td>Insider Trading (Form 5) </td></tr> <tr> <td>5/A </td> <td>Insider Trading (Form 5) Amendment </td></tr> <tr> <td>6-K </td> <td>Current report of foreign issuer </td></tr> <tr> <td>6-K/A </td> <td>Current report of foreign issuer (Amendment) </td></tr> <tr> <td>8-A12B </td> <td>Registration of a class of securities on a national securities exchange </td></tr> <tr> <td>8-A12B/A </td> <td>Registration of a class of securities on a national securities exchange (Amendment) </td></tr> <tr> <td>8-A12G </td> <td>Notification that a class of securities of successor issuer is deemed to be registered </td></tr> <tr> <td>8-A12G/A </td> <td>Notification that a class of securities of successor issuer is deemed to be registered (Amendment) </td></tr> <tr> <td>8-K </td> <td>Events or Changes Between Quarterly Reports </td></tr> <tr> <td>8-K/A </td> <td>Events or Changes Between Quarterly Reports (Amendment) </td></tr> <tr> <td>8-K12B </td> <td>Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b) </td></tr> <tr> <td>8-K12B/A </td> <td>Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b) (Amendment) </td></tr> <tr> <td>8-K12G3 </td> <td>Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(g) </td></tr> <tr> <td>8-K12G3/A </td> <td> </td></tr> <tr> <td>8-K15D5 </td> <td>Notification of assumption of duty to report by successor </td></tr> <tr> <td>8-M </td> <td>8-M Filing </td></tr> <tr> <td>9-M </td> <td>9-M Filing </td></tr> <tr> <td>ADN-MTL </td> <td>ADN-MTL Filing </td></tr> <tr> <td>ADV-E </td> <td>ADV-E Filing </td></tr> <tr> <td>ADV-H-C </td> <td> </td></tr> <tr> <td>ADV-H-T </td> <td> </td></tr> <tr> <td>ADV-NR </td> <td>ADV-NR Filing </td></tr> <tr> <td>ANNLRPT </td> <td>Periodic Development Bank filing, submitted annually </td></tr> <tr> <td>APP WD </td> <td>APP WD Filing </td></tr> <tr> <td>ARS </td> <td>Annual Report to Security Holders </td></tr> <tr> <td>ARS/A </td> <td>Annual Report to Security Holders (Amendment) </td></tr> <tr> <td>AW </td> <td>Withdrawal of amendment to a registration statement filed under the Securities Act </td></tr> <tr> <td>AW WD </td> <td>Withdrawal of a request for withdrawal of an amendment to a registration statement </td></tr> <tr> <td>CB </td> <td>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 </td></tr> <tr> <td>CB/A </td> <td>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 (Amendment) </td></tr> <tr> <td>CERTAMX </td> <td>Filing CERTAMX </td></tr> <tr> <td>CERTNAS </td> <td>Filing CERTNAS </td></tr> <tr> <td>CERTNYS </td> <td>Filing CERTNYS </td></tr> <tr> <td>CERTPAC </td> <td>Filing CERTPAC </td></tr> <tr> <td>CORRESP </td> <td>Correspondence </td></tr> <tr> <td>CT ORDER </td> <td>Confidential Treatment Order. </td></tr> <tr> <td><a href="/wiki/Form_D" title="Form D">D</a> </td> <td>Filing D </td></tr> <tr> <td>D/A </td> <td>Filing D (Amendment) </td></tr> <tr> <td><a href="/wiki/Proxy_statement" title="Proxy statement">DEF 14A</a> </td> <td>Definitive proxy statements </td></tr> <tr> <td>DEF 14C </td> <td>Definitive information statements </td></tr> <tr> <td>DEFA14C </td> <td>Definitive additional information statement materials including Rule 14(a)(12) material </td></tr> <tr> <td>DEFC14A </td> <td>Definitive proxy statement in connection with contested solicitations </td></tr> <tr> <td>DEFC14C </td> <td>Definitive information statement - contested solicitations </td></tr> <tr> <td>DEFM14A </td> <td>Definitive proxy statement relating to merger or acquisition </td></tr> <tr> <td>DEFM14C </td> <td>Definitive information statement relating to merger or acquisition </td></tr> <tr> <td>DEFN14A </td> <td>Definitive proxy statement filed by non management </td></tr> <tr> <td>DEFR14A </td> <td>Definitive revised proxy soliciting materials </td></tr> <tr> <td>DEFR14C </td> <td>Definitive revised information statement materials </td></tr> <tr> <td>DEL AM </td> <td>Separately filed delaying amendment </td></tr> <tr> <td>DFAN14A </td> <td>Definitive additional proxy soliciting materials filed by non-management </td></tr> <tr> <td>DFRN14A </td> <td>Revised definitive proxy statement filed by non-management </td></tr> <tr> <td>DSTRBRPT </td> <td>Distribution of primary obligations Development Bank report </td></tr> <tr> <td>EFFECT </td> <td>Filing EFFECT </td></tr> <tr> <td>F-1 </td> <td>Registration statement for securities of certain foreign private issuers </td></tr> <tr> <td>F-1/A </td> <td>Registration statement for securities of certain foreign private issuers (Amendment) </td></tr> <tr> <td>F-10 </td> <td>Registration statement for securities of certain Canadian issuers </td></tr> <tr> <td>F-10/A </td> <td>Registration statement for securities of certain Canadian issuers (Amendment) </td></tr> <tr> <td>F-10EF </td> <td>Auto effective registration statement for securities of certain Canadian issuer under the Securities Act of 1933 </td></tr> <tr> <td>F-10POS </td> <td>Post-effective amendment to a F-10EF registration </td></tr> <tr> <td>F-1MEF </td> <td>A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-1 </td></tr> <tr> <td>F-3 </td> <td>Registration statement for specified transactions by certain foreign private issuers </td></tr> <tr> <td>F-3/A </td> <td>Registration statement for specified transactions by certain foreign private issuers (Amendment) </td></tr> <tr> <td>F-3ASR </td> <td>Automatic <a href="/wiki/Shelf_registration" title="Shelf registration">shelf registration</a> statement of securities of well-known seasoned issuers </td></tr> <tr> <td>F-3D </td> <td>Registration statement for dividend or interest reinvestment plan securities of foreign private issuers </td></tr> <tr> <td>F-3DPOS </td> <td>Post-Effective amendment to a F-3D registration </td></tr> <tr> <td><a href="/wiki/Form_F-4" title="Form F-4">F-4</a> </td> <td>Registration statement for securities issued by foreign private issuers in certain business combination transactions </td></tr> <tr> <td>F-4 POS </td> <td>Post-effective amendment to a F-4EF registration </td></tr> <tr> <td>F-4/A </td> <td>Registration statement for securities issued by foreign private issuers in certain business combination transactions (Amendment) </td></tr> <tr> <td>F-6 </td> <td>Registration statement for American Depositary Receipts representing securities of certain foreign private issuers </td></tr> <tr> <td>F-6 POS </td> <td>Post-effective amendment to a F-6EF registration </td></tr> <tr> <td>F-6/A </td> <td>Registration statement for American Depositary Receipts representing securities of certain foreign private issuers (Amendment) </td></tr> <tr> <td>F-6EF </td> <td>Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers </td></tr> <tr> <td>F-7 </td> <td>Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders </td></tr> <tr> <td>F-7 POS </td> <td>Post-effective amendment to a F-7 registration </td></tr> <tr> <td>F-7/A </td> <td>Amendment </td></tr> <tr> <td>F-8 </td> <td>Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination </td></tr> <tr> <td>F-8/A </td> <td>Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (Amendment) </td></tr> <tr> <td>F-80 </td> <td>Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 </td></tr> <tr> <td>F-9 </td> <td>Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers </td></tr> <tr> <td>F-9/A </td> <td>Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers (Amendment) </td></tr> <tr> <td>F-N </td> <td>Notification of the appointment of an agent for service by certain foreign institutions </td></tr> <tr> <td>F-X </td> <td>For appointment of agent for service of process by issuers registering securities </td></tr> <tr> <td>F-X/A </td> <td>For appointment of agent for service of process by issuers registering securities (Amendment) </td></tr> <tr> <td>FOCUSN </td> <td>FOCUSN Filing </td></tr> <tr> <td>FOCUSN/A </td> <td>FOCUSN Filing (Amendment) </td></tr> <tr> <td>FWP </td> <td>Filing under Securities Act Rules 163/433 of free writing prospectuses </td></tr> <tr> <td>G-405 </td> <td>G-405 Filing </td></tr> <tr> <td>G-405N </td> <td> </td></tr> <tr> <td>G-FIN </td> <td>G-FIN Filing </td></tr> <tr> <td>G-FIN/A </td> <td>G-FIN/A Filing (Amendment) </td></tr> <tr> <td>MSD </td> <td> </td></tr> <tr> <td>MSD/A </td> <td>MSD/A Filing (Amendment) </td></tr> <tr> <td>MSDW </td> <td>MSDW Filing </td></tr> <tr> <td>N-14 </td> <td>Initial registration statement for open-end investment company </td></tr> <tr> <td>N-14 8C </td> <td>Initial registration statement filed on Form N14 by closed-end investment company (business combinations) </td></tr> <tr> <td>N-14 8C/A </td> <td>Initial registration statement filed on Form N14 by closed-end investment company (business combinations) Amendment </td></tr> <tr> <td>N-14/A </td> <td>Initial registration statement for open-end investment company (Amendment) </td></tr> <tr> <td>N-14AE </td> <td>Filing N-14AE </td></tr> <tr> <td>N-14AE/A </td> <td>N-14AE (Amendment) </td></tr> <tr> <td>N-18F1 </td> <td>Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 </td></tr> <tr> <td>N-18F1/A </td> <td>Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 (Amendment) </td></tr> <tr> <td>N-1A </td> <td>Initial registration statement for open-end management investment companies </td></tr> <tr> <td>N-1A/A </td> <td>Initial registration statement for open-end management investment companies </td></tr> <tr> <td>N-2 </td> <td>Initial filing of a registration statement on Form N-2 for closed-end investment companies </td></tr> <tr> <td>N-2/A </td> <td>Initial filing of a registration statement on Form N-2 for closed-end investment companies (Amendment) </td></tr> <tr> <td>N-23C-2 </td> <td>Notice by closed-end investment companies of intention to call or redeem their own securities </td></tr> <tr> <td>N-23C-2/A </td> <td>Notice by closed-end investment companies of intention to call or redeem their own securities (Amendment) </td></tr> <tr> <td>N-23C3A </td> <td>Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only </td></tr> <tr> <td>N-23C3A/A </td> <td>Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only (Amendment) </td></tr> <tr> <td>N-23C3B </td> <td>Filing N-23C3B </td></tr> <tr> <td>N-23C3C </td> <td> </td></tr> <tr> <td>N-23C3C/A </td> <td>Filing N-23C3C/A </td></tr> <tr> <td>N-2MEF </td> <td> </td></tr> <tr> <td>N-3 </td> <td>Initial registration statement on Form N-3 for separate accounts (management investment companies) </td></tr> <tr> <td>N-30B-2 </td> <td>Periodic and interim reports mailed to investment company shareholders </td></tr> <tr> <td>N-30D </td> <td>Initial annual and semi-annual reports mailed to investment company shareholders </td></tr> <tr> <td>N-30D/A </td> <td>Amendment </td></tr> <tr> <td>N-4 </td> <td>Initial registration statement on Form N-4 for separate accounts (unit investment trusts) </td></tr> <tr> <td>N-4/A </td> <td>Initial registration statement on Form N-4 for separate accounts (unit investment trusts) Amendment </td></tr> <tr> <td>N-54A </td> <td>Notification of election by business development companies </td></tr> <tr> <td>N-54C </td> <td>Notification of election by business development companies </td></tr> <tr> <td>N-54C/A </td> <td>Notification of election by business development companies (Amendment) </td></tr> <tr> <td>N-6 </td> <td>Registration statement for separate accounts </td></tr> <tr> <td>N-6/A </td> <td>Registration statement for separate accounts (Amendment) </td></tr> <tr> <td>N-6F </td> <td>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 </td></tr> <tr> <td>N-8A </td> <td>Initial notification of registration under section 8(a) filed on Form N-8A </td></tr> <tr> <td>N-8A/A </td> <td>Initial notification of registration under section 8(a) filed on Form N-8A (Amendment) </td></tr> <tr> <td>N-8B-2 </td> <td>Initial registration statement for unit investment trusts </td></tr> <tr> <td>N-8B-2/A </td> <td>Initial registration statement for unit investment trusts </td></tr> <tr> <td>N-8F </td> <td>Application for deregistration made on Form N-8F </td></tr> <tr> <td>N-8F/A </td> <td>Application for deregistration made on Form N-8F (Amendment) </td></tr> <tr> <td>N-CSR </td> <td>Certified annual shareholder report of registered management investment companies </td></tr> <tr> <td>N-CSR/A </td> <td>Certified annual shareholder report of registered management investment companies (Amendment) </td></tr> <tr> <td>N-CSRS </td> <td>Certified semi-annual shareholder report of registered management investment companies </td></tr> <tr> <td>N-CSRS/A </td> <td>Certified semi-annual shareholder report of registered management investment companies (Amendment) </td></tr> <tr> <td>N-MFP </td> <td>Monthly Schedule Of Portfolio Holdings Of Money Market Funds </td></tr> <tr> <td>N-PX </td> <td>Annual Report of Proxy Voting Record of Registered Management Investment Companies </td></tr> <tr> <td>N-PX/A </td> <td>Annual Report of Proxy Voting Record of Registered Management Investment Companies </td></tr> <tr> <td>N-Q </td> <td>Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company </td></tr> <tr> <td>N-Q/A </td> <td>Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company </td></tr> <tr> <td>NO ACT </td> <td>NO ACT Filing </td></tr> <tr> <td>NSAR-A </td> <td>Semi-annual report for management companies </td></tr> <tr> <td>NSAR-A/A </td> <td>Semi-annual report for management companies (Amendment) </td></tr> <tr> <td>NSAR-AT </td> <td> </td></tr> <tr> <td>NSAR-B </td> <td>Annual report for management companies </td></tr> <tr> <td>NSAR-B/A </td> <td>Annual report for management companies (Amendment) </td></tr> <tr> <td>NSAR-BT </td> <td>Transitional annual report filed on Form NSAR </td></tr> <tr> <td>NSAR-BT/A </td> <td> </td></tr> <tr> <td>NSAR-U </td> <td>Annual report for unit investment trusts </td></tr> <tr> <td>NSAR-U/A </td> <td>Annual report for unit investment trusts (Amendment) </td></tr> <tr> <td>NT 10-K </td> <td>Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT </td></tr> <tr> <td>NT 10-K/A </td> <td>Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT (Amendment) </td></tr> <tr> <td>NT 10-Q </td> <td>Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB </td></tr> <tr> <td>NT 10-Q/A </td> <td>Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB (Amendment) </td></tr> <tr> <td>NT 11-K </td> <td>Notice under Rule 12b25 of inability to timely file all or part of a form 11-K </td></tr> <tr> <td>NT 15D2 </td> <td> </td></tr> <tr> <td>NT 20-F </td> <td>Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F </td></tr> <tr> <td>NT 20-F/A </td> <td> </td></tr> <tr> <td>NT-NCSR </td> <td>Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) </td></tr> <tr> <td>NT-NCSR/A </td> <td>Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) Amendment </td></tr> <tr> <td>NT-NSAR </td> <td>Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR </td></tr> <tr> <td>NT-NSAR/A </td> <td> </td></tr> <tr> <td>NTFNCSR </td> <td> </td></tr> <tr> <td>NTFNSAR </td> <td> </td></tr> <tr> <td>NTN 10K </td> <td>Filing NTN 10K </td></tr> <tr> <td>NTN 10Q </td> <td>Filing NTN 10Q </td></tr> <tr> <td>NTN 20F </td> <td>Filing NTN 20F </td></tr> <tr> <td>POS 8C </td> <td>Post-effective amendment by closed-end investment companies </td></tr> <tr> <td>POS AM </td> <td>Post-effective amendment to a registration statement that is not immediately effective upon filing </td></tr> <tr> <td>POS AMI </td> <td>Post-effective amendment </td></tr> <tr> <td>POS EX </td> <td>Post-effective amendment filed solely to add exhibits to a registration statement </td></tr> <tr> <td>POS462B </td> <td>Post-effective amendment to Securities Act Rule 462(b) registration statement </td></tr> <tr> <td>POS462C </td> <td>Post-effective amendment to a registration statement filed under Rule 462(c) </td></tr> <tr> <td>POSASR </td> <td>Post-effective amendment to an automatic <a href="/wiki/Shelf_registration" title="Shelf registration">shelf registration</a> statement on Form S-3ASR or Form F-3ASR </td></tr> <tr> <td>PRE 14A </td> <td>Preliminary proxy statement not related to a contested matter or merger/acquisition </td></tr> <tr> <td>PRE 14C </td> <td>Preliminary information statement not related to a contested matter or merger/acquisition </td></tr> <tr> <td>PREC14A </td> <td>Preliminary proxy statement in connection with contested solicitations </td></tr> <tr> <td>PREC14C </td> <td>Preliminary information statements - contested solicitations </td></tr> <tr> <td>PREM14A </td> <td>Preliminary proxy statements relating to merger or acquisition </td></tr> <tr> <td>PREM14C </td> <td>Preliminary information statements relating to merger or acquisition </td></tr> <tr> <td>PREN14A </td> <td>Preliminary proxy statement filed by non-management </td></tr> <tr> <td>PRER14A </td> <td>Preliminary revised proxy soliciting materials </td></tr> <tr> <td>PRER14C </td> <td>Preliminary revised information statements </td></tr> <tr> <td>PRRN14A </td> <td>Revised preliminary proxy statement filed by non-management </td></tr> <tr> <td>PX14A6G </td> <td>Notice of exempt solicitation </td></tr> <tr> <td>PX14A6N </td> <td> </td></tr> <tr> <td>QRTLYRPT </td> <td>Periodic Development Bank filing, submitted quarterly </td></tr> <tr> <td>REG-NR </td> <td>REG-NR Filing </td></tr> <tr> <td>REGDEX </td> <td>Regulation D Exemption Filing </td></tr> <tr> <td>REGDEX/A </td> <td>REGDEX Filing (Amendment) </td></tr> <tr> <td>RW </td> <td>Registration Withdrawal Request </td></tr> <tr> <td>RW WD </td> <td>Withdrawal of a Registration Withdrawal Request </td></tr> <tr> <td><a href="/wiki/Form_S-1" title="Form S-1">S-1</a> </td> <td>IPO Registration </td></tr> <tr> <td>S-1/A </td> <td>IPO Registration (Amendment) </td></tr> <tr> <td>S-11 </td> <td>Registration statement for securities to be issued by real estate companies </td></tr> <tr> <td>S-11/A </td> <td>Registration statement for securities to be issued by real estate companies (Amendment) </td></tr> <tr> <td>S-11MEF </td> <td>A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 11 </td></tr> <tr> <td>S-1MEF </td> <td>A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 1 </td></tr> <tr> <td>S-3 </td> <td>Registration statement for specified transactions by certain issuers </td></tr> <tr> <td>S-3/A </td> <td>Registration statement for specified transactions by certain issuers (Amendment) </td></tr> <tr> <td>S-3ASR </td> <td>Automatic <a href="/wiki/Shelf_registration" title="Shelf registration">shelf registration</a> statement of securities of well-known seasoned issuers </td></tr> <tr> <td>S-3D </td> <td>Automatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans </td></tr> <tr> <td>S-3DPOS </td> <td>Post-effective amendment to a S-3D registration statement </td></tr> <tr> <td>S-3MEF </td> <td>A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 3 </td></tr> <tr> <td>S-4 </td> <td>Registration of securities issued in business combination transactions </td></tr> <tr> <td>S-4 POS </td> <td>Post-effective amendment to a S-4EF registration statement </td></tr> <tr> <td>S-4/A </td> <td>Registration of securities issued in business combination transactions (Amendment) </td></tr> <tr> <td>S-4EF </td> <td> </td></tr> <tr> <td>S-4EF/A </td> <td> </td></tr> <tr> <td>S-4MEF </td> <td>A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-4 </td></tr> <tr> <td>S-6 </td> <td>Initial registration statement filed on Form S-6 for unit investment trusts </td></tr> <tr> <td>S-6/A </td> <td>Initial registration statement filed on Form S-6 for unit investment trusts (Amendment) </td></tr> <tr> <td>S-8 </td> <td>Initial registration statement for securities to be offered to employees pursuant to employee benefit plans </td></tr> <tr> <td>S-8 POS </td> <td>Post-effective amendment to a S-8 registration statement </td></tr> <tr> <td>S-B </td> <td>Registration statement for securities of foreign governments and subdivisions </td></tr> <tr> <td>S-B/A </td> <td>Registration statement for securities of foreign governments and subdivisions (Amendment) </td></tr> <tr> <td>S-BMEF </td> <td>A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form SB-1 </td></tr> <tr> <td>SB-1 </td> <td> </td></tr> <tr> <td>SB-1/A </td> <td> </td></tr> <tr> <td>SB-2 </td> <td> </td></tr> <tr> <td>SB-2/A </td> <td> </td></tr> <tr> <td>SB-2MEF </td> <td> </td></tr> <tr> <td>SC 13D </td> <td>Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities </td></tr> <tr> <td>SC 13D/A </td> <td>Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities (Amendment) </td></tr> <tr> <td>SC 13E3 </td> <td>Schedule filed to report going private transactions </td></tr> <tr> <td>SC 13E3/A </td> <td>Schedule filed to report going private transactions (Amendment) </td></tr> <tr> <td>SC 13G </td> <td>Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities by passive investors and certain institutions </td></tr> <tr> <td>SC 13G/A </td> <td>Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities by passive investors and certain institutions (Amendment) </td></tr> <tr> <td>SC 14D9 </td> <td>Tender offer solicitation/recommendation statements filed under Rule 14d-9 </td></tr> <tr> <td>SC 14D9/A </td> <td>Tender offer solicitation/recommendation statements filed under Rule 14d-9 (Amendment) </td></tr> <tr> <td>SC 14F1 </td> <td>Statement regarding change in majority of directors pursuant to Rule 14f-1 </td></tr> <tr> <td>SC 14F1/A </td> <td>Statement regarding change in majority of directors pursuant to Rule 14f-1 (Amendment) </td></tr> <tr> <td>SC TO-C </td> <td>Written communication relating to an issuer or third party tender offer </td></tr> <tr> <td>SC TO-I </td> <td>Issuer tender offer statement </td></tr> <tr> <td>SC TO-I/A </td> <td>Issuer tender offer statement (Amendment) </td></tr> <tr> <td>SC TO-T </td> <td>Third party tender offer statement </td></tr> <tr> <td>SC TO-T/A </td> <td>Third party tender offer statement (Amendment) </td></tr> <tr> <td>SC13E4F </td> <td>Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers </td></tr> <tr> <td>SC13E4F/A </td> <td>Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers (Amendment) </td></tr> <tr> <td>SC14D1F </td> <td>Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers </td></tr> <tr> <td>SC14D1F/A </td> <td>Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers (Amendment) </td></tr> <tr> <td>SC14D9C </td> <td>Written communication by the subject company relating to a third party tender offer </td></tr> <tr> <td>SC14D9F </td> <td> </td></tr> <tr> <td>SC14D9F/A </td> <td> </td></tr> <tr> <td>SE </td> <td>SE Filing </td></tr> <tr> <td>SP 15D2 </td> <td> </td></tr> <tr> <td>SUPPL </td> <td>Voluntary supplemental material filed pursuant to <a href="/wiki/Securities_Act_of_1933#Civil_liability;_Sections_11_and_12" title="Securities Act of 1933">Section 11(a) of the Securities Act of 1933</a> by foreign issuers </td></tr> <tr> <td>T-3 </td> <td>Initial application for qualification of trust indentures </td></tr> <tr> <td>T-3/A </td> <td>Initial application for qualification of trust indentures (Amendment) </td></tr> <tr> <td>TA-1 </td> <td>Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 </td></tr> <tr> <td>TA-1/A </td> <td>Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 (Amendment) </td></tr> <tr> <td>TA-2 </td> <td>Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 </td></tr> <tr> <td>TA-2/A </td> <td>Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 (Amendment) </td></tr> <tr> <td>TA-W </td> <td>Notice of withdrawal from registration as transfer agent filed pursuant to the Securities Exchange Act of 1934 </td></tr> <tr> <td>TTW </td> <td>TTW Filing </td></tr> <tr> <td>UNDER </td> <td> </td></tr> <tr> <td>UPLOAD </td> <td>UPLOAD Filing </td></tr> <tr> <td>WDL-REQ </td> <td>WDL-REQ Filing </td></tr> <tr> <td>X-17A-5 </td> <td>X-17A-5 Filing </td></tr> <tr> <td>X-17A-5/A </td> <td>X-17A-5/A Filing </td></tr></tbody></table> <div class="mw-heading mw-heading3"><h3 id="See_also">See also</h3><span class="mw-editsection"><span class="mw-editsection-bracket">[</span><a href="/w/index.php?title=SEC_filing&action=edit&section=3" title="Edit section: See also"><span>edit</span></a><span class="mw-editsection-bracket">]</span></span></div> <ul><li><a href="/wiki/Form_10-K405" title="Form 10-K405">Form 10-K405</a></li></ul> <div class="mw-heading mw-heading2"><h2 id="Form_suffixes">Form suffixes</h2><span class="mw-editsection"><span class="mw-editsection-bracket">[</span><a href="/w/index.php?title=SEC_filing&action=edit&section=4" title="Edit section: Form suffixes"><span>edit</span></a><span class="mw-editsection-bracket">]</span></span></div> <table class="wikitable" border="1"> <tbody><tr> <th>Suffix </th> <th>Description </th></tr> <tr> <td>SB </td> <td>Small Business Filing (i.e. a Form 10K becomes a Form 10K/SB) </td></tr> <tr> <td>A </td> <td>Amendment to a Previous Filing (i.e. Schedule 13D becomes Schedule 13D/A) </td></tr> <tr> <td>T </td> <td>Transitional - when changing <a href="/wiki/Fiscal_year" title="Fiscal year">fiscal year</a> (i.e. 10K becomes 10KT) </td></tr></tbody></table> <div class="mw-heading mw-heading2"><h2 id="Finding_forms">Finding forms</h2><span class="mw-editsection"><span class="mw-editsection-bracket">[</span><a href="/w/index.php?title=SEC_filing&action=edit&section=5" title="Edit section: Finding forms"><span>edit</span></a><span class="mw-editsection-bracket">]</span></span></div> <p>All forms are filed with the SEC, and many can be found for free in the SEC's <a href="/wiki/EDGAR" class="mw-redirect" title="EDGAR">EDGAR</a> database.<sup id="cite_ref-5" class="reference"><a href="#cite_note-5"><span class="cite-bracket">[</span>5<span class="cite-bracket">]</span></a></sup> There are also several other portals that specialize in sorting information found in individual forms, such as the financial search engine, AlphaSense. And new platforms leveraging AI, like stockinsights.ai,<sup id="cite_ref-6" class="reference"><a href="#cite_note-6"><span class="cite-bracket">[</span>6<span class="cite-bracket">]</span></a></sup> are emerging to provide advanced features to navigate these filings. </p><p>Forms which are not found in EDGAR include the Form PF, which is used for private funds and is kept confidential per the <a href="/wiki/Dodd%E2%80%93Frank_Act" class="mw-redirect" title="Dodd–Frank Act">Dodd–Frank Act</a>.<sup id="cite_ref-7" class="reference"><a href="#cite_note-7"><span class="cite-bracket">[</span>7<span class="cite-bracket">]</span></a></sup> </p> <div class="mw-heading mw-heading2"><h2 id="References">References</h2><span class="mw-editsection"><span class="mw-editsection-bracket">[</span><a href="/w/index.php?title=SEC_filing&action=edit&section=6" title="Edit section: References"><span>edit</span></a><span class="mw-editsection-bracket">]</span></span></div> <style data-mw-deduplicate="TemplateStyles:r1239543626">.mw-parser-output .reflist{margin-bottom:0.5em;list-style-type:decimal}@media screen{.mw-parser-output .reflist{font-size:90%}}.mw-parser-output .reflist .references{font-size:100%;margin-bottom:0;list-style-type:inherit}.mw-parser-output .reflist-columns-2{column-width:30em}.mw-parser-output .reflist-columns-3{column-width:25em}.mw-parser-output .reflist-columns{margin-top:0.3em}.mw-parser-output .reflist-columns ol{margin-top:0}.mw-parser-output .reflist-columns li{page-break-inside:avoid;break-inside:avoid-column}.mw-parser-output .reflist-upper-alpha{list-style-type:upper-alpha}.mw-parser-output .reflist-upper-roman{list-style-type:upper-roman}.mw-parser-output .reflist-lower-alpha{list-style-type:lower-alpha}.mw-parser-output .reflist-lower-greek{list-style-type:lower-greek}.mw-parser-output .reflist-lower-roman{list-style-type:lower-roman}</style><div class="reflist"> <div class="mw-references-wrap"><ol class="references"> <li id="cite_note-1"><span class="mw-cite-backlink"><b><a href="#cite_ref-1">^</a></b></span> <span class="reference-text"><style data-mw-deduplicate="TemplateStyles:r1238218222">.mw-parser-output cite.citation{font-style:inherit;word-wrap:break-word}.mw-parser-output .citation q{quotes:"\"""\"""'""'"}.mw-parser-output .citation:target{background-color:rgba(0,127,255,0.133)}.mw-parser-output .id-lock-free.id-lock-free a{background:url("//upload.wikimedia.org/wikipedia/commons/6/65/Lock-green.svg")right 0.1em center/9px no-repeat}.mw-parser-output .id-lock-limited.id-lock-limited a,.mw-parser-output .id-lock-registration.id-lock-registration a{background:url("//upload.wikimedia.org/wikipedia/commons/d/d6/Lock-gray-alt-2.svg")right 0.1em center/9px no-repeat}.mw-parser-output .id-lock-subscription.id-lock-subscription a{background:url("//upload.wikimedia.org/wikipedia/commons/a/aa/Lock-red-alt-2.svg")right 0.1em center/9px no-repeat}.mw-parser-output .cs1-ws-icon a{background:url("//upload.wikimedia.org/wikipedia/commons/4/4c/Wikisource-logo.svg")right 0.1em center/12px no-repeat}body:not(.skin-timeless):not(.skin-minerva) .mw-parser-output .id-lock-free a,body:not(.skin-timeless):not(.skin-minerva) .mw-parser-output .id-lock-limited a,body:not(.skin-timeless):not(.skin-minerva) .mw-parser-output .id-lock-registration a,body:not(.skin-timeless):not(.skin-minerva) .mw-parser-output .id-lock-subscription a,body:not(.skin-timeless):not(.skin-minerva) .mw-parser-output .cs1-ws-icon a{background-size:contain;padding:0 1em 0 0}.mw-parser-output .cs1-code{color:inherit;background:inherit;border:none;padding:inherit}.mw-parser-output .cs1-hidden-error{display:none;color:var(--color-error,#d33)}.mw-parser-output .cs1-visible-error{color:var(--color-error,#d33)}.mw-parser-output .cs1-maint{display:none;color:#085;margin-left:0.3em}.mw-parser-output .cs1-kern-left{padding-left:0.2em}.mw-parser-output .cs1-kern-right{padding-right:0.2em}.mw-parser-output .citation .mw-selflink{font-weight:inherit}@media screen{.mw-parser-output .cs1-format{font-size:95%}html.skin-theme-clientpref-night .mw-parser-output .cs1-maint{color:#18911f}}@media screen and (prefers-color-scheme:dark){html.skin-theme-clientpref-os .mw-parser-output .cs1-maint{color:#18911f}}</style><cite id="CITEREFBalogh2023" class="citation journal cs1">Balogh, Attila (26 April 2023). <a rel="nofollow" class="external text" href="https://doi.org/10.1038/s41597-023-02147-6">"Insider trading"</a>. <i>Scientific Data</i>. <b>10</b> (237). <a href="/wiki/Doi_(identifier)" class="mw-redirect" title="Doi (identifier)">doi</a>:<a rel="nofollow" class="external text" href="https://doi.org/10.1038%2Fs41597-023-02147-6">10.1038/s41597-023-02147-6</a>. <a href="/wiki/PMC_(identifier)" class="mw-redirect" title="PMC (identifier)">PMC</a> <span class="id-lock-free" title="Freely accessible"><a rel="nofollow" class="external text" href="https://www.ncbi.nlm.nih.gov/pmc/articles/PMC10130014">10130014</a></span><span class="reference-accessdate">. Retrieved <span class="nowrap">3 May</span> 2024</span>.</cite><span title="ctx_ver=Z39.88-2004&rft_val_fmt=info%3Aofi%2Ffmt%3Akev%3Amtx%3Ajournal&rft.genre=article&rft.jtitle=Scientific+Data&rft.atitle=Insider+trading&rft.volume=10&rft.issue=237&rft.date=2023-04-26&rft_id=https%3A%2F%2Fwww.ncbi.nlm.nih.gov%2Fpmc%2Farticles%2FPMC10130014%23id-name%3DPMC&rft_id=info%3Adoi%2F10.1038%2Fs41597-023-02147-6&rft.aulast=Balogh&rft.aufirst=Attila&rft_id=https%3A%2F%2Fdoi.org%2F10.1038%2Fs41597-023-02147-6&rfr_id=info%3Asid%2Fen.wikipedia.org%3ASEC+filing" class="Z3988"></span></span> </li> <li id="cite_note-2"><span class="mw-cite-backlink"><b><a href="#cite_ref-2">^</a></b></span> <span class="reference-text"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1238218222"><cite id="CITEREFBalogh2024" class="citation journal cs1">Balogh, Attila (3 May 2024). <a rel="nofollow" class="external text" href="https://doi.org/10.7910/DVN/VH6GVH">"Layline insider trading dataset"</a>. <i>Harvard Dataverse</i>. <a href="/wiki/Doi_(identifier)" class="mw-redirect" title="Doi (identifier)">doi</a>:<a rel="nofollow" class="external text" href="https://doi.org/10.7910%2FDVN%2FVH6GVH">10.7910/DVN/VH6GVH</a><span class="reference-accessdate">. Retrieved <span class="nowrap">3 May</span> 2024</span>.</cite><span title="ctx_ver=Z39.88-2004&rft_val_fmt=info%3Aofi%2Ffmt%3Akev%3Amtx%3Ajournal&rft.genre=article&rft.jtitle=Harvard+Dataverse&rft.atitle=Layline+insider+trading+dataset&rft.date=2024-05-03&rft_id=info%3Adoi%2F10.7910%2FDVN%2FVH6GVH&rft.aulast=Balogh&rft.aufirst=Attila&rft_id=https%3A%2F%2Fdoi.org%2F10.7910%2FDVN%2FVH6GVH&rfr_id=info%3Asid%2Fen.wikipedia.org%3ASEC+filing" class="Z3988"></span></span> </li> <li id="cite_note-3"><span class="mw-cite-backlink"><b><a href="#cite_ref-3">^</a></b></span> <span class="reference-text"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1238218222"><cite class="citation web cs1"><a rel="nofollow" class="external text" href="https://dataverse.harvard.edu/dataverse/layline">"Layline Dataverse"</a>.</cite><span title="ctx_ver=Z39.88-2004&rft_val_fmt=info%3Aofi%2Ffmt%3Akev%3Amtx%3Abook&rft.genre=unknown&rft.btitle=Layline+Dataverse&rft_id=https%3A%2F%2Fdataverse.harvard.edu%2Fdataverse%2Flayline&rfr_id=info%3Asid%2Fen.wikipedia.org%3ASEC+filing" class="Z3988"></span></span> </li> <li id="cite_note-4"><span class="mw-cite-backlink"><b><a href="#cite_ref-4">^</a></b></span> <span class="reference-text"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1238218222"><cite class="citation news cs1"><a rel="nofollow" class="external text" href="http://publiccompanycommunity.com/articles/sec-reporting/the-sections-of-the-10-q-and-10-k">"The Sections Of The 10-Q And 10-K – Public Company Community"</a>. <i>Public Company Community</i>. 2018-04-06<span class="reference-accessdate">. Retrieved <span class="nowrap">2018-04-24</span></span>.</cite><span title="ctx_ver=Z39.88-2004&rft_val_fmt=info%3Aofi%2Ffmt%3Akev%3Amtx%3Ajournal&rft.genre=article&rft.jtitle=Public+Company+Community&rft.atitle=The+Sections+Of+The+10-Q+And+10-K+%E2%80%93+Public+Company+Community&rft.date=2018-04-06&rft_id=http%3A%2F%2Fpubliccompanycommunity.com%2Farticles%2Fsec-reporting%2Fthe-sections-of-the-10-q-and-10-k&rfr_id=info%3Asid%2Fen.wikipedia.org%3ASEC+filing" class="Z3988"></span></span> </li> <li id="cite_note-5"><span class="mw-cite-backlink"><b><a href="#cite_ref-5">^</a></b></span> <span class="reference-text"><a rel="nofollow" class="external text" href="https://www.sec.gov/edgar/searchedgar/companysearch.html">EDGAR database</a></span> </li> <li id="cite_note-6"><span class="mw-cite-backlink"><b><a href="#cite_ref-6">^</a></b></span> <span class="reference-text"><link rel="mw-deduplicated-inline-style" href="mw-data:TemplateStyles:r1238218222"><cite class="citation web cs1"><a rel="nofollow" class="external text" href="https://www.stockinsights.ai/">"StockInsights AI - Your Equity Research AI Assistant"</a>. <i>www.stockinsights.ai</i><span class="reference-accessdate">. Retrieved <span class="nowrap">2024-07-10</span></span>.</cite><span title="ctx_ver=Z39.88-2004&rft_val_fmt=info%3Aofi%2Ffmt%3Akev%3Amtx%3Ajournal&rft.genre=unknown&rft.jtitle=www.stockinsights.ai&rft.atitle=StockInsights+AI+-+Your+Equity+Research+AI+Assistant&rft_id=https%3A%2F%2Fwww.stockinsights.ai%2F&rfr_id=info%3Asid%2Fen.wikipedia.org%3ASEC+filing" class="Z3988"></span></span> </li> <li id="cite_note-7"><span class="mw-cite-backlink"><b><a href="#cite_ref-7">^</a></b></span> <span class="reference-text"><a rel="nofollow" class="external text" href="http://www.sewkis.com/pubs/xprPubDetail.aspx?xpST=PubDetail&pub=380">Memorandum: SEC Adopts Form PF</a>.</span> </li> </ol></div></div> <div class="mw-heading mw-heading2"><h2 id="External_links">External links</h2><span class="mw-editsection"><span class="mw-editsection-bracket">[</span><a href="/w/index.php?title=SEC_filing&action=edit&section=7" title="Edit section: External links"><span>edit</span></a><span class="mw-editsection-bracket">]</span></span></div> <ul><li>A <a rel="nofollow" class="external text" href="https://www.sec.gov/info/edgar/forms/edgform.pdf">full listing of EDGAR form types</a></li> <li><a rel="nofollow" class="external text" href="https://www.sec.gov/about/forms/secforms.htm">Forms and filing instructions</a> (including forms not included in EDGAR list)</li> <li><a rel="nofollow" class="external text" href="https://www.sec.gov">SEC website</a></li></ul>    </div><noscript><img src="https://login.wikimedia.org/wiki/Special:CentralAutoLogin/start?type=1x1" alt="" width="1" height="1" style="border: none; position: absolute;"></noscript> <div class="printfooter" data-nosnippet="">Retrieved from "<a dir="ltr" href="https://en.wikipedia.org/w/index.php?title=SEC_filing&oldid=1235497036">https://en.wikipedia.org/w/index.php?title=SEC_filing&oldid=1235497036</a>"</div></div> <div id="catlinks" class="catlinks" data-mw="interface"><div id="mw-normal-catlinks" class="mw-normal-catlinks"><a href="/wiki/Help:Category" title="Help:Category">Categories</a>: <ul><li><a href="/wiki/Category:SEC_filings" title="Category:SEC filings">SEC filings</a></li><li><a href="/wiki/Category:Financial_reporting" title="Category:Financial reporting">Financial reporting</a></li></ul></div></div> </div> </main> </div> <div class="mw-footer-container"> <footer id="footer" class="mw-footer" > <ul id="footer-info"> <li id="footer-info-lastmod"> This page was last edited on 19 July 2024, at 15:29<span class="anonymous-show"> (UTC)</span>.</li> <li id="footer-info-copyright">Text is available under the <a href="/wiki/Wikipedia:Text_of_the_Creative_Commons_Attribution-ShareAlike_4.0_International_License" title="Wikipedia:Text of the Creative Commons Attribution-ShareAlike 4.0 International License">Creative Commons Attribution-ShareAlike 4.0 License</a>; additional terms may apply. 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