# EDGARLink Filer Manual > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/agency%3Asec%3A13f5d12541743070 ## Record - **Collection:** Agency decision - **Document type:** Agency decision ## Text EDGAR Release 8.10 EDGARLink Filer Manual Volume I  EDGAR ELECTRONIC DATA GATHERING, ANALYSIS, AND RETRIEVAL February 2005 Notice Use this EDGAR® Filer Manual when making electronic filings with the United States Securities and Exchange Commission (SEC or "Commission"). See Rule 301 of Regulation S-T. The EDGAR Filer Manual consists of three volumes: EDGARLink Filer Manual (Volume I) discusses the requirements for submitting EDGAR filings. N-SAR Supplement Filer Manual (Volume II) discusses the N-SAR application. OnlineForms Filer Manual (Volume III) discusses the requirements for submitting online filings. The EDGAR® Release 8.10 EDGARLink Filer Manual (Volume I) of the EDGAR® Filer Manual is effective on: February 7, 2005 ________________________________________________________ For up-to-date information regarding filing-related topics, consult our EDGAR Database website (http://www.sec.gov), the EDGAR Filing website (https://www.edgarfiling.sec.gov), and the EDGAR Company Database (http://www.edgarcompany.sec.gov). ________________________________________________________ EDGAR® and EDGARLink® are registered trademarks of the Securities and Exchange Commission. All other product brand names mentioned in this Filer Manual are trademarks or registered trademarks of their respective holders. Note: New EDGAR software releases include modifications to the EDGARLink software and EDGAR submission templates. Please download, install, and use the new EDGARLink software and submission templates to ensure that submissions will be processed successfully. Preface Welcome to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system of the U.S. Securities and Exchange Commission (SEC). EDGAR provides an electronic filing process for filers and filing agents submitting documents under the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, and the Investment Company Act of 1940 (collectively, "Acts"). This manual explains how you can file electronically with the SEC. The SEC accepts electronic submissions through the Internet, direct dial through modems, or by direct telephone transmission. EDGAR will verify filer identification, check that required information is present, then store and disseminate that information. You may view electronically submitted filings on EDGAR workstations in the SEC's Public Reference Room in Washington, DC, through commercial dissemination services, or using the SEC's website on the World Wide Web (http://www.sec.gov). What Filings Are on EDGAR? You will find almost all filings by domestic and foreign companies and third party schedules such as Schedules 13D, on EDGAR. Companies can submit certain filings (e.g., Forms 11-K, and Forms 144) either electronically or on paper. Beginning November 4, 2002, you also will find most registration statements, reports and other documents filed by foreign private issuers and foreign governments on EDGAR. Prior to that time, electronic filing by foreign entities was voluntary. Rules Governing Forms and Filing Information EDGAR provides you with an electronic way to submit information to us. It does not change the content of what you submit. Regulation S-T mandates electronic submissions of filings by all domestic and foreign registrants. Regulation S-T also provides the general requirements and procedures for electronic filing. You may find copies of Regulation S-T in the Federal Register and the Code of Federal Regulations (17 CFR Part 232) in our Public Reference Rooms. You will also find Regulation S-T under the Division of Corporation Finance area on the SEC's website (www.sec.gov) under Forms and Associated Regulations, EDGAR. We have identified the following other laws and releases that affect electronic filing. You may obtain copies of this material from our SEC website (www.sec.gov).  Securities and Exchange Commission Authorization Act of 1987 -- Public Law 100-181 (December 4, 1987). (Section 35A of Securities Exchange Act of 1934.) February 2005 i EDGAR Release 8.10 EDGARLink Filer Manual (Volume I)  Releases: 33-8496 XBRL Voluntary Financial Reporting Program on the EDGAR System Issued 9/27/04 Effective (Proposed Rule) (69 FR 59094) 34-50486 Issued 10/04/04 Effective 11/08/04 (69 FR 60287) Proposed Rule Changes of Self-Regulatory Organizations 33-8410 Issued 4/21/04 Effective 4/26/04 (69 FR 22704) Mandated Electronic Filing for Form ID 33-8401 Issued 3/16/04 Effective TBD (69 FR 13690) Rulemaking for EDGAR System (proposal for identification of investment company series and classes (contracts); additional mandatory electronic filings for investment companies; and technical amendments) 33-8230 Mandated Electronic Filing and Website Posting for Forms 3, 4, and 5 Issued 5/7/03 Effective 6/30/03 (68 FR 25787) 33-8170 Mandated Electronic Filing and Website Posting for Forms 3, 4, and 5 34-47069 35-27627 Issued 12/27/02 33-8009 Issued 5/14/02 Effective 5/24/02 and 11/4/02 (67 FR 36677) Mandated EDGAR Filing for Foreign Issuers. 33-8007 Issued 9/17/01 Updated version of the EDGARLink software. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) ii February 2005 (66 FR 49829) 33-7999 Issued 7/30/01 (66 FR 42941) Next stage of EDGAR Modernization. 33-7933 Issued 1/16/01 Effective 2/02/01 (66 FR 8764) Next stage of EDGAR Modernization. 33-7855 Issued 4/24/00 Effective 5/30/00 Effective 7/10/00 Effective 1/1/01 (65 FR 24788) Rules for the next stage of EDGAR Modernization. 33-7789 Issued 1/20/00 Effective 1/24/00 (65 FR 3123) Adopted updated filing form types in Filer Manual. 33-7755 Issued 10/07/99 Effective 10/16/99 (64 FR 56430) CompuServe discontinued electronic mail service. 33-7684 Issued 5/17/99 Effective 6/28/99 (64 FR 27888) Rules for the first stage of EDGAR modernization adopted. 34-40934 Issued 1/12/99 Compliance date 4/1/99 (64 FR 2834) Electronic filing of Form 13F made mandatory. 33-7472 Commission will no longer accept, in paper, filings required to be submitted electronically, except in a hardship situation. Diskette submissions not accepted. Financial Data Schedule requirement removed. Issued 10/24/97 Effective 1/1/98 (62 FR 58647) February 2005 iii EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 33-7427 Minor and technical rule amendments, including the elimination of transition rules applicable to the phase-in period. Issued 7/1/97 (62 FR 36450) 33-7122 Rules and phase-in schedule made final. Final phase-in lists published. Minor rule amendments adopted Issued 12/19/94 (59 FR 67752) 33-6977 Interim rules applicable to electronic filing in general, and specifically to the Division of Corporation Finance filers. Issued 2/23/93 (58 FR 14628) IC-19284 Issued 2/23/93 (58 FR 14848) 35-25746 Issued 2/23/93 (58 FR 14999) Interim rules specific to investment companies. 33-6980 Rules relating to payment of filing fees to the SEC's lockbox in Pittsburgh, Pennsylvania. Interim rules specific to public utility holding companies. Issued 2/23/93 (58 FR 15009) EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) iv February 2005 Table of Contents 1. INTRODUCTION TO THE FILER MANUAL AND EDGAR ..................................... 1-1 1.1 Organization of this Manual ........................................................................................ 1-1 1.1.1 1.2 Conventions Used in the Filer Manual ................................................................................................1-3 The EDGAR Filer Interface Updates ........................................................................... 1-3 1.2.1 Release 8.10 EDGARLink Templates and Filing Website Updates ...................................................1-4 1.2.2 Modernized EDGARLink ...................................................................................................................1-4 1.2.3 EDGAR Filing Website ......................................................................................................................1-4 1.2.4 Web Browser ......................................................................................................................................1-5 1.2.5 Filing Transmission Methods ..............................................................................................................1-5 1.2.6 Changing Company Information .........................................................................................................1-6 1.2.7 Viewing Submission Status .................................................................................................................1-6 1.2.8 Downloading Return Copies ...............................................................................................................1-6 1.3 Preparing to Become an EDGAR Filer ........................................................................ 1-6 1.3.1 Filing a Form ID with the SEC to Get Your Access Codes ................................................................1-7 1.3.2 EDGAR Hardware and Software Requirements ...............................................................................1-10 1.3.3 Receiving E-Mail Status of Filings from the SEC.............................................................................1-13 1.3.4 Properly Prepare and Maintain Documents and Software.................................................................1-14 1.4 How to Obtain the EDGAR Filer Manual, Modernized EDGARLink, and N-SAR Software ................................................................................................................................. 1-14 1.4.1 Hours of Operation ...........................................................................................................................1-15 1.4.2 Filing Date of Electronically Transmitted Submissions ....................................................................1-15 1.4.3 Where to Send Paper Filings.............................................................................................................1-16 1.5 2. 3. Getting Help with EDGAR ........................................................................................ 1-16 1.5.1 Getting Help with the Content of Filings or Exemptions/Adjustments .............................................1-16 1.5.2 Frequently Asked Questions .............................................................................................................1-17 CERTIFICATES ................................................................................................................ 2-1 GETTING STARTED USING MODERNIZED EDGARLINK.................................... 3-1 3.1 Introduction to Web Browsers ..................................................................................... 3-1 February 2005 v EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 3.1.1 3.2 3.2.1 3.3 Accessing EDGAR ...................................................................................................... 3-2 Login to EDGAR ................................................................................................................................3-2 Navigating EDGAR ..................................................................................................... 3-5 3.3.1 Information Exchange .........................................................................................................................3-6 3.3.2 Downloads ..........................................................................................................................................3-7 3.4 4. Browser Differences ...........................................................................................................................3-1 Installing the Modernized EDGARLink Software ....................................................... 3-8 3.4.1 Directory Structure..............................................................................................................................3-9 3.4.2 Version Verify ..................................................................................................................................3-10 3.4.3 Downloading the Submission Templates ..........................................................................................3-12 3.4.4 Downloading the Fee Rate Table ......................................................................................................3-15 3.4.5 EDGARLink Support ........................................................................................................................3-16 PREPARING EDGAR DOCUMENTS ............................................................................ 4-1 4.1 Introduction .................................................................................................................. 4-1 4.2 Terminology ................................................................................................................. 4-1 4.3 ASCII ........................................................................................................................... 4-4 4.3.1 Character Code Requirements Differ by Submission Medium ...........................................................4-4 4.3.2 EDGAR Recognizes a Limited Set of Keyboard Characters ..............................................................4-4 4.3.3 Why the EDGAR System Recognizes Only Standard Character Sets .................................................4-6 4.3.4 How the Requirement for ASCII Affects Word Processing ................................................................4-6 4.3.5 About HTML ......................................................................................................................................4-6 4.3.6 About PDF ..........................................................................................................................................4-7 4.3.7 Common Symbols that EDGAR Does Not Recognize ........................................................................4-7 4.3.8 System Inserts "^" For Unrecognized Characters ...............................................................................4-7 4.4 Information on Headers ............................................................................................... 4-7 4.4.1 Description of Headers .......................................................................................................................4-8 4.4.2 How Submission Information is Used .................................................................................................4-8 4.4.3 Description of ASCII/SGML Tags .....................................................................................................4-8 4.4.4 Tag Construction.................................................................................................................................4-8 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) vi February 2005 4.4.5 How Tags are Used .............................................................................................................................4-9 4.4.6 Categories of Fields in Submission Templates ...................................................................................4-9 4.4.7 Field Values are Filer-Supplied Information.......................................................................................4-9 4.5 Submission Login ...................................................................................................... 4-10 4.5.1 Login Identification ..........................................................................................................................4-10 4.5.2 Test and Live Tags ............................................................................................................................4-10 4.6 Tags Used Within a Document .................................................................................. 4-11 4.7 Non-Public and Confidential Information ................................................................. 4-14 4.8 Filing on Behalf of More than One Entity ................................................................. 4-14 4.9 Correspondence Submissions and Documents .......................................................... 4-15 4.9.1 How To Create a Correspondence Document ...................................................................................4-15 4.10 Correct Suspended Filings ......................................................................................... 4-15 4.11 N-SAR Documents .................................................................................................... 4-16 4.12 Formatting Tables Wider than 80 Characters ............................................................ 4-16 4.12.1 Guidelines for Presentation of Tables ..........................................................................................4-16 4.12.2 Table Tags....................................................................................................................................4-17 4.12.3 Formatting Examples of Wide Tables ..........................................................................................4-18 4.13 Using the Module Capability of EDGAR .................................................................. 4-20 4.13.1 EDGAR Definition of a Module ..................................................................................................4-20 4.13.2 How EDGAR Handles Modules ..................................................................................................4-21 4.13.3 Structure of a Module Submission ...............................................................................................4-22 4.13.4 How to Refer to a Module in a Subsequent Submission ..............................................................4-22 4.14 Submitting Filings in Segments ................................................................................. 4-22 4.14.1 How Segment Filings Work .........................................................................................................4-23 4.14.2 Segment Test Submissions ...........................................................................................................4-23 4.14.3 Segment Filing Requirements ......................................................................................................4-23 4.14.4 Segment Naming Conventions .....................................................................................................4-23 4.14.5 How EDGAR Handles Segments .................................................................................................4-24 4.14.6 Errors in Segments .......................................................................................................................4-25 February 2005 vii EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 4.14.7 Examples of Segment Tagging within a Submission Document ..................................................4-25 4.15 Submitting Reports on Form 13F .............................................................................. 4-25 4.16 Submitting EU-1 Documents ..................................................................................... 4-25 4.17 Combining Selected Williams Act Filings into a Single Submission........................ 4-26 4.18 Submitting Form 8-K with Combined Submission ................................................... 4-26 4.19 Signatures to be Typed ............................................................................................... 4-28 4.19.1 Statutory Signatures .....................................................................................................................4-28 4.19.2 Powers of Attorney and Consents of Experts ...............................................................................4-28 4.19.3 Signatures for Form ID Applications ...........................................................................................4-28 4.20 Filing Fees .................................................................................................................. 4-29 5. PREPARING AND TRANSMITTING SUBMISSIONS TO EDGAR .......................... 5-1 5.1 Introduction .................................................................................................................. 5-1 5.2 The Modernized EDGARLink Software Program ....................................................... 5-1 5.2.1 Preparing Your Modernized EDGARLink Submission ......................................................................5-1 5.2.2 Modernized EDGARLink Attributes ..................................................................................................5-2 5.2.3 EDGAR Filing Website Attributes .....................................................................................................5-2 5.3 5.3.1 5.4 5.4.1 5.5 Explanation of General Submission Requirements ..................................................... 5-2 Modernized EDGARLink Submission Preparation Map ....................................................................5-3 Sequence of Events for Creating a Submission ........................................................... 5-4 Naming Conventions...........................................................................................................................5-6 Modernized EDGARLink Submission Templates....................................................... 5-7 5.5.1 Submission Template Overview .........................................................................................................5-7 5.5.2 Using Submission Templates ..............................................................................................................5-7 5.5.3 Downloading Submission Templates ..................................................................................................5-8 5.5.4 Opening Submission Templates ........................................................................................................5-10 5.5.5 Submission Template Structure ........................................................................................................5-11 5.5.6 Completing Submission Templates ...................................................................................................5-20 5.5.7 Documents List Page Overview ........................................................................................................5-21 5.5.8 Submission Documents .....................................................................................................................5-23 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) viii February 2005 5.5.9 Notification .......................................................................................................................................5-28 5.5.10 Module and Segment Referencing ...............................................................................................5-30 5.5.11 Fee Offsets Page Overview ..........................................................................................................5-32 5.5.12 Fee and Offering Information Page for Offering Submissions .....................................................5-33 5.5.13 Fee and Offering Information Page for Form 24F-2 Submissions ...............................................5-37 5.6 Modules and Segments .............................................................................................. 5-39 5.6.1 Type 1 Modules and Segments .........................................................................................................5-40 5.6.2 Type 2 Modules and Segments .........................................................................................................5-40 5.7 Bulk Filing ................................................................................................................. 5-42 5.8 Saving Your Submission............................................................................................ 5-44 5.8.1 5.9 Using Modernized EDGARLink.......................................................................................................5-44 Validating Your Submission ...................................................................................... 5-45 5.9.1 Field Validation ................................................................................................................................5-45 5.9.2 Document Validation ........................................................................................................................5-45 5.9.3 Submission Validation ......................................................................................................................5-48 5.10 Editing Your Submission ........................................................................................... 5-49 5.10.1 Submission Errors ........................................................................................................................5-50 5.10.2 Document Errors ..........................................................................................................................5-50 5.10.3 Signing Submissions Digitally .....................................................................................................5-50 5.11 Transmissions to EDGAR.......................................................................................... 5-53 5.11.1 Transmitting Single Submissions .................................................................................................5-53 5.11.2 Transmitting Modules and Segments ...........................................................................................5-55 5.11.3 Transmitting Bulk Filings ............................................................................................................5-55 5.11.4 Test Submissions ..........................................................................................................................5-55 5.12 Filing Website Help ................................................................................................... 5-57 5.12.1 6. Modernized EDGARLink Help....................................................................................................5-57 ADDITIONAL MODERNIZED EDGARLINK FEATURES ....................................... 6-1 6.1 Accessing Submission and Company Information ...................................................... 6-1 6.2 Submission Information ............................................................................................... 6-2 February 2005 ix EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 6.2.1 6.3 6.3.1 6.4 Retrieving Submission Notification ....................................................................................................6-3 Retrieve Company Information.................................................................................... 6-5 Edit Company Information .................................................................................................................6-7 Retrieve Module/Segment Information ..................................................................... 6-10 6.4.1 Module Information ..........................................................................................................................6-10 6.4.2 Segment Information.........................................................................................................................6-13 6.5 Return Copy Support ................................................................................................. 6-14 6.5.1 Requesting a Return Copy ................................................................................................................6-14 6.5.2 Retrieve Return Copies .....................................................................................................................6-14 6.6 Series and Classes (Contracts) Information ............................................................... 6-16 6.7 Change Login Password or CCC ............................................................................... 6-16 6.7.1 Changing Your Password ..................................................................................................................6-17 6.7.2 Changing Your CCC (CIK Confirmation Code) ...............................................................................6-18 6.8 Logging in with (Enter) a Different CIK ................................................................... 6-20 7. PREPARING SUBMISSION DOCUMENTS WITHOUT MODERNIZED EDGARLINK ...................................................................................................................... 7-1 7.1 Reduced Content Documentation ................................................................................ 7-1 8. INSTRUCTIONS FOR ATTACHING HTML DOCUMENTS TO ELECTRONIC SUBMISSIONS ................................................................................................................... 8-1 8.1 Overview ...................................................................................................................... 8-1 8.2 Acceptable HTML Document Tags ............................................................................. 8-3 8.3 Acceptable HTML Tags within a Document Body ..................................................... 8-4 8.4 HTML Tags that are NOT Supported by EDGAR ...................................................... 8-6 8.5 Acceptable Attributes for EDGAR HTML Tags ......................................................... 8-6 8.6 Extended Character Sets within HTML Documents.................................................... 8-8 8.7 Template for an Attached HTML Document ............................................................. 8-10 8.8 ASCII or SGML Functionality to be Preserved within HTML Documents .............. 8-10 8.9 ASCII or SGML Functionality Not Supported within HTML Documents................ 8-11 8.10 SEC Recommendations on Preparing Submissions with HTML Documents ........... 8-12 A. SUBMISSION TYPES ACCEPTED FOR ELECTRONIC FILING ........................... A-1 B. EDGAR SUBMISSION TEMPLATES ............................................................................B-1 C. ACCEPTABLE VALUES FOR CERTAIN EDGAR DATA FIELDS ......................... C-1 D. MESSAGES REPORTED BY EDGAR .......................................................................... D-1 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) x February 2005 E. FILING FEE INFORMATION .........................................................................................E-1 F. FORMS FOR ELECTRONIC FILING ........................................................................... F-1 G. GLOSSARY OF COMMONLY USED TERMS, ACRONYMS, AND ABBREVIATIONS ............................................................................................................ G-1 H. FORM 13F SPECIAL ELECTRONIC FILING INSTRUCTIONS ............................. H-1 I. INSTRUCTIONS FOR ATTACHING UNOFFICIAL PDF DOCUMENTS TO ELECTRONIC SUBMISSIONS ........................................................................................ I-1 J. SERIES AND CLASSES (CONTRACTS) INFORMATION PAGE ............................ J-1 K. APPLYING FOR ACCESS TO EDGAR ........................................................................ K-1 L. INSTRUCTIONS FOR ATTACHING UNOFFICIAL XBRL DOCUMENTS TO ELECTRONIC SUBMISSIONS .......................................................................................L-1 February 2005 xi EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1. INTRODUCTION TO THE FILER MANUAL AND EDGAR 1.1 Organization of this Manual This volume is divided into chapters and appendices. The paragraphs and subparagraphs are numbered for easy reference (e.g., 1.2, 2.6.1). When necessary, chapters have been further divided into Sections (e.g., 4-A). The chapters of this volume primarily refer to the preparation of EDGAR submissions. From this point forward, when we reference EDGARLink, we are referencing the Modernized EDGARLink submission assembler for Modernized EDGAR. Chapter 8 describes the characteristics and limitations of Hypertext Markup Language (HTML) documents. Appendix I describes the characteristics and limitations of Portable Document Format (PDF) documents. The following outline shows you where to find information in this volume. An index is also provided at the end of this document. CHAPTER 1 -- Introduction to the Filer Manual and EDGAR CHAPTER 2 -- Certificates CHAPTER 3 -- Getting Started Using Modernized EDGARLink CHAPTER 4 – Preparing EDGAR Documents CHAPTER 5 -- Preparing and Transmitting Submissions to EDGAR CHAPTER 6 -- Additional Modernized EDGARLink Features CHAPTER 7 -- Preparing Submission Documents without Modernized EDGARLink CHAPTER 8 -- Instructions for Attaching HTML Documents to Electronic Submissions APPENDICES: A Submission Types Accepted for Electronic Filing This appendix provides EDGAR submission types given to each SEC form or rule that requires a filing. It also references Appendix B, which provides examples of templates containing information that must accompany each submission. B EDGAR Submission Templates February 2005 1-1 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) This appendix provides a list of submission templates and the submission types within each submission template. It also contains sample submission template information. C Acceptable Values for Certain EDGAR Data Fields EDGAR recognizes specific values for certain fields in each submission template. This appendix lists the values you must provide in the specified format. D Messages Reported by EDGAR This appendix provides information on acceptance, suspension, and EDGAR error messages, including all HTML/PDF error messages. E Filing Fee Information This appendix provides information on how to use FEDWIRE to create, maintain, and transfer filing fees into an electronic Lockbox. F Forms for Electronic Filing Form ID Form SE Form TH G Uniform Application for Access Codes to File on EDGAR Form for Submission of Paper Format Exhibits by Electronic Filers Notification of Reliance on Temporary Hardship Exemption Glossary of Commonly Used Terms, Acronyms, and Abbreviations This glossary contains terms acronyms, and abbreviations used in the Filer Manual, on EDGARLink, and the Filing website. H Form 13F Special Electronic Filing Instructions This glossary contains the rules and template for submitting a Form 13F. I Instructions for Attaching Unofficial PDF Documents to Electronic Submissions This appendix provides information to help you create and attach SEC-acceptable PDF documents. J Series and Classes This appendix provides information for investment company entities on how to enter series and classes (contracts) information in order to establish identifiers and how to maintain series and classes (contracts) information. K Applying for EDGAR Access (Electronic Form ID) This appendix provides information to help you obtain password and access codes for the EDGAR system. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1-2 February 2005 L Instructions for Attaching Unofficial XBRL Documents to Electronic Submissions This appendix provides an overview of XBRL and instructions for attaching unofficial XBRL documents to electronic submissions. 1.1.1 Conventions Used in the Filer Manual As you read this volume you should notice attributes assigned to certain types of text:       Instructions to press a key on a keyboard or click a button on the screen appear in square brackets and in title case:  Press [Enter]  Click [Module/Segment] Titles of check, dialog, and list boxes, fields, functions, options, processes, queries, reports, pages, tables and windows appear in title case:  Submission Type list box  Name field  Company Information query  Return Copy check box Menus, menu options, radio buttons, and statuses appear in title case and have double quotation marks around them:  “Test Filing” radio button  from the “Edit” menu, select “Copy”  “Busy” status Directories and file names appear bolded:  the C:\temp directory  click on the EDGARInstaller.exe icon Keystroke combinations appear between less-than and greater-than brackets and in upper case:   Internet Hyperlinks appear underlined:  Home 1.2 The EDGAR Filer Interface Updates This section highlights the EDGAR Filer Interface, EDGARLink and the Filing website changes for the various releases since we implemented the Modernized system. February 2005 1-3 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1.2.1 Release 8.10 EDGARLink Templates and Filing Website Updates In February 2005, EDGAR Release 8.10 introduces the following changes:     For submission form types 485BPOS and 486BPOS, the filer is now required to enter an Effectiveness Date. Added new Exhibit EX-99.Rule23C1 for Form N-CSR. Submission form types N-23C-1 and N-23C-1/A have been rescinded. Submission form type 25 has changed. It is now filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange and is now required to be filed electronically. Note: Changes for Submission types 25 and 25/A are to be used only in the event the SEC adopts the rule on mandatory electronic filing of the forms by issuers. The implementation date will be provided within the adopting release. (See Release No. 34-49858 (June 15, 2004) [69 FR 34860])  The list of Self-Regulatory Organizations in Appendix C.1.5 has been updated to show the name change of Cincinnati Stock Exchange to National Stock Exchange. 1.2.2 Modernized EDGARLink When you compile your submission using EDGARLink, you will use the Template Viewer, a Windows application that is based on templates. These templates help you create and merge the different parts of your submission. You can download these templates from the EDGAR Filing website to your PC and work with them without being connected to the Internet or to EDGAR. These templates have fields where you enter information, such as form type, CIK, CCC, SROS, document/module/segment file names, and e-mail addresses. There are a number of templates based on the types of submissions, like a 10-Q or SC 13G. Before transmitting your submission, you should error check it with Modernized EDGARLink and save it to your PC hard drive. Once you enter all of the information needed and attach your documents, it is ready for transmission to EDGAR. Modernized EDGAR and EDGARLink have not changed the process of creating Investment Management Semi-annual Report (N-SAR) documents. You can reference information on creating N-SAR submissions in the EDGAR N-SAR Supplement Filer Manual (Volume II). 1.2.3 EDGAR Filing Website Use the Filing website to communicate with EDGAR. It is like many other websites that you now visit, and uses the same browser-based application software and transmission methods as those other sites. If you can communicate with other websites, then you will probably be able to reach EDGAR with little or no changes to your hardware or software configurations. You can reach this website by using the Filing website Universal Resource Locator (URL) which is (https://www.edgarfiling.sec.gov). EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1-4 February 2005 Note: Please remember to enter https. You will not be able to access the Filing website without the "s" designation. We require that your browser support Java script and we recommend that you accept browser “cookies” when accessing this website. The EDGAR software contains functions that allow us to remind you if you need to update your software depending upon the last time you visited the Filing website. This information is recorded in your browser cookies. 1.2.4 Web Browser EDGAR and the Filing website only work with the two industry standard web browsers. We recommend you use Netscape version 4.0 or later, or Internet Explorer version 5.0 or later. The use of browsers is discussed in Chapter 3. Note: The Filing website is incompatible with Netscape version 6.0. 1.2.5 Filing Transmission Methods Redesigning the way you transmit filings is one of the steps that we took to modernize EDGAR. You are able to use the industry standard methods for transmission that come with your operating system. You have three transmission options; the first is to access EDGAR through the Internet. It is your decision as to the best means to access the Internet. EDGAR accepts transmissions from any Internet source, so you can decide which Internet Service Provider (ISP) best suits your needs. The second option is through direct dial telecommunications lines using your modem. In using any of the Windows-based operating systems, this is commonly referred to as direct dial networking. You will setup Windows to use direct dial networking using a Point-to-Point Protocol (PPP) application. You will also be asked to provide a telephone number. To direct dial Modernized EDGAR, use 703-914-7140 as the telephone number. All EDGAR modems associated with this telephone number are configured to accept the direct dial transmissions. Use this telephone number for direct dial access only. When you use the direct dial option, you are restricted to website links only on the Filing website. Before you connect to EDGAR, you are prompted for a user name/password to access the EDGAR system. Please use edgar/filing as the user name/password combination. For more information please refer to Chapter 3, Section 3.2.1. The third option is to connect using a Leased Line. This method is commonly used by bulk filers, and arrangements must be made to set up each user; refer to Chapter 5, Section 5.11. February 2005 1-5 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1.2.6 Changing Company Information It is the obligation of the registrant to keep the company information on EDGAR current and valid. All changes to your company information are made immediately except for changes to your company's name. Our Filer Support staff needs to review any change to your company's name. For details on changing your company information, please refer to Chapter 6, Section 6.3.1, Company Information Update. You now change your CIK Confirmation Code (CCC) and password using the Filing website. For more information on changing your password and CCC, please refer to Chapter 6, Sections 6.7.1 and 6.7.2. 1.2.7 Viewing Submission Status Filers may access the Filing website to check on the status of their submissions; see Chapter 6, Section 6.2. You may still choose to use e-mail for your submission confirmation, but Modernized EDGAR has added this alternate method for getting information on your submission status. You will only be permitted to view the status of submissions that you have submitted. 1.2.8 Downloading Return Copies Requested Return Copies can be downloaded from the Filing website; see Chapter 6, Section 6.4. 1.3 Preparing to Become an EDGAR Filer To become an EDGAR filer, you must:        Obtain EDGAR-compatible hardware (computer equipment) and software; Section 1.3.2. Secure an ISP for access to the Internet, or configure your Windows OS and modem for direct dial (PPP). Submit an electronic Form ID application and accompanying notarized authenticating documentation to the SEC (refer to Appendix K of this document for more information). You cannot access the EDGAR Filing website until the SEC accepts your Form ID application. Generate EDGAR access codes (refer to Appendix K of this document for more information). You cannot access the EDGAR Filing website without EDGAR access codes. Download Modernized EDGARLink software and templates; see Chapter 3. Install Modernized EDGARLink software on your PC; see Chapter 3. Properly prepare and maintain documents and software; Section 1.3.2. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1-6 February 2005 1.3.1 Filing a Form ID with the SEC to Get Your Access Codes Before you can use the EDGAR system, you must submit a Form ID application to be accepted as an EDGAR filer (refer to Appendix K for more information). An EDGAR filer can be a registrant, a third-party non-registrant filer, a third-party agent filing for another individual or entity, or a training agent. EDGAR filers may send submissions on their own behalf or use a filing agent. Training agents may only send test submissions. A duly authorized person, such as a partner, president, treasurer, corporate secretary, officer, or director, must sign the Form ID. Section 16 filers may have someone with their power of attorney sign the Form ID. Filing agents such as financial printers cannot sign this Form on behalf of the issuer unless they are specifically authorized to do so in writing. The documentation should accompany the Form ID. As an applicant for EDGAR access codes, you must indicate whether you are a filer, filing agent, or training agent as defined in Part I of the Form ID General Instructions. If you plan to file on EDGAR in more than one capacity, a separate Form ID must be completed and submitted for each capacity. For example, if you want to make EDGAR submissions as a registrant, and as a filing agent, and as a training agent, you must submit a separate Form ID for each filing capacity. You will receive three separate sets of CIKs and access codes. It is mandatory to include the registrant’s Tax Identification Number (TIN) when we establish domestic companies. This is for companies only, not individuals. If you do not have your TIN when you submit your initial Form ID, you may add it to the EDGAR database by going to the EDGAR Filing website and add it to your company’s information. You must file your Form ID application electronically via the EDGAR Filer Management website, and you must fax the required notarized authenticating documentation to the SEC. Intentional misstatements or omissions of facts constitute federal criminal violations. See 18 U.S.C. 1001. Appendix K of this volume contains instructions regarding how to do this. Appendix F of this volume contains a copy of the paper Form ID, but it is for reference only; you cannot submit a paper Form ID. You can print various EDGAR-related forms (e.g., Form TH, Form SE) from the www.sec.gov website. You can also request additional copies from the SEC’s Publications Office by calling (202) 942-4040, or by making a written request to the following address: ATTN: Publications Branch US Securities and Exchange Commission Mail Stop 3C40 450 5th Street, NW Washington, DC 20549 You must fax the notarized authenticating documentation associated with your electronic Form ID to the following office: February 2005 1-7 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) US Securities and Exchange Commission ATTN: Filer Support (202) 504-2474 or (703) 914-4240 You may contact Filer Support (202) 942-8900 if you require additional information. After we accept your Form ID application, you will receive instructions on how to obtain the following four access codes:  CIK -- Central Index Key: The CIK is a number that we assign to each entity that submits filings to us. Use of the CIK allows us to differentiate between filing entities with similar names. A CIK is used to identify all filers, both EDGAR and nonEDGAR. Individuals should use their own CIK number and password each time they file with EDGAR, even if their filings relate to different registrants.  Using the CIK to Login and Identify Submitter Registrants: The CIK is the one EDGAR access code that is available to the public. In EDGAR, the CIK is used with a password for login identification (sometimes referred to as a login CIK). This identifies the submitter, which could be a registrant, a non-registrant, a filing agent, or a training agent. The CIK is also used with the CCC in submission headers to identify the registrant. The CIK is a permanent identifier; you may not change it. You can login to EDGAR using any valid CIK-password combination. The login CIK will be part of the accession number for the submission.  CCC -- CIK Confirmation Code: The CCC is a code of eight characters having at least one number (0-9) and at least one special character (@, #, $, *). The CCC is case-sensitive and you must use it exactly as created, either in upper or lower case. Because the CCC is case-sensitive, if you use lower case letters when the CCC is created or changed, you must use lower case letters when entering the CCC in submission headers. To avoid confusion, we do not use the number 1 (one), the lower-case letter “l” (el), the number 0 (zero), or the capital letter O (oh) in assigning codes. We suggest that you also avoid using these numbers and letters when changing your CCC. You will need both a CIK and its corresponding CCC to submit a filing.  Releasing the CCC To Filing Agents and Financial Printers: If you use a filing agent, you may release the CCC to your agent because you must include a CCC in your submission. When a thirdparty agent submits a filing for you, the agent uses its own login CIK EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1-8 February 2005 and password to establish authorization to make a submission. However, the agent must use your CIK and CCC in your submission in order to identify you as the entity for which the submission is being made.  Changing Your CCC: Although we initially assign a CCC to you, there will be times when you should change it. To ensure only you know your CCC, you should change your CCC (1) before you use EDGAR the first time, and (2) after a third-party filing agent has used it for a submission on your behalf. You will find procedures for changing the CCC in Chapter 6.  Password: The password is a code of eight characters having at least one number (09) and at least one special character (@, #, $, *). The password is casesensitive and you must use it exactly as created, either in upper or lower case. You use it in combination with a CIK to identify the entity making a submission. Since a CIK is public information, a second, confidential code is necessary to ensure that whoever is sending a submission to EDGAR is authorized to do so. You must enter both a CIK and a password to access EDGAR. The CIK is public and you may give it and the CCC to your agent to make submissions on your behalf, but you should hold the password in strictest confidence.  Changing Your Password: Although we will assign a password to you, you should change that password before beginning to use the system. You will find procedures for changing a password in Chapter 6. To change a password, you must use a Password Modification Authorization Code (PMAC). You should change your password periodically. Your password will expire 12 months after it was created or last changed. If you are locked out of EDGAR because your password has expired, you may generate a new set of legacy EDGAR access codes (PMAC, password, CCC) via the EDGAR Filer Management website using your passphrase. If you have also forgotten your passphrase, you must request a new passphrase (also via the EDGAR Filer Management website) before you can generate a new password. A request for a new passphrase must be accompanied by authenticating documentation, and it must be accepted by the SEC, so be sure to keep your password up to date (refer to Appendix K for instructions on how to generate a new set of legacy EDGAR access codes and how to request a new passphrase).  PMAC -- Password Modification Authorization Code: You must use the PMAC to authorize a change of password. The PMAC is a code of eight characters having at least one number (0-9) and at least February 2005 1-9 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) one special character (@, #, $, *). The PMAC is case-sensitive and you must enter it exactly as created, in lower case. We create the PMAC in lower case only. It is a very private code that we assign and then send to you, and only one or two persons in an organization should know this code. To request a new PMAC, you must submit an amended Form ID marked “Request for New PMAC.” We will process your request and fax or e-mail the PMAC to you. The CIK is public and you may give it and the CCC to your agent to make submissions on your behalf, but you should hold the PMAC in strictest confidence. Part of the process of submitting an electronic Form ID application is to specify an EDGAR passphrase:  Passphrase: The passphrase is used to generate a set of legacy EDGAR access codes (PMAC, password, CCC). The passphrase follows the PMAC formatting and usage rules (see above). Because it can be used to generate the legacy EDGAR access codes, the passphrase is a very sensitive code that should be strictly controlled. Access to it within your organization should be extremely limited. As mentioned previously, requesting a new passphrase must be done via the EDGAR Filer Management website, it must be accompanied by notarized authenticating documentation, and it must be accepted by the SEC (refer to Appendix K for instructions on how to generate a new set of legacy EDGAR access codes and how to request a new passphrase). The SEC does not keep these codes on file. It is the responsibility of the individual designated as the Contact for EDGAR on the Form ID to provide these codes to the EDGAR filing parties, and to keep the codes secure. Section 16 filers must provide their EDGAR codes to their EDGAR contact at each of the companies for which they are insiders. Only ONE set of EDGAR codes will be valid for each individual, so it is essential that all relevant companies be given the codes. Only one Form ID should be submitted for a registrant. 1.3.1.1 Keep Assigned Access Codes Private To protect the integrity and security of the data you send, you must limit the number of people who know your CCC, password and PMAC. 1.3.2 EDGAR Hardware and Software Requirements You can transmit a submission using the Internet, a direct dial networking transmission via PPP, or a leased line connection. The following list states the recommended system requirements:  PC with the following:  500+ MHz processor EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1-10 February 2005        Windows 95 version B or higher, 98, 2000, NT, or XP Note: EDGARLink is not supported on Windows 95  128 MB of RAM recommended; less may cause program or system performance problems  Hard Drive with 100 MB of disk storage to install the software and 20–30MB of disk storage for submission preparation and transfer Monitor (color recommended, but not required) Printer (recommended, but not required) Internet browser: Netscape Navigator version 4.0 or higher or Internet Explorer version 5.0 or higher and supporting 128-bit cipher strength. Java should be enabled in the browser. EDGARLink and the Filing website do not support Netscape 6.0 Word processing or spreadsheet applications having the option to save documents as standard ASCII or HTML text Internet or direct dial access through a telephone/data line and a modem/router. In some cases, you may need to use a PBX telephone/data line. If you are using a PBX line, you may need to modify the telephone number that is used for direct dial connections We recommend you use the default settings during the EDGARLink install 1.3.2.1 Software Requirements This section discusses the PC software requirements to use EDGARLink. 1.3.2.1.1 Windows Requirements To run a standard Web browser and the Modernized EDGARLink application, you will need to use a 32-bit version of the Windows Operating System. Windows 95 version B or higher, 98, 2000, NT, or XP meets this 32-bit standard (Note: EDGARLink is not supported on Windows 95). If your operating system is something other than Windows, you may be able to access EDGAR using the Windows emulator. However, the Modernized EDGARLink application was developed and is certified to run on a PC-based Windows 32-bit platform and is not guaranteed to run correctly in a non-Windows (i.e., Linux, Macintosh, or OS/2) session. If you have a proxy server or a firewall you may experience problems downloading EDGARLink. For more information about installing and using the Web browser and Modernized EDGARLink, see Chapters 3 and 5. 1.3.2.1.2 Operating Requirements After installation, Modernized EDGARLink occupies approximately 70 MB of disk space. You will need additional space for storing the text of submission documents. You also need 10+ MB of free disk space for Modernized EDGARLink to run. February 2005 1-11 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Note: You will need at least 20 MB of space on your C: drive, even if you install EDGARLink on another hard disk, such as your D: drive. Make sure that your PC has the date and time set correctly. If your PC date and time does not match EDGAR’s time and date, you could have submission errors. (Open the Control Panel and double click the Date/Time shortcut). 1.3.2.2 Internet Communication and Direct Dial Connections to EDGAR To access the Filing website, you must first setup a connection through an Internet Service Provider (ISP) or use a direct dial (PPP) application. You should be aware that using the Internet is not without risk. Since many filers use the Internet on a day-to-day basis, they may assume that this filing path is always available. This is not always the case. Because the Internet consists of interconnecting communications equipment owned by many different companies and each essential to the delivery of your communications, the SEC cannot guarantee your Internet connection. The SEC has designed the EDGAR system to provide redundancy. If there are problems with the SEC’s Internet connection we will reroute traffic through other available routes. The newer your browser and operating system, the more effective your platform may be in sensing those route changes and responding to them. We recommend upgrading your browser and operating system to configurations that take advantage of more modern Internet technologies. We have tested the following configurations:   Windows 2000 with Internet Explorer 5.0 and 5.01 Windows NT 4.0 (Service Pack Six) with Internet Explorer 5.003 There are also other methods you should use to ensure the delivery of your filing. If your filing is critical, allow for potential Internet system outages by making your filing early. If this is not possible, then a backup transmission plan is essential. Keep a modem so that you can make use of the direct dial (PPP) lines. If you don’t want to use a modem when there is an Internet outage, then consider having lines from more than one Internet Service Provider or multiple path lines from a single service provider. Use your Internet browser, Netscape, or Internet Explorer, to access EDGAR by entering the Filing website URL: https://www.edgarfiling.sec.gov in the address location field or in the Open Location window. When you log into the EDGAR Filer Web page you can download form type templates, transmit electronic submissions, or otherwise communicate with EDGAR. Anyone with a CIK and password with the necessary requirements can download the Modernized EDGARLink software and submission templates. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1-12 February 2005 1.3.2.3 Legacy Transmissions Legacy Transmission support has been discontinued, including EDGARLink for DOS, Kermit, and X-modem. The FTP filers have been switched to Leased Lines. 1.3.3 Receiving E-Mail Status of Filings from the SEC You can receive acceptance or suspense messages to an Internet electronic mail (e-mail) address; see Chapter 5. Notifications and requested Return Copies are available on the Filing website; see Chapter 6. You cannot be sure EDGAR has accepted your submission unless you receive an acceptance message. You have not made an official filing unless your acceptance message includes a filing date. See Appendix D for more information. The Filing website provides a quick way to check the status of your submission. Log into the website and query for information on your submission, see Chapter 6. 1.3.3.1 How EDGAR Uses the Internet for E-Mail If you use the Notification page on your submission template to list additional e-mail addresses, EDGAR will forward acceptance and suspense messages to all specified e-mail addresses. As an EDGAR filer, you are entirely responsible for setting up a valid Internet address through an ISP. Internet access rates vary per ISP. Please note the following information about the EDGAR Internet services:    With an Internet address, you can receive timely information regarding the acceptance or suspension of your filing You must use the Notification page for all filer-directed notifications for a specific filing The following information will not appear in Internet notifications for TEST or SUSPENDED LIVE filings:  Subject-Company Name  Subject-Company CIK  Form Type Note: When you download your notifications from the Filing website, the SubjectCompany Name, CIK, and Form Type appears in the body of the notice.   February 2005 All Internet addresses have a maximum length of 80 characters. Only valid EDGAR characters are accepted for Internet addresses. We also recommend that you do not use the double quote (") character in an Internet address EDGAR no longer e-mails requested Return Copies. You must download them from the Filing website 1-13 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1.3.3.1.1 How to Order Internet Service Contact a local ISP for information on obtaining Internet access for general and EDGAR use. We do not recommend or prefer any individual ISP. 1.3.3.1.2 How Mail Is Addressed to the Internet Address EDGAR sends acceptance and suspense messages to a valid Internet e-mail address that you list in your Company Contact Information on the EDGAR Filing website. When you use the Notification page, EDGAR will also send e-mail to additional Internet e-mail addresses on a filing-by-filing basis. In addition, your company contact Internet e-mail address, which may be updated on the Filing website, will always receive an acceptance/suspense message when you submit a filing, unless you activate the Notify Via Filing Website check box. On a per-filing basis, EDGAR sends submission notifications to any e-mail address listed either on the Company Contact Information form and the Notification page. The Notification page adds supplementary addresses for receiving notifications. If you wish to permanently change the e-mail address, then edit the Company Contact Information form on the EDGAR Filing website. When submitting filings after 5:30 p.m., Eastern time, we recommend that you retrieve submission information on the EDGAR Filing website to inquire about your submission status. Note: Requested Return Copies are not sent via e-mail address. You can only download requested Return Copies via the Filing website; see Chapter 6. 1.3.4 Properly Prepare and Maintain Documents and Software    When you prepare an ASCII document for your submission, you must limit line width to 80 characters for text and 132 characters for tabular material (between table tags) Keep a manually signed signature page (or equivalent document) on file for five years Make a backup copy of the SEC-provided EDGAR Installation software downloaded from the Internet and the N-SAR software in case you need to re-load them on your system 1.4 How to Obtain the EDGAR Filer Manual, Modernized EDGARLink, and N-SAR Software You can download the latest version of the Filer Manual from our website (www.sec.gov) under “Information for EDGAR Filers.” The Filer Manual is also available in HTML format on the EDGAR Filing website (https://www.edgarfiling.sec.gov). We distribute Modernized EDGARLink software via the Internet in a self-extracting InstallShield file at no charge. We distribute the DOS N-SAR software, to be copied to one highdensity 3.5 inch diskette, from our website, (www.sec.gov). You can copy Modernized EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1-14 February 2005 EDGARLink or N-SAR software free of charge and without restriction. You can purchase additional copies of the EDGAR Filer Manual from Thomson Financial, formerly Disclosure, Inc., at the following address: ATTN: Thomson Financial Public Reference Room US Securities and Exchange Commission Mail Stop 1-2 450 5th Street NW Washington, DC 20549 Or, call Thomson Financial at one of the following numbers: (800) 638-8241 (301) 951-1350 You can download updates to Modernized EDGARLink, submission templates, or N-SAR software when available. The Filing website automatically checks (if you are using “cookies”) to see if you have downloaded the latest version of software and templates. You will find instructions for downloading the software in Chapter 3. Warning: When you login to the Filing website, please read the Welcome Page. It contains information about EDGAR filing requirements, activities, and new versions of the software and templates. If you need to upgrade your software or templates, go to the Filing website Download page and upgrade immediately. If you need a new version of N-SAR installed, you can download and upgrade the N-SAR software from our website, (www.sec.gov). Since downloading can be time-consuming, we suggest that you verify and update (if necessary) the versions in advance of initiating the transmittal of a LIVE filing. Note: Thomson Financial, formerly Disclosure, no longer distributes the N-SAR software. 1.4.1 Hours of Operation EDGAR accepts direct transmissions of electronic submissions each business day, Monday through Friday, from 6:00 a.m. to 10:00 p.m., Eastern time. Transmissions started but not completed by 10:00 p.m. Eastern time may be canceled, and you may have to re-submit on the next business day. 1.4.2 Filing Date of Electronically Transmitted Submissions If you begin direct transmission of a live submission after 5:30 p.m. Eastern time and the submission is accepted, it will have a filing date as of 6:00 a.m. the next business day. For special filing date processing of certain T+3 submission types, refer to Appendix A. If you start direct transmission at or before 5:30 p.m., it will receive that day's filing date if it is accepted. February 2005 1-15 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Note: Remember that submission transmission does not begin until EDGAR receives the first byte of a transmission. When you make a time-sensitive submission, allow time for setup of your Internet or direct dial connection, building and error checking the submission, and the start of the transmission. 1.4.3 Where to Send Paper Filings Official filings made in paper as a result of a hardship exemption should be accompanied by Form TH and mailed to the following address: Headquarters Location ATTN: Filing Desk US Securities and Exchange Commission Mail Stop 1-4, Room 1004 450 5th Street, NW Washington, DC 20549 1.5 Getting Help with EDGAR For general filing and technical information or help with the EDGARLink software or the Form N-SAR application; contact our Filer Support Staff in the Office of Filings and Information Services: Filer Support Staff can help you each business day from 7:00 a.m. to 7:00 p.m., Eastern time. You may reach them at (202) 942-8900 for help. 1.5.1 Getting Help with the Content of Filings or Exemptions/Adjustments For general fee information, contact our Fee Account Services Branch in the Office of Financial Management at (202) 942-8989. For non-technical filing questions including filing content, hardship exemption requests, and filing date adjustments, contact the EDGAR Support Staff in the Divisions of Corporation Finance or Investment Management during normal business hours 9:00 a.m. to 5:30 p.m., Eastern time. If you need help with Corporation Finance filings, contact the Office of EDGAR and Information Analysis in the Division of Corporation Finance at (202) 942-2940. If you need help with investment company filings (except Form N-SAR or 24F-2), contact the Division of Investment Management at (202) 942-0978. If you need help with Form N-SAR or Form 24F-2, contact the Division of Investment Management at (202) 942-0513. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1-16 February 2005 If you need help with Public Utility Holding Company Act filings, contact the Office of Public Utility Regulation, Division of Investment Management at (202) 942-0558. 1.5.2 Frequently Asked Questions Since we opened the Operational EDGAR system for testing on May 1, 1991, EDGAR filers have called Filer Support with a variety of questions about EDGAR. Below are some of the more frequently asked questions and answers. Questions Answers How do I reach the EDGAR Filing website? You can reach this site by using the Filing website URL, which is https://www.edgarfiling.sec.gov. Please bookmark this site the next time you visit it. How do I reach the EDGAR Filer Management website? You can reach this site by using the EDGAR Filer Management website URL, which is https://www.filermanagement.edgarfiling.sec.gov. Please bookmark this site the next time you visit it. Which Web browser shall I use? We recommend using one of the industry standard Web browsers, either Microsoft Internet Explorer 5.0 or later, or Netscape 4.0x - 4.7x. Other browsers, including Netscape 6.0 and AOL, are not supported by EDGAR at this time. Why may filing agents have more than one CIK? Filing agents may have several CIKs for accounting and management purposes. For example, a filing agent may use a different CIK for each operating office, each industry group, or for certain categories of filers on whose behalf they make an SEC filing(s). However, the filing agent must use a separate and distinct CIK for any filing(s) they make on their own behalf. What happens if I submit a filing by mistake? This could be a very serious problem if the filing does not contain errors that would cause EDGAR to suspend the filing. Once EDGAR accepts a public filing, it is immediately disseminated. We cannot intercept a filing after its acceptance and prevent its dissemination, nor can we retrieve the filing. February 2005 1-17 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Questions Answers How quickly can I determine whether my filing was accepted? The quickest way for you to find out if your filing was accepted or suspended is to use the Filing website. You can also read the messages EDGAR will send to your Internet e-mail address. How do I use digital signatures? Digital signatures increase the privacy protection of your documents when you transmit your submission over the Internet. You may attach a digital signature to your submission by clicking on the "Signature" bar and following the instructions. Can I transmit Legacy ASCII/SGML submissions using the Filing website? No, submissions with ASCII/SGML headers filed via the Internet will be suspended for invalid format. Since Legacy EDGAR direct-dial support was discontinued on April 20, 2001, filers must assemble their submissions with the Modernized EDGARLink software and templates, which may be downloaded from the Filing website. Why can't I transmit my filings to EDGAR via the PDN and receive filing notifications via my Private Mail account anymore? We discontinued support for the Public Data Network (PDN) and Private Mail on November 27, 2000. The Filing website is designed to replace all PDN and Private Mail functionality. Please transmit your filings to EDGAR and access your notifications and Return Copies through this website. How do I change my password? You may change your password within 10 days of the expiration date using the Filing website. If both the password and the grace period have expired, you may generate a new set of EDGAR access codes (including the password) using the EDGAR Filer Management website and your passphrase. If you have forgotten your passphrase, you must request a new one before you can generate a new set of EDGAR access codes (refer to Appendix K for more information on the EDGAR Filer Management website capabilities). How do I change my CCC? You may change your CCC using the Filing website. Login to EDGAR using the Filing website, click on Retrieve/Edit Data, then click on Change Login Password or CCC. Please note that CCCs do not expire. Can I change an expired password via the Filing website? Yes, if you change it within 10 days of the expiration date. If both the password and the grace period have expired, you must use your Passphrase to generate new access codes. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1-18 February 2005 Questions How do I change company information? Answers You may update company information using the Filing website by entering company information on the Change Company Information page and submitting the changes to us. You must provide the CIK and CCC for that company before you can change any information. How do I name my attached All document file names must be in lower case and no longer documents for filings sent via the than 32 characters in length. The names must start with a (aFiling website? z) character and may contain (a-z) characters and (0-9) characters. File names may contain one '.', one '-', and one '_' character. File names must end with *.htm, *.txt, *.pdf, *.fil, *.jpg, *.gif, *.xsd, or *.xml extensions. How do I check the status of a submission? You can check the status of filings using the Filing website. Once you have logged into EDGAR and accessed the Company and Submission Information Retrieval page, you can access submission information for your CIK. You must provide the CCC for the Login CIK or the Primary Filer/Filed-By CIK before you can access any submission information. How do I verify my Modernized EDGARLink version? You can download updates to the Modernized EDGARLink software and submission or module templates as they become available from our Filing website. If cookies are enabled on your browser, the Filing website verifies the template version. If you are using the latest version of the template, the Filing website notifies you that you have already downloaded the template. When new versions of the templates are available, a notice will be posted on the EDGAR Welcome page. How do N-SAR software and Modernized EDGARLink interact? We produced the N-SAR software for the Division of Investment Management to help you prepare and submit your N-SAR reports. You must use the N-SAR PC application version 6.1.a to prepare your document, answer.fil. Once created, N-SAR documents can also be added to a submission using Modernized EDGARLink, the software provided to EDGAR filers in Modernized EDGAR. They can then be transmitted to us using the Internet, direct dial protocol, or leased line. February 2005 1-19 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Questions Answers How do I prepare and transmit my N-SAR? Modernized EDGAR has not changed the process of creating N-SAR documents. You must continue to use the N-SAR version 6.1.a to prepare your answer.fil document. After creating your answer.fil document, use Modernized EDGARLink and submission template 3 to assemble your NSAR submission. Then access the Filing website and transmit your N-SAR submission to EDGAR. Why can't I attach the Answer.fil During any file save operation, the DOS operating system (or a DOS window under Windows) will always convert the that is generated by the N-SAR initial letter (or all of the letters) of the file name to application to my submission? uppercase. For example, answer.fil becomes Answer.fil when initially created and saved by the N-SAR application. This capitalization was incorporated into various Microsoft operating systems by design. Since Modernized EDGARLink does not accept any capital letters within a file name, you must rename your Answer.fil (or ANSWER.FIL) to answer.fil before attaching it to your N-SAR submission. Can I submit my filing in PDF format? You may submit the PDF version of your filing as an unofficial document attachment to the assembled submission. EDGAR must receive all official documents in either ASCII/SGML format or HTML format (with optional JPG or GIF Graphic support files) or the submission will be suspended. How do I view an assembled submission or individual document prior to transmitting it to the SEC? You may view an individual document by selecting "View Document" on Page 2 of the submission template. We recognize a need for filers to view or print a submission in its entirety prior to transmission, but given the variety of document formats (ASCII, HTML, JPG, GIF, PDF, etc.) that are supported, this functionality is not likely to be incorporated into EDGARLink. Can I submit filings on diskette? No, we no longer accept diskette submissions as a filing medium. How do I name modules/segments with the Modernized EDGARLink software? You should submit modules/segments (via Template 5) using uppercase letters and numerals. You should subsequently reference these modules and segments in the same uppercase format as initially submitted. A module/segment can be used either as a Type 1 reference within a document or as a Type 2 reference listed on Page 4 in Templates 1-4. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1-20 February 2005 Questions Answers Should I close all applications, including my browser session, when installing Modernized EDGARLink? Yes, close all applications before activating the EDGARLink InstallShield install program after download. Internal conflicts during install may occur if one or more applications (i.e., mail, browser sessions, etc) are active. Low end PCs (Pentium 160Mhz or lower and only 32MB RAM) may experience poor install and Template Viewer performance too. Why don't N-SAR documents validate when I select document validation on Page 2 or Submission Validation on Page 1? N-SAR documents are validated only as valid ASCII documents. All N-SAR content is validated within the NSAR application before the answer.fil document is created. Why does my browser connection fail during large file transfers to the FWS? The browser may not allocate enough cache for the current transmission. You may need to make more cache available to the browser (the recommended minimum is 20MB) before transmitting large filings to EDGAR. Can I download my Return Copy more than once? Return Copies are available for seven (7) business days. During that time, you can download more than once. Why can I not delete any "list" items (including SROS and Notify-Internet fields) from the EDGARLink templates? There is no "Delete" button for these options due to software (COTS) limitations; however, you can "blank out" these fields when you wish to "delete" this information. Why does Modernized EDGARLink generate the error message "Cannot Perform Validation - Select at least one HTML, PDF, or ASCII document before proceeding" when performing a document validation? You must select the "Validation" check box for at least one document before performing a document validation. The flag is located on the far right of Page 2 for each document attached. You may need to scroll your window to the right to see the Validation flag. Depending on screen size, it may not be immediately viewable from the default screen. February 2005 1-21 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Questions What order shall I attach documents when assembling a submission using Modernized EDGARLink? Answers For optimum results and no Legacy conflicts, documents should be selected in the following order: 1. Primary Document (8-K, 10-Q, S-1, etc.) 2. Supporting Official Documents (exhibits, cover, etc.) 3. Graphics (if any) 4. Unofficial PDF Documents (if any) If you follow this ordering scheme and format your documents correctly, EDGAR should encounter minimal anomalies during acceptance/dissemination of your submission. Why do I get an "Accepted" status after submitting correspondence or company update via the FWS? EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) The "Accepted" status means that EDGAR has successfully routed the submission to the appropriate internal and external destination(s). Public filings are sent out immediately through the Public Dissemination System. Live correspondence (CORRESP) submissions and company updates (COUPDAT) with a status of "ACCEPTED", as well as attached cover letter documents, are considered private. All private submissions and documents are immediately available internally to the SEC staff and are not immediately disseminated to the public. The SEC staff may release all or portions of these documents electronically if they relate to the staff’s review process. See SEC Press Release 2004-89, “SEC Staff to Publicly Release Comment Letters and Responses.” 1-22 February 2005 Questions Answers What happens if I do not install the latest release of EDGARLink? EDGAR will process any submission created using EDGARLink software and submission templates. However, it is recommended that you download any updates to the submission templates and software as soon as they become available to ensure that submissions will be processed successfully. We will announce all updates to any EDGARLink configuration item on the https://www.edgarfiling.sec.gov Welcome page. Software and template updates may include the addition of new submission types, corrections to existing issues, and improvements in processing efficiency. It is very important that you download the latest EDGARLink software and templates together. If we release the software and templates together, as we did with in previous Releases, 7.5, 7.5.b, 8.0, and 8.2, the new templates will probably not be compatible with the older EDGARLink software. Why does the background color on EDGARLink change after viewing and closing the Submission Validation windows? February 2005 This problem may be resolved by refreshing the Submission Validation window or by setting the Color Palette on the Desktop to "True Color". 1-23 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Questions Answers How can I verify if EDGARLink is installed properly? An Integrity Checker program, known as EDGARVerify, is included with EDGARLink. The EDGARVerify program will verify that all critical files for the Template Viewer, JRE, and template functionality are in place and not corrupt. As an example, all relevant files under the following install directories are specifically verified: C:\Program Files\EDGAR C:\Program Files\PureEdge\Viewer 6.0 C:\Program Files\JavaSoft\JRE\1.3 EDGARVerify will notify you if there is any file missing or different. EDGARVerify can operate on most Windows platforms (including 98, 2000, NT, and XP). It will also verify critical Template Viewer or JRE files that have been installed in another drive than the C: drive. EDGARVerify creates two log files (identified in the readme.txt file) after it detects an anomaly. You should have these two log files available for inspection by SEC Filer Technical Support so they may assist you, if you are unable to correct the problem yourself. How will I know if you have changed the EDGARLink software or the Filer Manual? The Filing website will notify you of upgrades to the software and templates. If it has changed, you should download the updated software version. We will post a current version of the Filer Manual on the SEC website (http://www.sec.gov/info/edgar.shtml). Because we provide the updated Filer Manual in electronic format on the website, you can download the complete document and print the entire manual or specific chapters. We will also provide Filer Manual updates through the Public Reference Rooms. Please note that there may be an associated fee for updates retrieved through the Public Reference Rooms. Where do I find the Form ID? Use the following URL to find the paper Form ID: www.sec.gov/divisions/corpfin/forms/id.htm. However, a paper Form ID will not be accepted. You must apply for EDGAR access electronically using the EDGAR Filer Management website at the following URL: https://www.filermanagement.edgarfiling.sec.gov. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 1-24 February 2005 2. CERTIFICATES The EDGAR system no longer supports certificates for logging onto the system. EDGAR does support using digital signatures as an optional method of securing documents during transmission to EDGAR. Filers may obtain a certificate from a private vendor in order to begin using digital signatures. February 2005 2-1 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 3. GETTING STARTED USING MODERNIZED EDGARLINK This section describes the basics of installing and using Modernized EDGARLink. This section will cover the basics about using a browser, accessing the EDGAR Filing website, and how to download and install the software necessary to create, assemble, and error-check a submission. 3.1 Introduction to Web Browsers We upgraded the EDGAR system to make submitting filings easier as well as faster by using Web-based technology. Web browsers read code called Hypertext Mark-up Language (HTML). Many people have become familiar with HTML as they have used the Internet. We are now using a browser as an integral part of EDGAR, providing our interface to the Filing website. 3.1.1 Browser Differences There are two industry standard browsers currently in use today: Netscape Navigator and Microsoft Internet Explorer (IE). The Filing website does not support Netscape version 6.0. Both comply with Secure Socket Layer (SSL) communications that you will use to reach the EDGAR Filing website, and are easy to obtain. Which browser you use is a personal preference. This section contains some functions that are innate to browsers, how your browser should be set up, and the differences between Netscape and IE. For the screen shots in this manual, we use Netscape version 4.08. You should be aware that there might be subtle differences if you are using IE or other versions of Netscape. Netscape Menu Bar Internet Explorer Menu Bar Figure 3-1: Browser Menu Bars Both browsers have very similar navigation functions: [Back], [Forward], [Stop], and [Reload] buttons, Current Address Location fields; as well as performing other functions such as printing and saving. The largest difference between the two browsers is button appearances and where to find the preference settings. For detailed information on your browser, see your browser’s user manual or help function. The browser window works similarly to all windows, in that it can be maximized, minimized, and sized. The default menu bar contains buttons that help you navigate the Internet; however, February 2005 3-1 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) these buttons don’t necessarily help you navigate EDGAR. For the purposes of logging into EDGAR, downloading files, submitting filings and company queries, or updating company information, these buttons do not apply. Some of the functions you can use are Bookmark, to mark the EDGAR Login page for easy accessibility; Back, to correct, add, or remove criteria from a query; and Security, to turn on or off your security functions. 3.2 Accessing EDGAR To access EDGAR, a filer must have EDGAR access codes. New filers, existing filers to whom a Central Index Key (CIK) code never was assigned and filers who want to file in another capacity must use Form ID to apply for EDGAR access codes. Those who must use Form ID must file the form electronically through the EDGAR Filer Management website and fax to the Commission an accompanying notarized authenticating document. If we do not receive your fax, we cannot accept your application. Once your application is accepted, you must then generate your EDGAR access codes. Appendix K of this volume contains instructions on how to do this. Once you have obtained the above listed items, you are ready to login to EDGAR, download submission templates, transmit submissions, run company queries, update your company information, or change your password/CCC. 3.2.1 Login to EDGAR To start submitting filings, entering or editing your company information, changing your password or CCC, checking the status of a submission, or downloading a requested Return Copy, you will need to login to EDGAR: 1. Connect to the Internet or activate a dial-up networking connection. 2. Go to the EDGAR Login page: https://www.edgarfiling.sec.gov You must use https to access the EDGAR Login page. 3. Click in the CIK field and enter your CIK. 4. Press [Tab] and enter your password. This is your login password, not your CCC, or PMAC. Your password is casesensitive. See the Notes at the end of this section for more information about passwords. 5. Click the [Login to EDGAR] button. See the Notes at the end of this section for more information about possible login errors. 6. The Create Passphrase page appears if your CIK and password are valid and you do not have a passphrase. If your CIK and password are valid and you have a passphrase, the Welcome page appears. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 3-2 February 2005 Figure 3-2: The EDGAR Create Passphrase Page To define a passphrase, type it in the data entry fields provided. (The passphrase is not displayed and it is an important security code: typing it twice ensures that no typographical errors occur during entry.) Enter your existing PMAC (doing so verifies that you have the right to define a passphrase). If you’ve forgotten your PMAC, contact our Filer Support Staff at (202) 942-8900 for help. Click the [Create Passphrase] button. If your new passphrase is in the correct format (it must be in the same format as the PMAC) and the PMAC is valid for the CIK, the Create Passphrase Results page is displayed (you will be informed of any errors in the data entered and will be required to fix it before you can proceed). Figure 3-3: The EDGAR Create Passphrase Results Page February 2005 3-3 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Click the [Continue to EDGAR Welcome] button. The Welcome page appears. Sample The contents of this page may change for every release. Figure 3-4: The EDGAR Welcome Page (Top) Notes:      If you mistype your password, EDGAR considers it an invalid password and access to EDGAR is denied. If you accidentally mistype the CIK or password, you can press the [Back] button to return to the Login page, and try again. If your CIK and password do not match those saved in the database, you will see an Invalid Login page. If you find you are getting the Invalid Login page and your CIK and password are entered correctly, please contact Filer Support. Additional error messages you may see are Password Login Expiration messages. There are two different types of messages: Login Password to Expire Soon or Login Password Expired. If your password expires soon or if your password has expired within the last 10 days, EDGAR allows you to create a new password using your PMAC. If you have a passphrase (see the Electronic Form ID Appendix for more information), you can get a new set of EDGAR access codes (including a password) using the EDGAR Filer Management website – even if your password has been expired for more than 10 days. If you need assistance, contact our Filer Support Staff at (202) 942-8900 for help. The passphrase is a security code that is new with the electronic Form ID capability in Release 8.7. It is used to generate EDGAR access codes (refer to the Electronic Form ID Appendix for more information). You must define a passphrase before you can access any of the EDGAR capabilities. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 3-4 February 2005 3.2.1.1 Access EDGAR via Point-to-Point Protocol When you access Modernized EDGAR using direct dial via a Point-to-Point Protocol (PPP) application, you are prompted by Modernized EDGAR to enter a user name and password to access the EDGAR network: 1. Open your PPP application. If you want to use the Windows 95, 98, NT, or 2000 dial-up networking function, you may have to ask your technical department to install it. 2. Use (703) 914-7140 as the dial-up phone number. 3. When prompted for a user name and password, enter edgar in the User name: field, and filing in the Password field, and click on the [OK] button. The password will appear as asterisks (*) as seen below. 4. Open your browser and go to the https://www.edgarfiling.sec.gov website. The Filing website appears just as it does when accessing EDGAR via the Internet. Figure 3-5: Connect to EDGAR Window Note: Your EDGAR password is good for only twelve (12) months. Be sure to change your password on the EDGAR Filing website before it expires. See Section 6 for instructions on changing passwords. 3.3 Navigating EDGAR Once you login to EDGAR, an option menu appears on the left-hand side of the browser window. This menu allows you to navigate easily through EDGAR without having to return to a menu page. This menu is broken down into three different sections:  February 2005 Information Exchange 3-5 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I)   Downloads Support Figure 3-6: EDGAR Menu Two additional functions will help you use the EDGAR Filing website. The [Logoff] button ends your EDGAR session. Clicking Home brings you to the EDGAR Welcome page. From this menu you can move back and forth between pages, find news, download software or template updates, or get additional assistance. 3.3.1 Information Exchange In the Information Exchange section there are two links:   Transmit Retrieve/Edit Data EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 3-6 February 2005 By clicking on Retrieve/Edit Data, you can query company, filing, or module/segment information, retrieve your Return Copies or change your password or CCC. 3.3.2 Downloads Before you start compiling your filings, you’ll need to download and install the Modernized EDGARLink software. You can download the software items from the EDGARLink Software Download page. You will also want to download templates for the requested submission types you wish to file and the fee rate table. 3.3.2.1 Downloading the Modernized EDGARLink Software After you click on EDGARLink Software, the EDGARLink Software Download page appears. This page provides a link to download the Modernized EDGARLink software from the Filing website or to the SEC’s website where you can download N-SAR software. Figure 3-7: Software Download Page Downloading the software is the first step in installing the Modernized EDGARLink software. To download the software: 1. Click on the [Download EDGARLink] button. Filers who need to file N-SAR submissions must download that application from our website (www.sec.gov). 2. The EDGARLink/Windows Download Confirmation page appears; click on Download EDGARLink/Windows. February 2005 3-7 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Figure 3-8: EDGARLink/Windows Download Confirmation Page 3. The File Download window appears. Check the Save this program to disk radio button and click the [OK] button. 4. The Save As window appears. Choose the location on your system to save the self-extracting executable file and click on the [Save] button. 5. The Saving Location window appears and displays the status (percentage) of download. While downloading you can cancel the save by clicking on the [Cancel] button. Notes: (1) New EDGAR releases include modifications to the EDGARLink software and EDGAR submission templates. Please download, install, and use the new EDGARLink software and submission templates to ensure that submissions will be processed successfully. (2) You should use the Windows Add/Remove Programs function to un-install any previous version of the Template Viewer, JRE and/or EDGARLink before installing the new software. Please select "No" or "No to all" when prompted to remove any shared files. 3.4 Installing the Modernized EDGARLink Software Once you have downloaded Modernized EDGARLink software from the website, you are ready to install it on your machine: 1. 2. 3. 4. 5. 6. 7. Close all applications. Click on the [Start] button at the bottom of your Windows Desktop. Click on the Run option. Click on the [Browse] button. Use the Browse window to find the EDGARInstaller.exe application. Click on EDGARInstaller.exe and click on the [Open] button. Click on the [OK] button. Modernized EDGARLink installs itself. Note: If you don’t want to use the above method of installing Modernized EDGARLink, you can also use other methods to start the software installation: EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 3-8 February 2005   Run the executables in a DOS window Run the executable through Windows Explorer To do this you will need to open the directory where you downloaded the files and enter the executable name in DOS or double-click the file in Windows Explorer. The executable begins unpacking the software; the InstallShield window appears and walks you through installing Modernized EDGARLink. We recommend using the default settings. If you change the default directories you may experience program or performance problems. The EDGARLink Installer package installs a new PureEdge Viewer for Windows, version 6.0. There are folders created when the viewer is installed, C:\Program Files\PureEdge\Viewer 6.0. Once you’ve downloaded and installed Modernized EDGARLink, you can download and install the submission templates (described later). You are then ready to prepare and submit your filings to EDGAR. When you have completed your submission template, click on Transmit to open the Transmit Submission page. From this page you can transmit Live, Test, or Bulk filings. 3.4.1 Directory Structure Once you install Modernized EDGARLink, you may want to create a folder on your desktop to place files, such as blank submission templates. When you install Modernized EDGARLink, the following directory structure is created automatically and filled with the files. Modernized EDGARLink adds three directories to the Program Files directory on your hard drive. These directories are where the EDGARLink files are stored:    PureEdge JavaSoft EDGAR Within these directories are different subdirectory structures that contain the Modernized EDGARLink executable, Java Structure, and the Java files necessary to run Modernized EDGARLink. 3.4.1.1 PureEdge Directory Contained in the PureEdge directory is a single subdirectory, Viewer 6.0 that contains eleven subdirectories: ActiveX, API, extensions, help, Icons, JAWS, Marshaller, Modules, Plugin, Readme, and SSCE514, which hold files necessary for the submission type template to run. The Viewer 6.0 directory is where the Modernized EDGARLink template executable, masqform.exe, as well as the license is located. The API subdirectory contains the subdirectories and class files necessary for Modernized EDGARLink to execute. February 2005 3-9 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Warning: If you move or delete files and/or subdirectories, Modernized EDGARLink may not run correctly. 3.4.1.2 JavaSoft Directory Contained in the JavaSoft directory is the Java Runtime Environment (JRE) directory. Inside the JRE directory is the 1.3 directory that contains Bin and Lib subdirectories and all the copyright, readme, and license files as well as the uninstall utility. 3.4.1.3 EDGAR Directory The EDGAR directory contains the EDGARLink subdirectory, which is where the EDGARLink application shortcut, the EDGARLink icon, the README.txt file, the JRE install application, the Integrity Check files, and the Help directory containing the EDGARLink help files reside. 3.4.2 Version Verify Occasionally there will be updates to the Modernized EDGARLink software. Notices are posted on the EDGAR Home page as well as on the Download Software page. The Filing website warns you if you have previously downloaded the current templates or software. Figure 3-9: Submission Template Download Warning Page EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 3-10 February 2005 3.4.2.1 EDGARLink System Integrity Check A new feature to EDGARLink is the System Integrity check. It assists you when troubleshooting your Modernized EDGARLink install and setup. This check looks in all of the EDGARLink directories to ensure that all of the correct and up-to-date files have been extracted correctly. At the end of this check, you see a report displaying the number of missing files and files that failed verification. These reports are stored in the EDGARLink directory and are called EDGARLink.log and EdgarVerify.log. The Integrity check runs automatically after you install the EDGARLink software. Figure 3-10: EDGARLink Integrity Check Window After the Integrity check runs, you are prompted to view the report, EdgarVerify.log, in the Notepad Viewer:   Click on the [Yes] button to open this file. Click on the [No] button to return to the EDGARLink install window. If you want to return to the edgarverify.log later, you can use Word or Notepad Viewer to open the file. The default location for this file is in the C:\Program Files\EDGAR\EDGARLink. February 2005 3-11 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Figure 3-11: EdgarVerify.log Report 3.4.3 Downloading the Submission Templates Submission templates consist of sets of fields and information designated for specific submission types. You will need to fill out the appropriate template before you transmit your submission. In the EDGAR menu, under the Downloads section, click on Submission Templates. Before you can open the submission templates, you must have Modernized EDGARLink installed. By clicking on Submission Templates, you open the Submission Template Download Options page. Note: New EDGAR releases include substantial modifications to EDGARLink software and EDGAR submission templates. Please download, install, and use new EDGARLink software and submission templates to ensure that submissions will be processed successfully. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 3-12 February 2005 Figure 3-12: Submission Template Download Options Page From this page you can also scroll through the Submission Types list and select a submission type by clicking on it. Open the form by clicking on the [Get It] button. The Submission Template Download Confirmation page appears with a link to your template. February 2005 3-13 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Figure 3-13: Submission Template Download Confirmation Page To download the submission template: 1. Click on Download Template from the EDGAR Menu. 2. Choose the template you want to download by selecting the submission type and clicking on the [Get It] button. 3. A confirmation page appears stating which template you want to download. If you do not want to download the template, click on Cancel. 4. A window pops up in your browser prompting you to save the template to your computer. 5. Click on the [Save it to disk] radio button and choose a location to save the blank template in the Save As window. We recommend using the template in the EDGARLink Template Viewer rather than your browser. 6. Click on the [OK] button. To preserve your blank template you should not change the template name until you begin editing it. 7. The template will be saved to your computer. You can access it by double clicking the template from your Window Explorer window, or the Template Viewer icon on your desktop. If you use the Template Viewer icon, you will have to locate the place where you saved your template. 8. Modernized EDGARLink starts and the blank submission template appears. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 3-14 February 2005 Figure 3-14: Submission Template Main Page You should save the template using an additional unique name. Saving the template using an additional unique name, e.g., r10q1099.xfd, allows you to preserve the blank template. Saving a blank template keeps you from making mistakes when removing field or module/segment information or detaching documents from a previous submission. Each template may support different submission types. To save your submission template:  Click on the [Save] button. It appears as a diskette in the upper left tool bar. Save the template on your computer by selecting a location either on your hard drive, floppy disk, or LAN. To preserve the blank template, you should change the filename of your template to a unique name that represents the submission type, i.e., r8k.xfd or r10q.xfd. When the file completes saving, you can either double click on the submission template from the Windows Explorer window or use your Template Viewer icon and click on the template from the Open Template window. Note: If you do not enter an extension in the File name field, Modernized EDGARLink inserts the .xfd extension. 3.4.4 Downloading the Fee Rate Table One of the features for EDGARLink is the SEC Fee Rate Table. This table contains the latest fee rates from the SEC and automatically inputs this information into the Fee and Offering February 2005 3-15 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Information page. You must download this table from the Filing website and save it to the Program Files\Edgar\EDGARLink directory on your hard drive: 1. 2. 3. 4. 5. Log into the Filing website. Click on the Fee Rate Table link in the EDGAR Menu. The Fee Rate Table Download Confirmation page appears. Click on the Download Fee Rate Table link. The File Download window appears. Choose the Save As radio button and click on the [OK] button. 6. The Save As window appears:  In the Save In: field, click on the down arrow and select your C:\ drive by clicking on it. If you have installed EDGARLink in another location, you need to save the Fee Rate Table in that location.  Double click on the Program Files folder.  Double click on the EDGAR folder.  Double click on the EDGARLink folder.  Click on the [Save] button.  Click on the [Close] button, if the File Download Complete window doesn't automatically disappear. When you begin working on your fee bearing submission, EDGARLink uses this information to update the amount owed by automatically loading the rate into your submission. When the fee rates change, we will update the Fee Rate Table, which you will have to download. Check the Filing website for changes in fees. Figure 3-15: Fee Rate Table Download Confirmation Page 3.4.5 EDGARLink Support We have placed information and menu links on the Filing website Home page, that connect you to websites concerning filing and submission types, help files, SEC Rulemaking, and fee information. Note: If you are accessing the Filing website using direct dial (PPP), links to outside websites will not work. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 3-16 February 2005 3.4.5.1 Update Information The Update Information block on the Filing website Home page contains a list of updates either to new submission types or to the EDGAR, EDGARLink, or N-SAR software. The date of these updates is posted, as well as links to the information or files available to download. 3.4.5.2 General Web Help If you need help while using EDGAR on the Internet, click on General Help from the menu to bring up the General Support Menu page that displays a list of help topics. When you click on a topic, you are shown information or additional links to specify the type of assistance you need. Figure 3-16: General Help Page 3.4.5.3 Frequently Asked Questions Frequently Asked Questions opens the EDGAR Frequently Asked Questions page. The FAQ page includes different questions that have been asked most often. You may find the answers helpful while using Modernized EDGAR and EDGARLink. Click on the hyperlink topic to display the answer in the lower portion of the window. 3.4.5.4 SEC Rulemaking The SEC Rulemaking link leads you to an area of the SEC’s website that gives you up-to-date rule information. You will get information about rules that have been proposed or adopted, as well as other bulletins and notices. February 2005 3-17 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 3.4.5.5 Fee Information The Fees link in the EDGAR menu opens the EDGAR Fee Information page. This page contains information on fee categories, amounts, forms, and the applied fees. 3.4.5.6 Unused Money Requests This link directs you to the www.sec.gov page that displays instructions for requesting unused monies. It also accesses an account statement example, which is similar to the statement mailed to active SEC filers. 3.4.5.7 Company Search This link opens the Company Search page (www.edgarcompany.sec.gov) and redirects your browser to the EDGAR Company website. From this website you can perform company searches through the EDGAR database that is updated daily. Modernized EDGAR only retrieves company information for the current Login CIK. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 3-18 February 2005 4. PREPARING EDGAR DOCUMENTS 4.1 Introduction The previous chapters provided an overview and installation procedures for Modernized EDGARLink. This chapter includes the specifics of preparing a document for filing an electronic submission. This chapter is divided into the following sections: Section: Page Number: Section A -- Creating Documents 4-1 Section B -- Tags Used Within Documents 4-11 Section C -- Special Handling for Certain Documents 4-14 Section D -- Signatures for Electronic Filings 4-28 Note: For information about preparing an N-SAR document, please refer to Section 4.11 of this chapter. SECTION A -- Creating Documents Your successful creation of electronic submissions requires that:  Both the sending and receiving computers must "speak" the same language. For EDGAR to read what it receives, you must prepare your documents in American Standard Code for Information Interchange (ASCII) or HTML, version 3.2. In this section, you will find a discussion of ASCII and a listing of the characters recognized by EDGAR. 4.2 Terminology You need to be aware that certain terms have special meaning when used in electronic filing procedures. Common filing terms are defined in Table 4-1. February 2005 4-1 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Table 4-1: Terms Used During Electronic Filing Term Accession Number ASCII ASCII/SGML Document EBCDIC Electronic Filer Electronic Filing Electronic Submission Form Type Grouped Tags Meaning A unique number generated by EDGAR for each electronic submission. EDGAR reports accession numbers in acceptance/suspense messages to you. The accession number consists of three elements: the filer's login CIK (10 digits), the year (2 digits), and a sequence number (six digits, to a maximum of 999,998) For example: 0000350001-99-000256. Accession numbers are automatically displayed when you send a submission using Modernized EDGARLink, whether or not EDGAR ultimately accepts the submission. This abbreviation stands for the American Standard Code for Information Interchange. It is a binary code used by the computer to represent characters. This is our term for SGML documents in ASCII format that differ from the new HTML document format that EDGAR also supports. A discrete unit of text or graphic. One or more documents comprise an electronic submission. Examples of documents include a registration statement, a Form 10-Q, a cover letter, or an exhibit. Exhibits (only) are included in EDGAR documents beginning with the value "EX". See Appendix C. This abbreviation stands for the Extended Binary Coded Decimal Interchange Code. Like ASCII, it is a binary code used by a computer to represent characters. A person or entity that submits filings electronically pursuant to Regulation S-T. A document or group of associated documents filed by an electronic filer under the federal securities laws that is transmitted or delivered to the Commission in electronic format. A form type header and all associated documents representing one or more filings that are transmitted to the Commission in electronic format. An electronic submission may also contain correspondence material and modules or segments. The maximum size of your submission must not exceed 100 MB. A distinct type of document that is required to be filed pursuant to the federal securities laws, e.g., Form 10-K or S-1. Form types may have several variants (e.g., an initial filing and an amendment). For EDGAR, each variant is recognized by a specific name, referred to as a submission type. The form types and their applicable submission types are identified in Appendix A. Tags (fields) that must appear together. The tags that must follow the lead tags are shown with the same number plus an alpha designation (e.g., 4, 4a, etc.). When you use grouped tags, all of the possible grouped tags may not apply to your filing. You should only use applicable tags. See Tag in this list of terms. Note: Modernized EDGARLink automatically groups and places the XFDL tags in the submission together as you fill in the submission template. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 4-2 February 2005 Term Header Meaning The basic information required to supplement each electronic submission and document submitted through EDGAR. Submission headers provide identifying information about the filing (e.g., the submission type of the principal document, the identity of the electronic filer, and any fee data). Document headers identify each document in an electronic submission. Note: In Modernized EDGAR, XFDL tags are automatically placed in the submission by using the submission templates. HTML Leased Line Module PDF Registrant Segment SGML Submission Medium Submission Type February 2005 This abbreviation stands for the HyperText Mark-up Language. It is a mark-up language used to create documents that are portable from one platform type to another. HTML documents are ASCII documents with generic tags that are appropriate for representing information from a wide range of applications. EDGAR accepts a subset of the tags from the HTML 3.2 standard, as recommended by the World Wide Web Consortium (W3C). See Chapter 8 for more information. A private 56 kbps line into the SEC's Operations Center, allowing them to file directly into EDGAR. (For more information, see the Interface and Operational Specifications for Leased Line Connections document.) A partial or complete document that is intended to be included in an electronic submission. Filers submit modules to EDGAR as module documents in module submissions. Modules are stored in a non-public data storage area of EDGAR. Filers can incorporate them into multiple subsequent submissions. Up to 10 modules may be stored for a single CIK on EDGAR. Storage is limited to a total of 1 megabyte per CIK, with a maximum of 1 megabyte for a single module. This abbreviation stands for Portable Document Format. It is a proprietary standard, set forth by the Adobe Corporation, for conveying graphic/multimedia-intensive document information across multiple platforms. EDGAR accepts documents in PDF format as unofficial copies of documents contained in the submission. See Appendix I for more information. A company, partnership, investment trust, mutual fund, or similar entity that files a Securities Act registration statement, or that has a continuing reporting obligation under the Securities Exchange Act, Investment Company Act, or Public Utility Holding Company Act. A portion of a filing, submitted separately, which you may combine with other segments up to six business days later to make a single complete filing. This abbreviation stands for the Standard Generalized Mark-up Language. It is an accepted standard, set forth by International Standard ISO 8879, which allows entities to define tagging constructs that convey and capture specific information. One of the three methods that you may use to submit filings via EDGAR: Internet, direct dial transmission (PPP), or Leased Line. Diskettes, cartridges or 9-track tapes are no longer acceptable submission media. The specific name by which EDGAR recognizes the variants of filings with the SEC (e.g., for Form Type S-3, the registration statement relating to dividend reinvestment plans, EDGAR recognizes the submission type S-3D.) Other examples include modules and correspondence. 4-3 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Term Tag Transmission Value XFDL XML Meaning Modernized EDGARLink automatically creates XFDL header tags as you fill in the templates. Some tags will still be used within documents. A tag is an identifier that labels specific information to EDGAR. You must place an angle bracket on either side of a term to designate it as a “begin” tag. An “end” tag also has angle brackets but is distinguished by use of the "/" (virgule/slash) immediately following the opening angle bracket ( and , respectively. See Section 4.6 for a listing of ASCII/SGML tags. A set of one or more submissions sent electronically to EDGAR during an on-line session. Information supplied by you and inserted in a field or after a tag (i.e., for the tag , insert the name of a module included in the submission). This abbreviation stands for Extensible Form Description Language. A way of structuring forms so that they may be used on an Web-based medium. This abbreviation stands for Extensible Markup Language. A universal format for structured documents and data on the Web. It is derived from and appears like HTML or SGML tags; however, XML is not restricted to a specific list of tags. 4.3 ASCII This section discusses the character types allowed and not allowed inside your submission documents. 4.3.1 Character Code Requirements Differ by Submission Medium You will use character codes to make a submission that differs depending upon the submission medium you choose. Table 4-2 explains which character code to use with each medium. Table 4-2: Submission Mediums and Formats Medium of Submission Format You Should Use for Submission Submit in ASCII Submit in ASCII Submit in ASCII Internet Direct Dial Transmission -- (PPP) Leased Line 4.3.2 EDGAR Recognizes a Limited Set of Keyboard Characters EDGAR recognizes a subset of standard ASCII characters. You should use only the list of characters listed in Table 4-3 in your filing. If you use characters or commands outside of this set in your EDGAR submission, EDGAR may suspend the filing. EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) 4-4 February 2005 Table 4-3: Characters Allowable within a Filing Character 0-9 A-Z a-z ` ~ ! @ # $ % & * ( ) . + [space bar] { } [ ] | \ : ; “ ‘ , _ ? / = Description numeric characters upper case alphabet lower case alphabet grave accent tilde exclamation point at sign number (pound) sign dollar sign percent sign ampersand asterisk (star) left parenthesis right parenthesis period hyphen plus sign space bar key left brace right brace left bracket right bracket vertical line back slash (reverse virgule) colon semi-colon quotation mark No [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/agency%3Asec%3A13f5d12541743070. Public record. Not legal advice.