# As a filer, you will first need to determine whether you must meet your filing obligation via > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/agency%3Asec%3A26ca3813322824cb ## Record - **Collection:** Agency decision - **Document type:** Agency decision ## Text 3. INDEX TO FORMS As a filer, you will first need to determine whether you must meet your filing obligation via EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for Electronic Filings, outline which filings are mandated as electronic. This means that they must be filed on EDGAR unless there is a case for Temporary or Continuing Hardship. (The rules for each form and hardship exemptions may differ, so please see the regulation for specific information.) Once you determine the form you need to file is electronic, then you need to identify the submission type to use. For each submission type, there are specific tools that you can use. As the EDGAR system has evolved using new technologies, tools have been added, changed, and sometimes updated. There is no longer a single tool for preparing an EDGAR submission. Your guide to the tools is this index. The first index allows you to lookup EDGAR electronic submission types easily if all you know is the submission form type. Included in the last two columns is detailed information about the tools that are used to create and/or assemble the filing. The second index is easiest to use if you are more comfortable looking up your submission type by Act. Before using the indexes, it is important to understand the difference between the Code of Federal Regulations (CFR) Form/Schedule/Rule column reference and the EDGAR Submission Type column. The index entries under the CFR Form/Schedule/Rule column refer to the titles of the actual Form, Schedule or Rule named in the CFR. The Submission Type refers to Form variations filers use on the electronic filing system to fulfill their filing obligation. For example, the paper Form 15 is implemented on EDGAR as a number of different submission types including: 15-12B, 15-12G, and 15-15D. The last three digits represent the section of the 34 Act under which the filer is obligated to file periodic reports. Using either Index, find the submission type, check that the description of the form matches your understanding of the purpose of the form, and identify the tool that should be used to create the form. The options in this column are EDGARLink Online, and Online Forms. There is a section in this manual describing in detail each of these tools. Chapter 7, “Preparing and Transmitting EDGARLink Online Submissions,” describes EDGARLink Online. Chapter 8, “Preparing and Transmitting Online Submissions,” describes online submissions using the EDGAR Online Forms Website and EDGAR Filing Website. The column entitled Filer-Constructed Technical Specifications should only be used by filers who want to create their submissions without the use of EDGAR tools. These Technical Specifications are available on the SEC’s Public Website. The Technical Specifications are delivered separately and are not part of the Filer Manual. Note: In Section 3.1, “Alpha/Numeric” for simplicity we include both the initial form and the associated amendment in the Submission Type column. December 2020 3-1 EDGAR Filer Manual (Volume II) 3.1 Alpha/Numeric Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 1-A, 1-A/A Offering statement under Regulation A EDGAR Filing Website EDGAR REG A XML Technical Specification 1-A POS Post-qualification amendment to a 1-A offering statement EDGAR Filing Website EDGAR REG A XML Technical Specification 1-A-W, 1-A-W/A Withdrawal of offering statement under Regulation A EDGARLink Online EDGARLink Online XML Technical Specification 1-E, 1-E/A Notification under Regulation E by small business investment companies and business development companies. EDGARLink Online EDGARLink Online XML Technical Specification 1-E AD, 1-E AD/A Sales material filed pursuant to Rule 607 under Regulation E. EDGARLink Online EDGARLink Online XML Technical Specification 1-K, 1-K/A Annual Report Pursuant to Regulation A EDGAR Filing Website EDGAR REG A XML Technical Specification 1-SA, 1-SA/A Semiannual Report Pursuant to Regulation A EDGARLink Online EDGARLink Online XML Technical Specification 1-U, 1-U/A Current Report pursuant to Regulation A EDGARLink Online EDGARLink Online XML Technical Specification 1-Z, 1-Z/A Exit Report under Regulation A EDGAR Filing Website EDGAR REG A XML Technical Specification 1-Z-W, 1-Z-W/A Withdrawal of Exit Report under Regulation A EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-2 December 2020 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 253G1 Reflects information previously omitted from the offering circular in reliance on Rule 253(b) EDGARLink Online EDGARLink Online XML Technical Specification 253G2 Reflects information that constitutes a substantive EDGARLink change from or addition to the information set forth in Online the last offering circular EDGARLink Online XML Technical Specification 253G3 Reflects information covered in both 253G1 and 253G2 EDGARLink Online EDGARLink Online XML Technical Specification 253G4 Reflects information covered in 253G1, 253G2 or 253G3 that is not being timely filed EDGARLink Online EDGARLink Online XML Technical Specification 2-E, 2-E/A Report of sales of securities pursuant to Rule 609 under Regulation E. EDGARLink Online EDGARLink Online XML Technical Specification 10-12B, 10-12B/A Initial general form for registration of a class of securities pursuant to Section 12(b) EDGARLink Online EDGARLink Online XML Technical Specification 10-12G, 10-12G/A Initial general form for registration of a class of securities pursuant to Section 12(g) EDGARLink Online EDGARLink Online XML Technical Specification 10-D, 10-D/A Periodic distribution reports by asset-backed issuers pursuant to Rule 13a-17 or 15d-17 EDGARLink Online EDGARLink Online XML Technical Specification 10-K, 10-K/A Annual report pursuant to Section 13 and 15(d) EDGARLink Online EDGARLink Online XML Technical Specification 10-KT, 10-KT/A Transition report pursuant to Rule 13a-10 or 15d-10 EDGARLink Online EDGARLink Online XML Technical Specification 10-Q, 10-Q/A Quarterly report pursuant to Section 13 or 15(d) EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-3 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 10-QT, 10-QT/A Transition report pursuant to Rule 13a-10 or 15d-10 EDGARLink Online EDGARLink Online XML Technical Specification 11-K, 11-K/A Annual report of employee stock purchase, savings and similar plans EDGARLink Online EDGARLink Online XML Technical Specification 11-KT, 11-KT/A Transition report pursuant to rule 13a-10 or 15d-10 EDGARLink Online EDGARLink Online XML Technical Specification 13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings Report filed by institutional managers EDGAR Filing Website Online Forms EDGAR Form 13F XML Technical Specification EDGAR Form 13F XML Technical Specification 13F-NT, 13F-NT/A Initial Quarterly Form 13F Notice Report filed by institutional managers EDGAR Filing Website Online Forms 13H, 13H-Q, 13H-A, 13H-I, 13H-R, 13H-T Large Trader Registration Information Required of Large Traders Pursuant to the Securities Exchange Act of 1934 and Rule 13h-1 Thereunder. Initial Filing (13H), Amended Filing (13H-Q), Annual Filing (13HA), Inactive Status (13H-I), Reactivated Status (13HR), and Termination Filing (13H-T) EDGAR N/A Filing Website Online Forms 144, 144/A Filing for proposed sale of securities under Rule 144 EDGARLink Online EDGARLink Online XML Technical Specification 15-12B, 15-12B/A Notice of termination of registration of a class of securities under Section 12(b) EDGARLink Online EDGARLink Online XML Technical Specification 15-12G, 15-12G/A Notice of termination of registration of a class of securities under Section 12(g) EDGARLink Online EDGARLink Online XML Technical Specification 15-15D, 15-15D/A Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-4 December 2020 Tool/ Template Number FilerConstructed Form Spec. 15F-12B, 15F-12B/A Notice of termination by a Foreign Private Issuer of a EDGARLink class of equity securities under Section 12(b) Online EDGARLink Online XML Technical Specification 15F-12G, 15F-12G/A Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g). EDGARLink Online EDGARLink Online XML Technical Specification 15F-15D, 15F-15D/A Notice of a foreign private issuer’s suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act EDGARLink Online EDGARLink Online XML Technical Specification 17HACON, 17HACON/A Confidential broker dealer annual 17-H report EDGAR Filing Website Online Forms EDGAR Form 17-H XML Technical Specification 17HQCON, 17HQCON/A Confidential broker dealer quarterly 17-H report EDGAR Filing Website Online Forms EDGAR Form 17-H XML Technical Specification 18-12B, 18-12B/A Form for initial registration of securities of foreign governments or political subdivisions pursuant to Section 12(b) EDGARLink Online EDGARLink Online XML Technical Specification 18-12G, 18-12G/A Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to Section 12(g) EDGARLink Online EDGARLink Online XML Technical Specification 18-K, 18-K/A Annual report for foreign governments and political subdivisions EDGARLink Online EDGARLink Online XML Technical Specification 20-F, 20-F/A Annual and transition report of foreign private issuers EDGARLink pursuant to Section 13 or 15(d) Online EDGARLink Online XML Technical Specification 20FR12B, 20FR12B/A Form for initial registration of a class of securities of foreign private issuers pursuant to Section 12(b) EDGARLink Online XML Technical Specification Submission Type December 2020 Description 3-5 EDGARLink Online EDGAR Filer Manual (Volume II) Description Tool/ Template Number FilerConstructed Form Spec. 20FR12G, 20FR12G/A Form for initial registration of a class of securities of foreign private issuers pursuant to Section 12(g) EDGARLink Online EDGARLink Online XML Technical Specification 24F-2NT, 24F-2NT/A Rule 24F-2 notice filed on Form 24F-2 EDGARLink Online EDGARLink Online XML Technical Specification 25, 25/A Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange EDGARLink Online EDGARLink Online XML Technical Specification 25-NSE, 25-NSE/A Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities Distributed to National Securities Exchanges only Distributed to National Securities Exchanges only 3, 3/A Initial statement of beneficial ownership of securities Online Forms EDGAR Ownership XML Technical Specification 305B2, 305B2/A Application for designation of a new trustee under the Trust Indenture Act EDGARLink Online 4, 4/A Statement of changes in beneficial ownership of securities Online Forms EDGAR Ownership XML Technical Specification 40-6B, 40-6B/A Application under the Investment Company Act by an EDGARLink employees’ securities company Online EDGARLink Online XML Technical Specification 40-17F1, 40-17F1/A Initial certificate of accounting of securities and EDGARLink similar investments in the custody of management Online investment companies filed pursuant to Rule 17f-1 of the Investment Company Act of 1940 filed on Form N-17F-1 EDGARLink Online XML Technical Specification 40-17F2, 40-17F2/A Initial certificate of accounting of securities and EDGARLink similar investments in the custody of management Online investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2 EDGARLink Online XML Technical Specification Submission Type EDGAR Filer Manual (Volume II) 3-6 EDGARLink Online XML Technical Specification December 2020 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 40-17G, 40-17G/A Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940 EDGARLink Online EDGARLink Online XML Technical Specification 40-17GCS, 4017GCS/A Filings of claim or settlement pursuant to rule 17g1(g)(1)(2) or (3) of the Investment Company Act of 1940 EDGARLink Online EDGARLink Online XML Technical Specification 40-24B2, 40-24B2/A Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940 EDGARLink Online EDGARLink Online XML Technical Specification 40-33, 40-33/A Copies of all stockholder derivative actions filed with EDGARLink a court against an investment company or an affiliate Online thereof pursuant to Section 33 of the Investment Company Act of 1940 EDGARLink Online XML Technical Specification 40-8B25 Document or report EDGARLink Online EDGARLink Online XML Technical Specification 40-8F-2, 40-8F-2/A Initial application for de-registration pursuant to Investment Company Act Rule 0-2 EDGARLink Online EDGARLink Online XML Technical Specification 40-APP, 40-APP/A Applications under the Investment Company Act other than those reviewed by Office of Insurance Products EDGARLink Online EDGARLink Online XML Technical Specification 40-F, 40-F/A Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4 EDGARLink Online EDGARLink Online XML Technical Specification 40FR12B, 40FR12B/A Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act EDGARLink Online EDGARLink Online XML Technical Specification 40FR12G, 40FR12G/A Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act EDGARLink Online EDGARLink Online XML Technical Specification 40-OIP, 40-OIP/A Applications under the Investment Company Act reviewed by Office of Insurance Products EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-7 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 424A Prospectus filed pursuant to Rule 424(a) EDGARLink Online EDGARLink Online XML Technical Specification 424B1 Prospectus filed pursuant to Rule 424(b)(1) EDGARLink Online EDGARLink Online XML Technical Specification 424B2 Prospectus filed pursuant to Rule 424(b)(2) EDGARLink Online EDGARLink Online XML Technical Specification 424B3 Prospectus filed pursuant to Rule 424(b)(3) EDGARLink Online EDGARLink Online XML Technical Specification 424B4 Prospectus filed pursuant to Rule 424(b)(4) EDGARLink Online EDGARLink Online XML Technical Specification 424B5 Prospectus filed pursuant to Rule 424(b)(5) EDGARLink Online EDGARLink Online XML Technical Specification 424B7 Prospectus filed pursuant to Rule 424(b)(7) EDGARLink Online EDGARLink Online XML Technical Specification 424B8 Prospectus filed pursuant to Rule 424(b)(8) EDGARLink Online EDGARLink Online XML Technical Specification 424H, 424H/A Preliminary Prospectus filed pursuant to Rule 424(h) EDGARLink Online EDGARLink Online XML Technical Specification 425 Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions EDGARLink Online EDGARLink Online XML Technical Specification 485APOS Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-8 December 2020 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 485BPOS Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification 485BXT Post-effective amendment filed pursuant to Securities Act Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification 486APOS Post-effective amendment to filing filed pursuant to Securities Act Rule 486(a) (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification 486BPOS Post-effective amendment to filing filed pursuant to Securities Act Rule 486(b) (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification 486BXT Post-effective amendment filed pursuant to Securities Act Rule 486(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 486(a) (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification 487 Pre-effective pricing amendment filed pursuant to Securities Act Rule 487 EDGARLink Online EDGARLink Online XML Technical Specification 497 Definitive materials filed under paragraph (a), (b), (c), EDGARLink (d), (e) or (f) of Securities Act Rule 497 Online EDGARLink Online XML Technical Specification 497AD Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 EDGARLink Online EDGARLink Online XML Technical Specification 497H2 Filings made pursuant to Rule 497(h)(2) EDGARLink Online EDGARLink Online XML Technical Specification 497J Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497 EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-9 EDGAR Filer Manual (Volume II) Tool/ Template Number FilerConstructed Form Spec. 497K Summary Prospectus for certain open-end EDGARLink management investment companies filed pursuant to Online Securities Act Rule 497(k) EDGARLink Online XML Technical Specification 497VPI Initial summary prospectus for variable contracts filed EDGARLink pursuant to Securities Act Rule 497(k) Online EDGARLink Online XML Technical Specification 497VPU Updating summary prospectus for variable contracts filed pursuant to Securities Act Rule 497(k) EDGARLink Online XML Technical Specification 5, 5/A Annual statement of changes in beneficial ownership Online Forms EDGAR Ownership of securities XML Technical Specification 6-K, 6-K/A Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments EDGARLink Online EDGARLink Online XML Technical Specification 8-A12B, 8-A12B/A Form for the registration / listing of a class of EDGARLink securities on a national securities exchange pursuant Online to Section 12(b) EDGARLink Online XML Technical Specification Submission Type Description EDGARLink Online 8-A12G, 8-A12G/A Form for registration of a class of securities pursuant to Section 12(g) EDGARLink Online EDGARLink Online XML Technical Specification 8-K, 8-K/A Current report filing EDGARLink Online EDGARLink Online XML Technical Specification 8-K12B, 8-K12B/A Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b) EDGARLink Online EDGARLink Online XML Technical Specification 8-K12G3, 8-K12G3/A Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(g) EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-10 December 2020 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 8-K15D5, 8-K15D5/A Notification of assumption of duty to report by successor issue under Section 15(d) EDGARLink Online EDGARLink Online XML Technical Specification ABS-15G, ABS-15G/A Asset-backed securities report pursuant to Section 15G EDGARLink Online EDGARLink Online XML Technical Specification ABS-EE, ABS-EE/A Form for Submission of Electronic Exhibits in assetbacked securities offerings EDGARLink Online EDGARLink Online XML Technical Specification, EDGAR ABS XML Technical Specification ANNLRPT, ANNLRPT/A Periodic Development Bank filing, submitted annually EDGARLink Online EDGARLink Online XML Technical Specification APP WD, APP WD/A Withdrawal of an application for exemptive or other relief from the federal securities laws EDGARLink Online EDGARLink Online XML Technical Specification ARS, ARS/A Annual report to security holders EDGARLink Online EDGARLink Online XML Technical Specification ATS-N Initial Form ATS-N (Rule 304(a)(1)(i)) EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification ATS-N/CA Correcting Amendment (Rule 304(a)(2)(i)(C)) EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification ATS-N/MA Material Amendment (Rule 304(a)(2)(i)(A)) EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification December 2020 3-11 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. ATS-N/OFA Order Display and Fair Access Amendment (Rule 304(a)(2)(i)(D)) EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification ATS-N/UA Updating Amendment (Rule 304(a)(2)(i)(B)) EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification ATS-N-C Notice of Cessation (Rule 304(a)(3)) EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification ATS-N-W Withdrawal of Form ATS-N filing EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification AW Withdrawal of amendment to a registration statement EDGARLink filed under the Securities Act Online EDGARLink Online XML Technical Specification AW WD Withdrawal of a request for withdrawal of an amendment to a registration statement EDGARLink Online EDGARLink Online XML Technical Specification BULK Bulk Submission EDGARLink Online C, C/A Offering Statement EDGAR Filing Website EDGAR Form C XML Technical Specification C-W Offering Statement Withdrawal EDGAR Filing Website EDGAR Form C XML Technical Specification C/A-W Amendment to Offering Statement Withdrawal EDGAR Filing Website EDGAR Form C XML Technical Specification EDGAR Filer Manual (Volume II) 3-12 December 2020 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. C-U Progress Update EDGAR Filing Website EDGAR Form C XML Technical Specification C-U-W Progress Update Withdrawal EDGAR Filing Website EDGAR Form C XML Technical Specification C-AR, C-AR/A Annual Report EDGAR Filing Website EDGAR Form C XML Technical Specification C-AR-W Annual Report Withdrawal EDGAR Filing Website EDGAR Form C XML Technical Specification C-AR/A-W Amendment to Annual Report Withdrawal EDGAR Filing Website EDGAR Form C XML Technical Specification C-TR Termination of Reporting EDGAR Filing Website EDGAR Form C XML Technical Specification C-TR-W Termination of Reporting Withdrawal EDGAR Filing Website EDGAR Form C XML Technical Specification CB, CB/A Notification form filed in connection with certain EDGARLink tender offers, business combinations and rights Online offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons EDGARLink Online XML Technical Specification CERT Certification by an exchange approving securities for listing EDGARLink Online N/A CFPORTAL, CFPORTAL/A Application for registration of funding portal EDGAR Filing Website EDGAR Form CFPORTAL XML Technical Specification December 2020 3-13 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. CFPORTAL-W Withdrawal of the funding portal’s registration EDGAR Filing Website EDGAR Form CFPORTAL XML Technical Specification CORRESP A correspondence can be sent as a document with another submission type or can be sent as a separate submission. EDGARLink Online EDGARLink Online XML Technical Specification D, D/A Official notice of an offering of securities that is made Online Forms without registration under the Securities Act in reliance on an exemption provided by Regulation D and Section 4(a)(5) under the Act. EDGAR Form D XML Technical Specification DEF 14A Definitive proxy statements EDGARLink Online EDGARLink Online XML Technical Specification DEF 14C Definitive information statements EDGARLink Online EDGARLink Online XML Technical Specification DEFA14A Definitive additional proxy soliciting materials including Rule 14(a)(12) material. Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms. EDGARLink Online EDGARLink Online XML Technical Specification DEFA14C Definitive additional information statement materials including Rule 14(a)(12) material EDGARLink Online EDGARLink Online XML Technical Specification DEFC14A Definitive proxy statement in connection with contested solicitations EDGARLink Online EDGARLink Online XML Technical Specification DEFC14C Definitive information statement - contested solicitations EDGARLink Online EDGARLink Online XML Technical Specification DEFM14A Definitive proxy statement relating to a merger, acquisition, or disposition EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-14 December 2020 Description Tool/ Template Number FilerConstructed Form Spec. DEFM14C Definitive information statement relating to merger or acquisition EDGARLink Online EDGARLink Online XML Technical Specification DEFN14A Definitive proxy statement filed by non-management EDGARLink Online EDGARLink Online XML Technical Specification DEFR14A Definitive revised proxy soliciting materials EDGARLink Online EDGARLink Online XML Technical Specification DEFR14C Definitive revised information statement materials EDGARLink Online EDGARLink Online XML Technical Specification DEL AM Separately filed delaying amendment under Securities Act Rule 473 to delay effectiveness of a 1933 Act registration statement EDGARLink Online EDGARLink Online XML Technical Specification DFAN14A Definitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material EDGARLink Online EDGARLink Online XML Technical Specification DFRN14A Revised definitive proxy statement filed by nonmanagement EDGARLink Online EDGARLink Online XML Technical Specification DOS, DOS/A Non-public draft offering statement under Regulation A EDGAR Filing Website N/A DOSLTR Draft Offering Statement Letter EDGARLink Online N/A DRS, DRS/A Draft registration statement submitted by Emerging Growth Company under Securities Act Section 6(e) or by Foreign Private Issuer under Division of Corporation Finance policy EDGARLink Online N/A DRSLTR Correspondence Related to Draft Registration Statement EDGARLink Online N/A DSTRBRPT, DSTRBRPT/A Distribution of primary obligations Development Bank EDGARLink report Online Submission Type December 2020 3-15 EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. F-1, F-1/A Registration statement for securities of certain foreign private issuers EDGARLink Online EDGARLink Online XML Technical Specification F-10, F-10/A Registration statement for securities of certain Canadian issuers under the Securities Act of 1933 EDGARLink Online EDGARLink Online XML Technical Specification F-10EF Auto effective registration statement for securities of certain Canadian issuers under the Securities Act of 1933 EDGARLink Online EDGARLink Online XML Technical Specification F-10POS Post-effective amendment to a F-10EF registration EDGARLink Online EDGARLink Online XML Technical Specification F-1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-1 EDGARLink Online EDGARLink Online XML Technical Specification F-3, F-3/A Registration statement for specified transactions by certain foreign private issuers EDGARLink Online EDGARLink Online XML Technical Specification F-3ASR Automatic shelf registration statement of securities of EDGARLink well-known seasoned issuers Online EDGARLink Online XML Technical Specification F-3D Registration statement for dividend or interest EDGARLink reinvestment plan securities of foreign private issuers Online EDGARLink Online XML Technical Specification F-3DPOS Post-Effective amendment to a F-3D registration EDGARLink Online EDGARLink Online XML Technical Specification F-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 3 EDGARLink Online EDGARLink Online XML Technical Specification F-4 POS Post-effective amendment to a F-4EF registration EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-16 December 2020 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. F-4, F-4/A Registration statement for securities issued by foreign private issuers in certain business combination transactions EDGARLink Online EDGARLink Online XML Technical Specification F-4EF Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions EDGARLink Online EDGARLink Online XML Technical Specification F-4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 4 EDGARLink Online EDGARLink Online XML Technical Specification F-6 POS Post-effective amendment to a F-6EF registration EDGARLink Online EDGARLink Online XML Technical Specification F-6, F-6/A Registration statement for American Depositary Receipts representing securities of certain foreign private issuers EDGARLink Online EDGARLink Online XML Technical Specification F-6EF Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers EDGARLink Online EDGARLink Online XML Technical Specification F-7 POS Post-effective amendment to a F-7 registration EDGARLink Online EDGARLink Online XML Technical Specification F-7, F-7/A Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933 EDGARLink Online EDGARLink Online XML Technical Specification F-8 POS Post-effective amendment to a F-8 registration EDGARLink Online EDGARLink Online XML Technical Specification F-8, F-8/A Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 EDGARLink Online EDGARLink Online XML Technical Specification F-80, F-80/A Registration of securities of certain Canadian issuers EDGARLink to be issued in exchange offers or a business Online combination under the Securities Act of 1933 EDGARLink Online XML Technical Specification December 2020 3-17 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. F-80POS Post-effective amendment to a F-80 registration EDGARLink Online EDGARLink Online XML Technical Specification F-N, F-N/A Notification of the appointment of an agent for service by certain foreign institutions EDGARLink Online EDGARLink Online XML Technical Specification FWP Filing under Securities Act Rules 163/433 of free writing prospectuses EDGARLink Online EDGARLink Online XML Technical Specification F-X, F-X/A For appointment of agent for service of process by issuers registering securities EDGARLink Online EDGARLink Online XML Technical Specification IRANNOTICE Notice of disclosure filed in Exchange Act quarterly and annual reports pursuant to Section 219 of the Iran Threat Reduction and Syria Human Rights Act of 2012 and Section 13(r) of the Exchange Act EDGARLink Online EDGARLink Online XML Technical Specification MA, MA-A, MA/A Municipal Advisor registration required pursuant to Section 15B(a)(2) of the Securities Exchange Act of 1934 and the Rules Thereunder. Application for Municipal Advisor Registration (MA), Annual Update of Municipal Advisor Registration (MA-A), and Amendment of a Prior Application for Registration (MA/A) EDGAR Filing Website Online Forms EDGAR Form MA XML Technical Specification MA-I, MA-I/A Information Regarding Natural Persons Who Engage EDGAR in Municipal Advisory Activities, and Amendment of a Filing Website Previously Submitted Form MA-I Online Forms EDGAR Form MA XML Technical Specification MA-W Notice of Withdrawal from Registration as a Municipal Advisor EDGAR Filing Website Online Forms EDGAR Form MA XML Technical Specification MODULE Module Submission EDGARLINK EDGARLink Online XML Online Technical Specification N-14 8C, N-14 8C/A Initial registration statement filed on Form N14 by closed-end investment company (business combinations) EDGARLink Online EDGAR Filer Manual (Volume II) 3-18 EDGARLink Online XML Technical Specification December 2020 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. N-14, N-14/A Initial registration statement filed on Form N14 for open-end investment company, including those filed with automatic effectiveness under Rule 488 (business combinations) EDGARLink Online EDGARLink Online XML Technical Specification N-14MEF A new registration statement filed on Form N14 by EDGARLink closed end investment companies filed under Online Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on Form N-14 EDGARLink Online XML Technical Specification N-18F1, N-18F1/A Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 EDGARLink Online EDGARLink Online XML Technical Specification N-1A, N-1A/A Initial registration statement filed on Form N1A for open-end management investment companies EDGARLink Online EDGARLink Online XML Technical Specification N-2, N-2/A Initial filing of a registration statement on Form N-2 for closed-end investment companies EDGARLink Online EDGARLink Online XML Technical Specification N-2ASR Automatic shelf registration statement on Form N-2 for well-known seasoned issuers EDGARLink Online EDGARLink Online XML Technical Specification N-2 POSASR Post-effective amendment to an automatic shelf registration statement on Form N-2 for well-known seasoned issuers EDGARLink Online EDGARLink Online XML Technical Specification N-23C-2, N-23C-2/A Notice by closed-end investment companies of intention to call or redeem their own securities under Investment Company Act Rule 23c-2 EDGARLink Online EDGARLink Online XML Technical Specification N-23C3A, N23C3A/A Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only EDGARLink Online EDGARLink Online XML Technical Specification N-23C3B, N23C3B/A Filing pursuant to Rule 23c-3(c) only on Form N-23C-3 EDGARLink Online EDGARLink Online XML Technical Specification N-23C3C, N23C3C/A Filing pursuant to Rule 23c-3(b) and (c) on Form N-23C-3 EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-19 EDGAR Filer Manual (Volume II) Tool/ Template Number FilerConstructed Form Spec. N-27D-1, N-27D-1/A Accounting for segregated trust accounts on Form N- EDGARLink 27D-1 Online EDGARLink Online XML Technical Specification N-2MEF A new registration statement on Form N-2 filed under EDGARLink Securities Act Rule 462(b) by closed-end investment Online companies of up to an additional 20% of securities for an offering that was registered on Form N-2 EDGARLink Online XML Technical Specification N-3, N-3/A Initial registration statement on Form N-3 for separate accounts (management investment companies) EDGARLink Online EDGARLink Online XML Technical Specification N-30B-2 Periodic and interim reports mailed to investment company shareholders (other than annual and semiannual reports mailed to shareholders pursuant to Rule 30e-1) EDGARLink Online EDGARLink Online XML Technical Specification N-30D, N-30D/A Initial annual and semi-annual reports mailed to investment company shareholders pursuant to Rule 30e-1 (other than those required to be submitted as part of Form NCSR.) EDGARLink Online EDGARLink Online XML Technical Specification N-4, N-4/A Initial registration statement on Form N-4 for separate accounts (unit investment trusts) EDGARLink Online EDGARLink Online XML Technical Specification N-5, N-5/A Registration statement for small business investment EDGARLink companies Online EDGARLink Online XML Technical Specification N-54A, N-54A/A Notification of election by business development companies filed on Form N-54A EDGARLink Online EDGARLink Online XML Technical Specification N-54C, N-54C/A Notification of withdrawal by business development companies filed on Form N-54C EDGARLink Online EDGARLink Online XML Technical Specification N-6, N-6/A Registration statement for separate accounts (unit investment trusts) EDGARLink Online EDGARLink Online XML Technical Specification N-6F, N-6F/A Notice of intent by business development companies EDGARLink to elect to be subject to Sections 55 through 65 of Online the 1940 Act filed on Form N-6F EDGARLink Online XML Technical Specification Submission Type Description EDGAR Filer Manual (Volume II) 3-20 December 2020 Description Tool/ Template Number FilerConstructed Form Spec. N-8A, N-8A/A Initial notification of registration under Section 8(a) filed on Form N-8A EDGARLink Online EDGARLink Online XML Technical Specification N-8B-2, N-8B-2/A Initial registration statement for unit investment trusts EDGARLink filed on Form N-8B-2 Online EDGARLink Online XML Technical Specification N-8B-3, N-8B-3/A Initial registration statement for periodic payment plans filed on Form N-8B-3 EDGARLink Online EDGARLink Online XML Technical Specification N-8B-4, N-8B-4/A Initial registration statement for face-amount certificate companies filed on Form N-8B-4 EDGARLink Online EDGARLink Online XML Technical Specification N-8F, N-8F/A Application for deregistration made on Form N-8F EDGARLink Online EDGARLink Online XML Technical Specification N-CEN, N-CEN/A Annual Report for Registered Investment Companies EDGAR Filing Website Online Forms EDGAR Form N-CEN XML Technical Specification N-CR, N-CR/A Current Report of Money Market Fund Material Events EDGARLink Online EDGARLink Online XML Technical Specification N-CSR, N-CSR/A Certified annual shareholder report of registered EDGARLink management investment companies filed on Form N- Online CSR EDGARLink Online XML Technical Specification N-CSRS, N-CSRS/A Certified semi-annual shareholder report of registered management investment companies filed on Form N-CSR EDGARLink Online EDGARLink Online XML Technical Specification N-LIQUID, N-LIQUID/A Current Report Open-End Management Investment Company Liquidity EDGARLink Online EDGARLink Online XML Technical Specification Submission Type December 2020 3-21 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. N-MFP2, N-MFP2/A Monthly Schedule of Portfolio Holdings of Money Market Funds on Form N-MFP N/A EDGAR Form NMFP2 XML Technical Specification NPORT-EX, Portfolio Holdings Exhibit to Form N-PORT EDGARLink Online EDGARLink Online XML Technical Specification N/A NPORT-NP/A Monthly Portfolio Investments Report on Form NPORT (Non-Public) EDGAR Form NPORT XML Technical Specification NPORT-P, NPORT-P/A Monthly Portfolio Investments Report on Form NPORT (Public) N/A EDGAR Form NPORT XML Technical Specification N-PX, N-PX/A Annual Report of Proxy Voting Record of Registered Management Investment Companies filed on Form N-PX EDGARLink Online EDGARLink Online XML Technical Specification N-PX-CR, N-PX-CR/A Annual Form N-PX Combination Report filed by institutional managers EDGARLink Online EDGARLink Online XML Technical Specification N-PX-FM, N-PX-FM/A Annual Report of Proxy Voting Record of Registered Management Investment Companies that includes proxy votes institutional managers EDGARLink Online EDGARLink Online XML Technical Specification N-PX-NT, N-PX-NT/A Annual Form N-PX Notice filed by institutional managers EDGARLink Online EDGARLink Online XML Technical Specification N-PX-VR, N-PX-VR/A Annual Form N-PX Voting Report filed by institutional EDGARLink managers Online EDGARLink Online XML Technical Specification N-Q, N-Q/A Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company filed on Form N-Q EDGARLink Online XML Technical Specification NPORT-EX/A NPORT-NP, EDGAR Filer Manual (Volume II) 3-22 EDGARLink Online December 2020 Tool/ Template Number FilerConstructed Form Spec. NRSRO-UPD Form NRSRO – Update of Registration for Nationally EDGARLink Recognized Statistical Rating Organizations Online EDGARLink Online XML Technical Specification NRSRO-CE, NRSRO-CE/A Form NRSRO – Annual Certification for Nationally Recognized Statistical Rating Organizations EDGARLink Online EDGARLink Online XML Technical Specification NRSRO-FR, NRSRO-FR/A Annual Financial/Other Reports for Nationally Recognized Statistical Rating Organizations, as required by Rule 17g-3 (Non-Public) EDGARLink Online EDGARLink Online XML Technical Specification NRSRO-WCLS Form NRSRO – Withdrawal from Credit Rating Class EDGARLink for Nationally Recognized Statistical Rating Online Organizations EDGARLink Online XML Technical Specification NRSRO-WREG Form NRSRO – Withdrawal from Registration as Nationally Recognized Statistical Rating Organization EDGARLink Online EDGARLink Online XML Technical Specification NT 10-K, NT 10-K/A Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10-KT EDGARLink Online EDGARLink Online XML Technical Specification NT 10-D, NT 10-D/A Notice under Rule 12b25 of inability to timely file all or part of a Form 10-D EDGARLink Online EDGARLink Online XML Technical Specification NT 10-Q, NT 10-Q/A Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB EDGARLink Online EDGARLink Online XML Technical Specification NT 11-K, NT 11-K/A Notice under Rule 12b25 of inability to timely file all or part of a form 11-K EDGARLink Online EDGARLink Online XML Technical Specification NT 15D2, NT 15D2/A Notice under Rule 12b25 of inability to timely file a special report pursuant to Section 15d-2 EDGARLink Online EDGARLink Online XML Technical Specification NT 20-F, NT 20-F/A Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F EDGARLink Online EDGARLink Online XML Technical Specification Submission Type December 2020 Description 3-23 EDGAR Filer Manual (Volume II) Description Tool/ Template Number FilerConstructed Form Spec. NT-NCEN, NT-NCEN/A Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CEN EDGARLink Online EDGARLink Online XML Technical Specification NT-NCSR, NTNCSR/A Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) EDGARLink Online EDGARLink Online XML Technical Specification N-VP, N-VP/A Notice Document for Certain Variable Contracts EDGARLink Online EDGARLink Online XML Technical Specification N-VPFS, Financial Statements for Certain Variable Contracts EDGARLink Online EDGARLink Online XML Technical Specification POS 8C Post-effective amendment filed under the 1933 Act only or under both the 1933 and 1940 Acts pursuant to Section 8(c) of the 1933 Act by closed-end investment companies (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification POS AM Post-effective amendment to a registration statement EDGARLink that is not immediately effective upon filing Online EDGARLink Online XML Technical Specification POS AMI Post-effective amendment (for filings made under the EDGARLink 1940 Act only) Online EDGARLink Online XML Technical Specification POSASR Post-effective Amendment to an automatic shelf registration statement on Form S-3ASR or Form F3ASR EDGARLink Online EDGARLink Online XML Technical Specification POS EX Post-effective amendment filed solely to add exhibits to a registration statement EDGARLink Online EDGARLink Online XML Technical Specification POS462B Post-effective amendment to Securities Act Rule 462(b) registration statement EDGARLink Online EDGARLink Online XML Technical Specification POS462C Post-effective amendment to a registration statement EDGARLink filed under Rule 462(c) Online EDGARLink Online XML Technical Specification Submission Type N-VPFS/A EDGAR Filer Manual (Volume II) 3-24 December 2020 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. PRE 14A Preliminary proxy statement not related to a contested matter or merger/acquisition EDGARLink Online EDGARLink Online XML Technical Specification PRE 14C Preliminary information statement not related to a contested matter or merger/acquisition EDGARLink Online EDGARLink Online XML Technical Specification PREC14A Preliminary proxy statement in connection with contested solicitations EDGARLink Online EDGARLink Online XML Technical Specification PREC14C Preliminary information statements - contested solicitations EDGARLink Online EDGARLink Online XML Technical Specification PREM14A Preliminary proxy statement relating to a merger, acquisition, or disposition EDGARLink Online EDGARLink Online XML Technical Specification PREM14C Preliminary information statements relating to merger EDGARLink or acquisition Online EDGARLink Online XML Technical Specification PREN14A Preliminary proxy statement filed by non-management EDGARLink Online EDGARLink Online XML Technical Specification PRER14A Preliminary revised proxy soliciting materials EDGARLink Online EDGARLink Online XML Technical Specification PRER14C Preliminary revised information statements EDGARLink Online EDGARLink Online XML Technical Specification PRRN14A Revised preliminary proxy statement filed by nonmanagement EDGARLink Online EDGARLink Online XML Technical Specification PX14A6G Notice of exempt solicitation EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-25 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. PX14A6N Notice of exempt solicitation for the purpose of determining whether to solicit proxies, consents, or authorizations in opposition to a proposed roll-up transaction filed pursuant to Rule 14a6(g) of the Securities Exchange Act of 1934 EDGARLink Online EDGARLink Online XML Technical Specification QRTLYRPT, QRTLYRPT/A Periodic Development Bank filing, submitted quarterly EDGARLink Online EDGARLink Online XML Technical Specification RW Registration Withdrawal Request EDGARLink Online EDGARLink Online XML Technical Specification RW WD Withdrawal of a Registration Withdrawal Request EDGARLink Online EDGARLink Online XML Technical Specification S-1, S-1/A General form of registration statement for all companies including face-amount certificate companies EDGARLink Online EDGARLink Online XML Technical Specification S-11, S-11/A Registration statement for securities to be issued by real estate companies EDGARLink Online EDGARLink Online XML Technical Specification S-11MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-11 EDGARLink Online EDGARLink Online XML Technical Specification S-1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-1 EDGARLink Online EDGARLink Online XML Technical Specification S-20, S-20/A Registration statement for standardized options EDGARLink Online EDGARLink Online XML Technical Specification S-3, S-3/A Registration statement for specified transactions by certain issuers EDGARLink Online EDGARLink Online XML Technical Specification S-3ASR Automatic shelf registration statement of securities of EDGARLink well-known seasoned issuers Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-26 December 2020 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. S-3D Automatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans EDGARLink Online EDGARLink Online XML Technical Specification S-3DPOS Post-effective amendment to a S-3D registration statement EDGARLink Online EDGARLink Online XML Technical Specification S-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-3 EDGARLink Online EDGARLink Online XML Technical Specification S-4 POS Post-effective amendment to a S-4EF registration statement EDGARLink Online EDGARLink Online XML Technical Specification S-4, S-4/A Registration of securities issued in business combination transactions EDGARLink Online EDGARLink Online XML Technical Specification S-4EF Auto effective registration statement for securities issued in connection with the formation of a bank or savings and loan holding company in compliance with General Instruction G EDGARLink Online EDGARLink Online XML Technical Specification S-4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-4 EDGARLink Online EDGARLink Online XML Technical Specification S-6, S-6/A Initial registration statement filed on Form S-6 for unit EDGARLink investment trusts Online EDGARLink Online XML Technical Specification S-8 Initial registration statement for securities to be offered to employees pursuant to employee benefit plans EDGARLink Online EDGARLink Online XML Technical Specification S-8 POS Post-effective amendment to a S-8 registration statement EDGARLink Online EDGARLink Online XML Technical Specification S-B, S-B/A Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B) EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-27 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. S-BMEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-B EDGARLink Online EDGARLink Online XML Technical Specification SBSE, SBSE/A Application for Registration of Security-based Swap EDGAR Dealers and Major Security-based Swap Participants Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification SBSE-A, SBSE-A/A Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer or Major Swap Participant EDGAR Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification SBSE-BD, SBSE-BD/A Application for Registration of Security-based Swap EDGAR Dealers and Major Security-based Swap Participants Filing Website that are Registered Broker-dealers Online Forms EDGAR SBS Entity Forms XML Technical Specification SBSE-C Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants EDGAR Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification SBSE-W Request for Withdrawal from Registration as a EDGAR Security-based Swap Dealer or Major Security-based Filing Website Swap Participant Online Forms EDGAR SBS Entity Forms XML Technical Specification SC 13D, SC 13D/A Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities EDGARLink Online EDGARLink Online XML Technical Specification SC 13E1, SC 13E1/A Schedule 13-E1 statement of issuer required by Rule EDGARLink 13e-1 Online EDGARLink Online XML Technical Specification SC 13E3, SC 13E3/A Schedule filed to report going private transactions EDGARLink Online EDGARLink Online XML Technical Specification EDGARLink Online EDGARLink Online XML Technical Specification SC 13G, SC 13G/A Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions EDGAR Filer Manual (Volume II) 3-28 December 2020 Description Tool/ Template Number FilerConstructed Form Spec. SC 14D9, SC 14D9/A Tender offer solicitation/recommendation statements filed under Rule 14d-9 EDGARLink Online EDGARLink Online XML Technical Specification SC 14F1, SC 14F1/A Statement regarding change in majority of directors pursuant to Rule 14f-1 EDGARLink Online EDGARLink Online XML Technical Specification SC 14N, SC 14N/A Information filed by certain nominating shareholders (pursuant to Section 240 14n-1) EDGARLink Online EDGARLink Online XML Technical Specification SC 14N-S, SC 14N-S/A Solicitation in connection with the formation or attempted formation of a Rule 14a-11 nominating shareholder group or solicitation in connection with a Rule 14a-11 nomination EDGARLink Online EDGARLink Online XML Technical Specification SC TO-C Written communication relating to an issuer or third party tender offer EDGARLink Online EDGARLink Online XML Technical Specification SC TO-I, SC TO-I/A Issuer tender offer statement EDGARLink Online EDGARLink Online XML Technical Specification SC TO-T, SC TO-T/A Third party tender offer statement EDGARLink Online EDGARLink Online XML Technical Specification SC13E4F, SC13E4F/A Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers EDGARLink Online EDGARLink Online XML Technical Specification SC14D1F, SC14D1F/A Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers EDGARLink Online EDGARLink Online XML Technical Specification SC14D9C Written communication by the subject company relating to a third party tender offer EDGARLink Online EDGARLink Online XML Technical Specification SC14D9F, SC14D9F/A Solicitation/recommendation statement pursuant to Section 14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c) by foreign issuers EDGARLink Online EDGARLink Online XML Technical Specification Submission Type December 2020 3-29 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. SD, SD/A Specialized Disclosure Report filed pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the use of conflict minerals (Rule 13p-1) EDGARLink Online EDGARLink Online XML Technical Specification SDR, SDR/A, SDR-A Security-based swap data repository registration pursuant to the Securities Exchange Act of 1934. Application for Registration as Security-based Swap Data Repository (SDR), Interim Amendment to Application for Registration as Security-based Swap Data Repository (SDR/A), and Annual Amendment to Application for Registration as Security-based Swap Data Repository (SDR-A) EDGAR Filing Website Online Forms EDGAR SDR XML Technical Specification SDR-CCO, SDR-CCO/A Annual Compliance Report and Financial Report for a Security-based Swap Data Repository EDGARLink Online EDGARLink Online XML Technical Specification SDR-W Application for Withdrawal from Registration as Security-based Swap Data Repository EDGAR Filing Website Online Forms EDGAR SDR XML Technical Specification SF-1, SF-1/A General form of registration statement for all issuers of asset-backed securities EDGARLink Online EDGARLink Online XML Technical Specification SF-1MEF A new registration statement filed under Securities Act Rule 462(b) to add securities to a prior related effective registration statement filed on Form SF-1 EDGARLink Online EDGARLink Online XML Technical Specification SF-3, SF-3/A Shelf registration statement for qualified offerings of asset-backed securities EDGARLink Online EDGARLink Online XML Technical Specification SF-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form SF-3 EDGARLink Online EDGARLink Online XML Technical Specification SH-ER, SH-ER/A Weekly Form SH Entries Report Filed by Institutional EDGARLink Investment Managers Online SH-ER Information Table XML Technical Specification SH-NT, SH-NT/A Weekly Form SH Notice Report Filed by Institutional Investment Managers EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-30 EDGARLink Online December 2020 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. SP 15D2, SP 15D2/A Special Financial Report filed under Rule 15d-2 EDGARLink Online EDGARLink Online XML Technical Specification SUPPL Voluntary supplemental material filed pursuant to EDGARLink Section 11(a) of the Securities Act of 1933 by foreign Online issuers EDGARLink Online XML Technical Specification T-1, T-2 Note - Forms T-1 and T-2 are not filed as standalone submission types on the EDGAR system. They are filed as EX-25 (or EX-25/A when amended) to registration statements. No info blank cell No info blank cell T-3, T-3/A Initial application for qualification of trust indentures EDGARLink Online EDGARLink Online XML Technical Specification T-6, T-6/A Application for determination of eligibility of a foreign person to act as institutional trustee filed pursuant to Section 310(a)(1) of the Trust Indenture Act of 1939 EDGARLink Online EDGARLink Online XML Technical Specification TA-1, TA-1/A Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 EDGAR Filing Website Online Forms EDGAR Form TA-1 XML Technical Specification TA-2, TA-2/A Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 EDGAR Filing Website Online Forms EDGAR Form TA-2 XML Technical Specification TA-W Notice of withdrawal from registration as transfer agent filed pursuant to the Securities Exchange Act of 1934 EDGAR Filing Website Online Forms EDGAR Form TA-W XML Technical Specification UNDER, UNDER/A Initial undertaking to file reports EDGARLink Template 3 XFDL Technical Specification X-17A-5, X-17A-5/A EDGAR Filing Website Online Forms EDGAR Form X-17A5 XML Technical Specification December 2020 Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder 3-31 EDGAR Filer Manual (Volume II) 3.2 Electronic Form Types by Act This index will allow you to use the filing type to identify the EDGAR submission type and finally the tool or template you can use to either create or assemble the filing. Each of the tools and templates are covered in detail in separate sections of this document. The final column should only be used by filers or software developers who construct filings outside of the SEC supplied tools. Filer-Constructed Technical Specifications are available on the SEC’s Public Website. Please refer to these sites to determine if your version of the tool, template, or document is correct. Note: Tools, templates, and documents will no longer be marked with a version number relating to a software release. Some tools may be specific to submission types that remain the same through several releases, instead of being updated with each new release. Therefore each tool, template and manual will now be marked with its own version number, specific to that particular item. You can find the most current versions on the website from which the tools, templates, and manuals are downloaded. Be sure to verify that you have the current version before filing. Issuers are advised that filings with the submission types listed below will receive a “Filing Date” identical to the EDGAR “Received Date” even if received after 5:30 P.M. Eastern time, which is different than normal filings. In addition these filings will be disseminated until 10:00 P.M. Eastern time. Normally filings received after 5:30 P.M. Eastern time will receive a filing date of the next business day and will not be disseminated until the next business day. The following submission types will receive a filing date identical to the EDGAR “Received Date” and will be disseminated until 10:00 P.M. Eastern time: 3, 3/A, 4, 4/A, 5, 5/A, F-1MEF, F-3MEF, F-4MEF, N-14MEF, N-2MEF, POS 462B, S-11MEF, S-1MEF, S-3MEF, S-4MEF, S-BMEF. You should send any fee payment made for the above registration statements to the Commission's lockbox. Additionally, you should submit any fee payment certification that you are making for the above-listed submission types, pursuant to Rule 111(b), using the “CORRESP” submission type. EDGAR Filer Manual (Volume II) 3-32 December 2020 Electronic Form Types by Act List of Tables Table 3-1: Securities Act Submission Types Accepted by EDGAR ......................................... 3-34 Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant to Section 14 Submission Types Accepted by EDGAR ............................................................ 3-53 Table 3-3: Securities Exchange Act – Registration and Report Submission Types Accepted by EDGAR ...................................................................................................................................... 3-58 Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR ................................ 3-78 Table 3-5: Investment Company Submission Types Accepted by EDGAR ............................. 3-82 Table 3-6: Development Bank Submission Types Accepted by EDGAR ............................... 3-106 Table 3-7: Correspondence Submission Types........................................................................ 3-107 December 2020 3-33 EDGAR Filer Manual (Volume II) Table 3-1: Securities Act Submission Types Accepted by EDGAR CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 1-A Offering Statement under Regulation A 1-A EDGAR Filing Website EDGAR REG A XML Technical Specification 1-A Pre-qualification amendment for offering statement under Regulation A 1-A/A EDGAR Filing Website EDGAR REG A XML Technical Specification 1-A POS Post-qualification amendment to a 1-A offering statement 1-A POS EDGAR Filing Website EDGAR REG A XML Technical Specification 1-A-W Withdrawal of offering statement under Regulation A 1-A-W EDGARLink Online EDGARLink Online XML Technical Specification 1-A-W Amendment to a withdrawal of offering statement under Regulation A 1-A-W/A EDGARLink Online EDGARLink Online XML Technical Specification 1-K Annual Report Pursuant to Regulation A 1-K EDGAR Filing Website EDGAR REG A XML Technical Specification 1-K Amendment to Annual Report Pursuant to Regulation A 1-K/A EDGAR Filing Website EDGAR REG A XML Technical Specification 1-SA Semiannual Report Pursuant to Regulation A 1-SA EDGARLink Online EDGARLink Online XML Technical Specification 1-SA Amendment to Semiannual Report Pursuant to Regulation A 1-SA/A EDGARLink Online EDGARLink Online XML Technical Specification 1-U Current Report pursuant to Regulation A 1-U EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-34 December 2020 CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 1-U Amendment to Current Report pursuant to Regulation A 1-U/A EDGARLink Online EDGARLink Online XML Technical Specification 1-Z Exit Report under Regulation A 1-Z EDGAR Filing Website EDGAR REG A XML Technical Specification 1-Z Amendment to Exit Report under Regulation A 1-Z/A EDGAR Filing Website EDGAR REG A XML Technical Specification 1-Z-W Withdrawal of Exit Report under Regulation A 1-Z-W EDGARLink Online EDGARLink Online XML Technical Specification 1-Z-W Amendment to a withdrawal of Exit Report under Regulation A 1-Z-W/A EDGARLink Online EDGARLink Online XML Technical Specification 253G1 Reflects information previously omitted from the offering circular in reliance on Rule 253(b) 253G1 EDGARLink Online EDGARLink Online XML Technical Specification 253G2 Reflects information that constitutes a substantive change from or addition to the information set forth in the last offering circular 253G2 EDGARLink Online EDGARLink Online XML Technical Specification 253G3 Reflects information covered in both 253G1 and 253G2 253G3 EDGARLink Online EDGARLink Online XML Technical Specification 253G4 Reflects information covered in 253G1, 253G2, or 253G3 that is not being timely filed 253G4 EDGARLink Online EDGARLink Online XML Technical Specification C Offering Statement C EDGAR Filing Website EDGAR Form C XML Technical Specification C Offering Statement Withdrawal C-W EDGAR Filing Website EDGAR Form C XML Technical Specification December 2020 3-35 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. C Amendment to Offering Statement C/A EDGAR Filing Website EDGAR Form C XML Technical Specification C Amendment to Offering Statement Withdrawal C/A-W EDGAR Filing Website EDGAR Form C XML Technical Specification C Progress Update C-U EDGAR Filing Website EDGAR Form C XML Technical Specification C Progress Update Withdrawal C-U-W EDGAR Filing Website EDGAR Form C XML Technical Specification C Annual Report C-AR EDGAR Filing Website EDGAR Form C XML Technical Specification C Amendment to Annual Report C-AR/A EDGAR Filing Website EDGAR Form C XML Technical Specification C Annual Report Withdrawal C-AR-W EDGAR Filing Website EDGAR Form C XML Technical Specification C Amendment to Annual Report Withdrawal C-AR/A-W EDGAR Filing Website EDGAR Form C XML Technical Specification C Termination of Reporting C-TR EDGAR Filing Website EDGAR Form C XML Technical Specification C Termination of Reporting Withdrawal C-TR-W EDGAR Filing Website EDGAR Form C XML Technical Specification EDGAR Filer Manual (Volume II) 3-36 December 2020 CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. CFPORTAL Initial application of funding portal CFPORTAL EDGAR Filing Website EDGAR Form CFPORTAL XML Technical Specification CFPORTAL Amendment to registration, including a successor registration CFPORTAL/A EDGAR Filing Website EDGAR Form CFPORTAL XML Technical Specification CFPORTAL Withdrawal of the funding portal’s registration CFPORTAL-W EDGAR Filing Website EDGAR Form CFPORTAL XML Technical Specification D Official notice of an offering of securities that is made without registration under the Securities Act in reliance on an exemption provided by Regulation D and Section 4a(5) under the Act D Online Forms N/A D Amendment D/A Online Forms N/A DOS Non-public draft offering statement under Regulation A DOS EDGAR Filing Website N/A DOS Non-public draft pre-qualification amendment for offering statement under Regulation A DOS/A EDGAR Filing Website N/A DOS Draft Offering Statement Letter DOSLTR EDGARLink Online N/A DRS Draft registration statement submitted by Emerging Growth Company under Securities Act Section 6(e) or by Foreign Private Issuer under Division of Corporation Finance policy DRS EDGARLink Online N/A DRS Amended Draft Registration Statement DRS/A EDGARLink Online N/A DRS Correspondence Related to Draft Registration Statement DRSLTR EDGARLink Online N/A December 2020 3-37 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. F-1 Registration statement for securities of certain foreign private issuers F-1 EDGARLink Online EDGARLink Online XML Technical Specification F-1 Pre-effective amendment F-1/A EDGARLink Online EDGARLink Online XML Technical Specification F-1 Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Online EDGARLink Online XML Technical Specification F-1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-1 F-1MEF EDGARLink Online EDGARLink Online XML Technical Specification F-1MEF Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Online EDGARLink Online XML Technical Specification F-3 Registration statement for specified transactions by certain foreign private issuers F-3 EDGARLink Online EDGARLink Online XML Technical Specification F-3 Pre-Effective amendment F-3/A EDGARLink Online EDGARLink Online XML Technical Specification F-3 Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Online EDGARLink Online XML Technical Specification F-3 Automatic shelf registration statement of securities of well-known seasoned issuers F-3ASR EDGARLink Online EDGARLink Online XML Technical Specification F-3 Post-effective Amendment to an automatic shelf registration statement on Form S-3ASR or Form F-3ASR POSASR EDGARLink Online EDGARLink Online XML Technical Specification F-3 Registration statement for dividend or interest reinvestment plan securities of foreign private issuers F-3D EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-38 December 2020 CFR Form/ Schedule/ Rule F-3 Tool/ Template Number FilerConstructed Form Spec. F-3DPOS EDGARLink Online EDGARLink Online XML Technical Specification Submission Type Description Post-Effective amendment to a F-3D registration F-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-3 F-3MEF EDGARLink Online EDGARLink Online XML Technical Specification F-3MEF Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Online EDGARLink Online XML Technical Specification F-4 Registration statement for securities issued by foreign private issuers in certain business combination transactions F-4 EDGARLink Online EDGARLink Online XML Technical Specification F-4 Pre-effective amendment F-4/A EDGARLink Online EDGARLink Online XML Technical Specification F-4 Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Online EDGARLink Online XML Technical Specification F-4 Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions F-4EF EDGARLink Online EDGARLink Online XML Technical Specification F-4 Post-effective amendment to a F-4EF registration F-4 POS EDGARLink Online EDGARLink Online XML Technical Specification F-4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-4 F-4MEF EDGARLink Online EDGARLink Online XML Technical Specification F-4MEF Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Online EDGARLink Online XML Technical Specification F-6 Registration statement for American Depositary Receipts representing securities of certain foreign private issuers F-6 EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-39 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. F-6 Pre-effective amendment F-6/A EDGARLink Online EDGARLink Online XML Technical Specification F-6 Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Online EDGARLink Online XML Technical Specification F-6 Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers F 6EF EDGARLink Online EDGARLink Online XML Technical Specification F-6 Post-effective amendment to a F-6EF registration F-6 POS EDGARLink Online EDGARLink Online XML Technical Specification F-7 Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933 F-7 EDGARLink Online EDGARLink Online XML Technical Specification F-7 Pre-effective amendment F-7/A EDGARLink Online EDGARLink Online XML Technical Specification F-7 Post-effective amendment to a F-7 registration F-7 POS EDGARLink Online EDGARLink Online XML Technical Specification F-8 Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 F-8 EDGARLink Online EDGARLink Online XML Technical Specification F-8 Pre-effective amendment F-8/A EDGARLink Online EDGARLink Online XML Technical Specification F-8 Post-effective amendment to a F-8 registration F-8 POS EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-40 December 2020 CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. F-10 Registration statement for securities of certain Canadian issuers under the Securities Act of 1933 F-10 EDGARLink Online EDGARLink Online XML Technical Specification F-10 Pre-effective amendment F-10/A EDGARLink Online EDGARLink Online XML Technical Specification F-10 Auto effective registration statement for securities of certain Canadian issuers under the Securities Act of 1933 F-10EF EDGARLink Online EDGARLink Online XML Technical Specification F-10 Post-effective amendment to a F10EF registration F-10POS EDGARLink Online EDGARLink Online XML Technical Specification F-80 Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 F-80 EDGARLink Online EDGARLink Online XML Technical Specification F-80 Pre-effective amendment F-80/A EDGARLink Online EDGARLink Online XML Technical Specification S-1 General form of registration statement for all companies including face-amount certificate companies S-1 EDGARLink Online EDGARLink Online XML Technical Specification S-1 Pre-effective amendment S-1/A EDGARLink Online EDGARLink Online XML Technical Specification S-1 Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Online EDGARLink Online XML Technical Specification S-1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-1 S-1MEF EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-41 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. S-1MEF Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Online EDGARLink Online XML Technical Specification S-3 Registration statement for specified transactions by certain issuers S-3 EDGARLink Online EDGARLink Online XML Technical Specification S-3 Pre-effective amendment S-3/A EDGARLink Online EDGARLink Online XML Technical Specification S-3 Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Online EDGARLink Online XML Technical Specification S-3 Automatic shelf registration statement of securities of well-known seasoned issuers S-3ASR EDGARLink Online EDGARLink Online XML Technical Specification S-3 Post-effective Amendment to an automatic shelf registration statement on Form S-3ASR or Form F-3ASR POSASR EDGARLink Online EDGARLink Online XML Technical Specification S-3 Automatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans S-3D EDGARLink Online EDGARLink Online XML Technical Specification S-3 Post-effective amendment to a S-3D registration statement S-3DPOS EDGARLink Online EDGARLink Online XML Technical Specification S-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-3 S-3MEF EDGARLink Online EDGARLink Online XML Technical Specification S-3MEF Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Online EDGARLink Online XML Technical Specification S-4 Registration of securities issued in business combination transactions S-4 EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-42 December 2020 CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. S-4 Pre-effective amendment S-4/A EDGARLink Online EDGARLink Online XML Technical Specification S-4 Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Online EDGARLink Online XML Technical Specification S-4 Auto effective registration statement for securities issued in connection with the formation of a bank or savings and loan holding company in compliance with General Instruction G S-4EF EDGARLink Online EDGARLink Online XML Technical Specification S-4 Post-effective amendment to a S-4EF registration statement S-4 POS EDGARLink Online EDGARLink Online XML Technical Specification S-4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-4 S-4MEF EDGARLink Online EDGARLink Online XML Technical Specification S-4MEF Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Online EDGARLink Online XML Technical Specification S-8 Initial registration statement for securities to be offered to employees pursuant to employee benefit plans S-8 EDGARLink Online EDGARLink Online XML Technical Specification S-8 Post-effective amendment to a S-8 registration statement S-8 POS EDGARLink Online EDGARLink Online XML Technical Specification S-11 Registration statement for securities to be issued by real estate companies S-11 EDGARLink Online EDGARLink Online XML Technical Specification S-11 Pre-effective amendment S-11/A EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-43 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. S-11 Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Online EDGARLink Online XML Technical Specification S-11MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-11 S-11MEF EDGARLink Online EDGARLink Online XML Technical Specification S-11MEF Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Online EDGARLink Online XML Technical Specification S-20 Registration statement for standardized options S-20 EDGARLink Online EDGARLink Online XML Technical Specification S-20 Pre-effective amendment S-20/A EDGARLink Online EDGARLink Online XML Technical Specification S-20 Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Online EDGARLink Online XML Technical Specification S-B Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B) S-B EDGARLink Online EDGARLink Online XML Technical Specification S-B Pre-effective amendment S-B/A EDGARLink Online EDGARLink Online XML Technical Specification S-B Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Online EDGARLink Online XML Technical Specification S-BMEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-B S-BMEF EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-44 December 2020 CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. S-BMEF Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Online EDGARLink Online XML Technical Specification POS462B Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Online EDGARLink Online XML Technical Specification POS462C Post-effective amendment to a registration statement filed under Rule 462(c) POS462C EDGARLink Online EDGARLink Online XML Technical Specification POS AM Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Online EDGARLink Online XML Technical Specification POS EX Post-effective amendment filed solely to add exhibits to a registration statement POS EX EDGARLink Online EDGARLink Online XML Technical Specification SF-1 General form of registration statement for all issuers of asset-backed securities SF-1 EDGARLink Online EDGARLink Online XML Technical Specification SF-1 Pre-effective amendment to an SF-1 registration statement SF-1/A EDGARLink Online EDGARLink Online XML Technical Specification SF-1 Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Online EDGARLink Online XML Technical Specification SF-1MEF A new registration statement filed under Securities Act Rule 462(b) to add securities to a prior related effective registration statement filed on Form SF-1 SF-1MEF EDGARLink Online EDGARLink Online XML Technical Specification SF-3 Shelf registration statement for qualified offerings of asset-backed securities SF-3 EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-45 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. SF-3 Pre-effective amendment to an SF-3 registration statement SF-3/A EDGARLink Online EDGARLink Online XML Technical Specification SF-3 Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Online EDGARLink Online XML Technical Specification SF-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form SF-3 SF-3MEF EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-46 December 2020 Prospectus Filed Pursuant to Rule 424 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 424A Prospectus filed pursuant to Rule 424(a) EDGARLink Online EDGARLink Online XML Technical Specification 424B1 Prospectus filed pursuant to Rule 424(b)(1) EDGARLink Online EDGARLink Online XML Technical Specification 424B2 Prospectus filed pursuant to Rule 424(b)(2) EDGARLink Online EDGARLink Online XML Technical Specification 424B3 Prospectus filed pursuant to Rule 424(b)(3) EDGARLink Online EDGARLink Online XML Technical Specification 424B4 Prospectus filed pursuant to Rule 424(b)(4) EDGARLink Online EDGARLink Online XML Technical Specification 424B5 Prospectus filed pursuant to Rule 424(b)(5) EDGARLink Online EDGARLink Online XML Technical Specification 424B7 Prospectus filed pursuant to Rule 424(b)(7) EDGARLink Online EDGARLink Online XML Technical Specification 424B8 Prospectus filed pursuant to Rule 424(b)(8) EDGARLink Online EDGARLink Online XML Technical Specification 424H Preliminary Prospectus filed pursuant to Rule 424(h) EDGARLink Online EDGARLink Online XML Technical Specification 424H/A Amendment to Preliminary Prospectus filed pursuant to Rule 424(h) EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-47 EDGAR Filer Manual (Volume II) Free Writing Prospectus Description Tool/ Template Number FilerConstructed Form Spec. Filing under Securities Act Rules 163/433 of free writing prospectuses EDGARLink Online EDGARLink Online XML Technical Specification Submission Type FWP EDGAR Filer Manual (Volume II) 3-48 December 2020 Certification by an exchange approving securities for listing CFR Form/ Schedule/ Rule CERT Description Certification by an exchange approving securities for listing Submission Type Tool/ Template Number FilerConstructed Form Spec. CERT EDGARLink Online N/A Tool/ Template Number FilerConstructed Form Spec. Filings Pursuant to the Trust Indenture Act CFR Form/ Schedule/ Rule Submission Type Description 305B2 Application for designation of a new trustee under the Trust Indenture Act 305B2 EDGARLink Online EDGARLink Online XML Technical Specification 305B2 Amendment 305B2/A EDGARLink Online EDGARLink Online XML Technical Specification T-3 Initial application for qualification of trust indentures T-3 EDGARLink Online EDGARLink Online XML Technical Specification T-3 Pre-effective amendment T-3/A EDGARLink Online EDGARLink Online XML Technical Specification T-6 Application for determination of eligibility of a foreign person to act as institutional trustee filed pursuant to Section 310(a)(1) of the Trust Indenture Act of 1939 T-6 EDGARLink Online EDGARLink Online XML Technical Specification T-6 Pre-effective amendment T-6/A EDGARLink Online EDGARLink Online XML Technical Specification Note: Forms T-1 and T-2 are not filed as stand-alone submission types on the EDGAR system. They are filed as EX-25 (or EX-25/A when amended) to registration statements. December 2020 3-49 EDGAR Filer Manual (Volume II) Filings Pursuant to Rule 144 CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 144 Filing for proposed sale of securities under Rule 144 144 EDGARLink Online EDGARLink Online XML Technical Specification 144 Amendment to Form 144 144/A EDGARLink Online EDGARLink Online XML Technical Specification Note: Form 144 may be filed electronically on a voluntary basis if the issuer of the securities is a public company. EDGAR Filer Manual (Volume II) 3-50 December 2020 Miscellaneous Filings CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. APP WD Withdrawal of an application for exemptive or other relief from the federal securities laws APP WD EDGARLink Online EDGARLink Online XML Technical Specification APP WD Amendment to Form APP WD APP WD/A EDGARLink Online EDGARLink Online XML Technical Specification DEL AM Separately filed delaying amendment under Securities Act Rule 473 to delay effectiveness of a 1933 Act registration statement DEL AM EDGARLink Online EDGARLink Online XML Technical Specification UNDER Initial undertaking to file reports UNDER EDGARLink Online EDGARLink Online XML Technical Specification UNDER Amendment UNDER/A EDGARLink Online EDGARLink Online XML Technical Specification SUPPL Voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers SUPPL EDGARLink Online EDGARLink Online XML Technical Specification RW Registration Withdrawal Request RW EDGARLink Online EDGARLink Online XML Technical Specification RW WD Withdrawal of a Registration Withdrawal Request RW WD EDGARLink Online EDGARLink Online XML Technical Specification AW Withdrawal of amendment to a registration statement filed under the Securities Act AW EDGARLink Online Specification EDGARLink Online XML Technical Specification AW WD Withdrawal of a request for withdrawal of an amendment to a registration statement AW WD EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-51 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 425 Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions Note: Form 425 can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms 425 EDGARLink Online EDGARLink Online XML Technical Specification F-X For appointment of agent for service of process by issuers registering securities (if filed on Form F-8, F-9, F-10 or F-80, or registering securities or filing periodic reports on Form 40-F, or by any person filing certain tender offer documents, or by any person acting as trustee with respect to securities registered on form F-7, F-8, F-9 or F-10 F-X EDGARLink Online EDGARLink Online XML Technical Specification F-X Amendment F-X/A EDGARLink Online EDGARLink Online XML Technical Specification F-N Notification of the appointment of an agent for service by certain foreign institutions F-N EDGARLink Online EDGARLink Online XML Technical Specification F-N Amendment F-N/A EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-52 December 2020 Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant to Section 14 Submission Types Accepted by EDGAR Preliminary Proxy Soliciting Materials Description Tool/ Template Number FilerConstructed Form Spec. PREM14A Preliminary proxy statement relating to a merger, acquisition, or disposition EDGARLink Online EDGARLink Online XML Technical Specification PREC14A Preliminary proxy statement in connection with contested solicitations EDGARLink Online EDGARLink Online XML Technical Specification PREN14A Preliminary proxy statement filed by non-management EDGARLink Online EDGARLink Online XML Technical Specification PRE 14A Preliminary proxy statement not related to a contested matter or merger/acquisition EDGARLink Online EDGARLink Online XML Technical Specification Tool/ Template Number FilerConstructed Form Spec. Submission Type Preliminary Information Statements Submission Type Description PREM14C Preliminary information statements relating to merger or acquisition EDGARLink Online EDGARLink Online XML Technical Specification PREC14C Preliminary information statements – contested solicitations EDGARLink Online EDGARLink Online XML Technical Specification PRE 14C Preliminary information statement not related to a contested matter or merger/acquisition EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-53 EDGAR Filer Manual (Volume II) Revised Preliminary Materials Submission Type Description Tool/ Template Number FilerConstructed Form Spec. PRER14A Preliminary revised proxy soliciting materials EDGARLink Online EDGARLink Online XML Technical Specification PRRN14A Revised preliminary proxy statement filed by non-management EDGARLink Online EDGARLink Online XML Technical Specification PRER14C Preliminary revised information statements EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-54 December 2020 Definitive Materials (Proxy Materials) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. DEFM14A Definitive proxy statement relating to a merger, acquisition, or disposition EDGARLink Online EDGARLink Online XML Technical Specification DEFC14A Definitive proxy statement in connection with contested solicitations EDGARLink Online EDGARLink Online XML Technical Specification DEFN14A Definitive proxy statement filed by non-management EDGARLink Online EDGARLink Online XML Technical Specification DFRN14A Revised definitive proxy statement filed by non-management EDGARLink Online EDGARLink Online XML Technical Specification DEFR14A Definitive revised proxy soliciting materials EDGARLink Online EDGARLink Online XML Technical Specification DEFA14A Definitive additional proxy soliciting materials including Rule 14(a)(12) material EDGARLink Online EDGARLink Online XML Technical Specification EDGARLink Online EDGARLink Online XML Technical Specification EDGARLink Online EDGARLink Online XML Technical Specification Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms DFAN14A Definitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material Note: Submission type DFAN14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms DEF 14A December 2020 Definitive proxy statements 3-55 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. PX14A6G Notice of exempt solicitation EDGARLink Online EDGARLink Online XML Technical Specification PX14A6N Notice of exempt solicitation for the purpose of determining whether to solicit proxies, consents, or authorizations in opposition to a proposed roll-up transaction filed pursuant to Rule 14a6(g) of the Securities Exchange Act of 1934 EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-56 December 2020 Definitive Materials (Information Statements) Description Tool/ Template Number FilerConstructed Form Spec. DEFM14C Definitive information statement relating to merger or acquisition EDGARLink Online EDGARLink Online XML Technical Specification DEFC14C Definitive information statement – contested solicitations EDGARLink Online EDGARLink Online XML Technical Specification DEF 14C Definitive information statements EDGARLink Online EDGARLink Online XML Technical Specification DEFA14C Definitive additional information statement materials including Rule 14(a)(12) material EDGARLink Online EDGARLink Online XML Technical Specification DEFR14C Definitive revised information statement materials EDGARLink Online EDGARLink Online XML Technical Specification Submission Type December 2020 3-57 EDGAR Filer Manual (Volume II) Table 3-3: Securities Exchange Act – Registration and Report Submission Types Accepted by EDGAR Registration Statements CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number FilerConstructed Form Spec. 8-A Form for the registration / listing of a class of securities on a national securities exchange pursuant to Section 12(b) 8-A12B EDGARLink Online EDGARLink Online XML Technical Specification 8-A Amendment 8-A12B/A EDGARLink Online EDGARLink Online XML Technical Specification 8-A Form for registration of a class of securities pursuant to Section 12(g) 8-A12G EDGARLink Online EDGARLink Online XML Technical Specification 8-A Amendment 8-A12G/A EDGARLink Online EDGARLink Online XML Technical Specification 10 Initial general form for registration of a class of securities pursuant to Section 12(b) 10-12B EDGARLink Online EDGARLink Online XML Technical Specification 10 Amendment 10-12B/A EDGARLink Online EDGARLink Online XML Technical Specification 10 Initial general form for registration of a class of securities pursuant to Section 12(g) 10-12G EDGARLink Online EDGARLink Online XML Technical Specification 10 Amendment 10-12G/A EDGARLink Online EDGARLink Online XML Technical Specification 13H Large Trader Registration Information Required of Large Traders Pursuant to the Securities Exchange Act of 1934 and Rule 13h-1 Thereunder 13H EDGAR N/A Filing Website Online Forms EDGAR Filer Manual (Volume II) 3-58 December 2020 CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number FilerConstructed Form Spec. 13H Amended Filing 13H-Q EDGAR N/A Filing Website Online Forms 13H Annual Filing 13H-A EDGAR N/A Filing Website Online Forms 13H Inactive Status 13H-I EDGAR N/A Filing Website Online Forms 13H Reactivated Status 13H-R EDGAR N/A Filing Website Online Forms 13H Termination Filing 13H-T EDGAR N/A Filing Website Online Forms 20-F Form for initial registration of a class of securities of foreign private issuers pursuant to Section 12(b) 20FR12B EDGARLink Online EDGARLink Online XML Technical Specification 20-F Amendment 20FR12B/A EDGARLink Online EDGARLink Online XML Technical Specification 20-F Form for initial registration of a class of securities of foreign private issuers pursuant to Section 12(g) 20FR12G EDGARLink Online EDGARLink Online XML Technical Specification 20-F Amendment 20FR12G/A EDGARLink Online EDGARLink Online XML Technical Specification 40-F Registration of a class of securities of certain 40FR12B Canadian issuers pursuant to Section 12(b) of the 1934 Act EDGARLink Online EDGARLink Online XML Technical Specification December 2020 3-59 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number FilerConstructed Form Spec. 40FR12B/A EDGARLink Online EDGARLink Online XML Technical Specification 40-F Amendment 40-F Registration of a class of securities of certain 40FR12G Canadian issuers pursuant to Section 12(g) of the 1934 Act EDGARLink Online EDGARLink Online XML Technical Specification 40-F Amendment 40FR12G/A EDGARLink Online EDGARLink Online XML Technical Specification 18 Form for initial registration of securities of foreign governments or political subdivisions pursuant to Section 12(b) 18-12B EDGARLink Online EDGARLink Online XML Technical Specification 18 Amendment 18-12B/A EDGARLink Online EDGARLink Online XML Technical Specification 18 Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to Section 12(g) 18-12G EDGARLink Online EDGARLink Online XML Technical Specification 18 Amendment 18- 12G/A EDGARLink Online EDGARLink Online XML Technical Specification MA Application for Municipal Advisor Registration MA EDGAR Filing Website Online Forms EDGAR Form MA XML Technical Specification MA Annual Update of Municipal Advisor Registration MA-A EDGAR Filing Website Online Forms EDGAR Form MA XML Technical Specification EDGAR Filer Manual (Volume II) 3-60 December 2020 CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number FilerConstructed Form Spec. MA Amendment of a Prior Application for Registration MA/A EDGAR Filing Website Online Forms EDGAR Form MA XML Technical Specification MA-I Information Regarding Natural Persons Who Engage in Municipal Advisory Activities MA-I EDGAR Filing Website Online Forms EDGAR Form MA XML Technical Specification MA-I Amendment of a previously submitted Form MA-I MA-I/A EDGAR Filing Website Online Forms EDGAR Form MA XML Technical Specification MA-W Notice of Withdrawal from Registration as a Municipal Advisor MA-W EDGAR Filing Website Online Forms EDGAR Form MA XML Technical Specification See Rules 15Fb1-1 through 15Fb6-2 Application for Registration of Securitybased Swap Dealers and Major Securitybased Swap Participants SBSE EDGAR Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification See Rules 15Fb1-1 through 15Fb6-2 Amendment to an Application for SBSE/A Registration of Security-based Swap Dealers and Major Security-based Swap Participants EDGAR Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification See Rules 15Fb1-1 through 15Fb6-2 Application for Registration of SecuritySBSE-A based Swap Dealers and Major Securitybased Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer or Major Swap Participant EDGAR Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification See Rules 15Fb1-1 through 15Fb6-2 Amendment to an Application for SBSE-A/A Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer or Major Swap Participant EDGAR Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification December 2020 3-61 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number FilerConstructed Form Spec. See Rules 15Fb1-1 through 15Fb6-2 Application for Registration of SecuritySBSE-BD based Swap Dealers and Major Securitybased Swap Participants that are Registered Broker-dealers EDGAR Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification See Rules 15Fb1-1 through 15Fb6-2 Amendment to an Application for SBSE-BD/A Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers EDGAR Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification See Rules 15Fb1-1 through 15Fb6-2 Certifications for Registration of Securitybased Swap Dealers and Major Securitybased Swap Participants SBSE-C EDGAR Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification See Rules 15Fb1-1 through 15Fb6-2 Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant SBSE-W EDGAR Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification SDR Application for Registration as Securitybased Swap Data Repository SDR EDGAR Filing Website Online Forms EDGAR SDR XML Technical Specification SDR Interim Amendment to Application for Registration as Security-based Swap Data Repository SDR/A EDGAR Filing Website Online Forms EDGAR SDR XML Technical Specification SDR Annual Amendment to Application for Registration as Security-based Swap Data Repository SDR-A EDGAR Filing Website Online Forms EDGAR SDR XML Technical Specification SDR-W Application for Withdrawal from Registration as Security-based Swap Data Repository SDR-W EDGAR Filing Website Online Forms EDGAR SDR XML Technical Specification EDGAR Filer Manual (Volume II) 3-62 December 2020 Annual, Quarterly, and Periodic Reports CFR Form/ Schedule/ Rule ABS-EE Submission Type Description Form for Submission of Electronic Exhibits in asset-backed securities offerings ABS-EE Tool/ Template Number FilerConstructed Form Spec. EDGARLink EDGARLink Online XML Online Technical Specification, EDGAR ABS XML Technical Specification ABS-EE Amendment to Form for Submission of Electronic Exhibits in asset-backed securities offerings ABS-EE/A EDGARLink EDGARLink Online XML Online Technical Specification, EDGAR ABS XML Technical Specification ARS Annual report to security holders ARS EDGARLink EDGARLink Online XML Online Technical Specification ARS Amendment ARS/A EDGARLink EDGARLink Online XML Online Technical Specification Note: Use this submission type when furnishing the annual report to security holders for the information of the Commission pursuant to Rule 14a-3(c) or Rule 14c-3(b). Portions of the annual report to security holders filed with the Commission as part of a registration statement or periodic report should be filed as Exhibit 13, as provided by Item 601 of Regulation S-K and S-B. IRANNOTICE Notice of disclosure filed in Exchange Act quarterly and annual reports pursuant to Section 219 of the Iran Threat Reduction and Syria Human Rights Act of 2012 and Section 13(r) of the Exchange Act SD December 2020 IRANNOTICE EDGARLink EDGARLink Online XML Online Technical Specification Specialized Disclosure Report filed SD pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the use of conflict minerals (Rule 13p-1) 3-63 EDGARLink EDGARLink Online XML Online Technical Specification EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. SD Amendment SD/A EDGARLink EDGARLink Online XML Online Technical Specification SDR-CCO Annual Compliance Report and Financial Report for a Security-based Swap Data Repository SDR-CCO EDGARLink EDGARLink Online XML Online Technical Specification SDR-CCO Amendment to Annual Compliance Report and Financial Report for a Security-based Swap Data Repository SDR-CCO/A EDGARLink EDGARLink Online XML Online Technical Specification X-17A-5 Annual Reports for a Broker-dealer X-17A-5 pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder EDGAR Filing Website Online Forms EDGAR Form X-17A-5 XML Technical Specification X-17A-5 Amendment to Annual Reports for a Broker- X-17A-5/A dealer pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder EDGAR Filing Website Online Forms EDGAR Form X-17A-5 XML Technical Specification 6-K Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 6-K EDGARLink EDGARLink Online XML Online Technical Specification 6-K Amendments 6-K/A EDGARLink EDGARLink Online XML Online Technical Specification 10-Q Quarterly report pursuant to Sections 13 or 15(d) 10-Q EDGARLink EDGARLink Online XML Online Technical Specification 10-Q Amendment 10-Q/A EDGARLink EDGARLink Online XML Online Technical Specification 10-Q Transition report pursuant to Rule 13a-10 or 10-QT 15d-10 EDGARLink EDGARLink Online XML Online Technical Specification EDGAR Filer Manual (Volume II) 3-64 December 2020 CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 10-K Annual report pursuant to Section 13 and 15(d) 10-K EDGARLink EDGARLink Online XML Online Technical Specification 10-K Amendment 10-K/A EDGARLink EDGARLink Online XML Online Technical Specification 10-K Transition report pursuant to Rule 13a-10 or 10-KT 15d-10 EDGARLink EDGARLink Online XML Online Technical Specification 10-K Amendment 10-KT/A EDGARLink EDGARLink Online XML Online Technical Specification 10-D Periodic distribution reports by assetbacked issuers pursuant to Rule 13a-17 or 15d-17 10-D EDGARLink EDGARLink Online XML Online Technical Specification 10-D Amendment 10-D/A EDGARLink EDGARLink Online XML Online Technical Specification 8-K Current report filing 8-K EDGARLink EDGARLink Online XML Online Technical Specification 8-K Amendment 8-K/A EDGARLink EDGARLink Online XML Online Technical Specification 8-K Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b) 8-K12B EDGARLink EDGARLink Online XML Online Technical Specification 8-K Amendment 8-K12B/A EDGARLink EDGARLink Online XML Online Technical Specification December 2020 3-65 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 8-K Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(g) 8-K12G3 EDGARLink EDGARLink Online XML Online Technical Specification 8-K Amendment 8-K12G3/A EDGARLink EDGARLink Online XML Online Technical Specification 8-K Notification of assumption of duty to report by successor issue under Section 15(d) 8-K15D5 EDGARLink EDGARLink Online XML Online Technical Specification 8-K Amendment 8-K15D5/A EDGARLink EDGARLink Online XML Online Technical Specification 11-K Annual report of employee stock purchase, savings and similar plans 11-K EDGARLink EDGARLink Online XML Online Technical Specification 11-K Amendment 11-K/A EDGARLink EDGARLink Online XML Online Technical Specification 11-K Transition report pursuant to rule 13a-10 or 15d-10 11-KT EDGARLink EDGARLink Online XML Online Technical Specification 11-K Amendment 11-KT/A EDGARLink EDGARLink Online XML Online Technical Specification 18-K Annual report for foreign governments and political subdivisions 18-K EDGARLink EDGARLink Online XML Online Technical Specification 18-K Amendment 18-K/A EDGARLink EDGARLink Online XML Online Technical Specification EDGAR Filer Manual (Volume II) 3-66 December 2020 CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 20-F Annual and transition report of foreign private issuers pursuant to Section 13 or 15(d) 20-F EDGARLink EDGARLink Online XML Online Technical Specification 20-F Amendment 20-F/A EDGARLink EDGARLink Online XML Online Technical Specification 40-F Annual report filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4 40-F EDGARLink EDGARLink Online XML Online Technical Specification 40-F Amendment 40-F/A EDGARLink EDGARLink Online XML Online Technical Specification 12b-25 Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB NT 10-Q EDGARLink EDGARLink Online XML Online Technical Specification 12b-25 Amendment NT 10-Q/A EDGARLink EDGARLink Online XML Online Technical Specification 12b-25 Notice under Rule 12b25 of inability to NT 10-K timely file all or part of a form 10-K, 10-KSB, or 10-KT EDGARLink EDGARLink Online XML Online Technical Specification 12b-25 Amendment NT 10-K/A EDGARLink EDGARLink Online XML Online Technical Specification 12b-25 Notice under Rule 12b25 of inability to timely file all or part of a Form 10-D NT 10-D EDGARLink EDGARLink Online XML Online Technical Specification 12b-25 Amendment NT 10-D/A EDGARLink EDGARLink Online XML Online Technical Specification December 2020 3-67 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 12b-25 Notice under Rule 12b25 of inability to timely file all or part of a form 11-K NT 11-K EDGARLink EDGARLink Online XML Online Technical Specification 12b-25 Amendment NT 11-K/A EDGARLink EDGARLink Online XML Online Technical Specification 12b-25 Notice under Rule 12b25 of inability to timely file a special report pursuant to Section 15d-2 NT 15D2 EDGARLink EDGARLink Online XML Online Technical Specification 12b-25 Amendment NT 15D2/A EDGARLink EDGARLink Online XML Online Technical Specification 12b-25 Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F NT 20-F EDGARLink EDGARLink Online XML Online Technical Specification 12b-25 Amendment NT 20-F/A EDGARLink EDGARLink Online XML Online Technical Specification 12b-25 Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CEN NT-NCEN EDGARLink EDGARLink Online XML Online Technical Specification 12b-25 Amendment NT-NCEN/A EDGARLink EDGARLink Online XML Online Technical Specification 15 Notice of termination of registration of a class of securities under Section 12(b) 15-12B EDGARLink EDGARLink Online XML Online Technical Specification 15 Amendment 15-12B/A EDGARLink EDGARLink Online XML Online Technical Specification EDGAR Filer Manual (Volume II) 3-68 December 2020 CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 15 Notice of termination of registration of a class of securities under Section 12(g) 15-12G EDGARLink EDGARLink Online XML Online Technical Specification 15 Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act 15-15D EDGARLink EDGARLink Online XML Online Technical Specification 15 Amendment 15-15D/A EDGARLink EDGARLink Online XML Online Technical Specification See Rule 15d-2 Special Financial Report filed under Rule 15d-2 SP 15D2 EDGARLink EDGARLink Online XML Online Technical Specification See Rule 15d-2 Amendment SP 15D2/A EDGARLink EDGARLink Online XML Online Technical Specification 15F Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b) 15F-12B EDGARLink EDGARLink Online XML Online Technical Specification 15F Amendment 15F-12B/A EDGARLink EDGARLink Online XML Online Technical Specification 15F Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g) 15F-12G EDGARLink EDGARLink Online XML Online Technical Specification 15F Amendment 15F-12G/A EDGARLink EDGARLink Online XML Online Technical Specification 15F Notice of a foreign private issuer’s suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act 15F-15D EDGARLink EDGARLink Online XML Online Technical Specification December 2020 3-69 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 15F Amendment 15-15D/A EDGARLink EDGARLink Online XML Online Technical Specification See Rules 17h-1T and 17h-2T Confidential broker dealer annual 17-H report 17HACON EDGAR Filing Website Online Forms EDGAR Form 17-H XML Technical Specification See Rules 17h-1T and 17h-2T Amendment for confidential broker dealer annual 17-H report 17HACON/A EDGAR Filing Website Online Forms EDGAR Form 17-H XML Technical Specification See Rules 17h-1T and 17h-2T Confidential broker dealer quarterly 17-H report 17HQCON EDGAR Filing Website Online Forms EDGAR Form 17-H XML Technical Specification See Rules 17h-1T and 17h-2T Amendment for confidential broker dealer quarterly 17-H report 17HQCON/A EDGAR Filing Website Online Forms EDGAR Form 17-H XML Technical Specification Dodd-Frank Submission Types/Filings CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. ABS-15G Asset-backed securities report pursuant to Section 15G ABS-15G EDGARLink Online EDGARLink Online XML Technical Specification ABS-15G Amendment ABS-15G/A EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) 3-70 December 2020 Nationally Recognized Statistical Rating Organization Submission Types/Filings CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. NRSRO Update of Registration for Nationally Recognized Statistical Rating Organizations NRSROUPD EDGARLink Online EDGARLink Online XML Technical Specification NRSRO Annual Certification for Nationally Recognized Statistical Rating Organizations NRSRO-CE EDGARLink Online EDGARLink NRSRO Amendment to Annual Certification for Nationally Recognized Statistical Rating Organizations NRSROCE/A EDGARLink Online EDGARLink Online XML Technical Specification NRSRO Withdrawal from Credit Rating Class for Nationally Recognized Statistical Rating Organizations NRSROWCLS EDGARLink Online EDGARLink Withdrawal from Registration as Nationally Recognized Statistical Rating Organization NRSROWREG EDGARLink Online EDGARLink Rule 17g-3 Annual Financial/Other Reports for Nationally Recognized Statistical Rating Organizations, as required by Rule 17g-3 (Non-Public) NRSRO-FR EDGARLink Online EDGARLink Online XML Technical Specification Rule 17g-3 Amendment to Annual Financial/Other NRSROReports for Nationally Recognized Statistical FR/A Rating Organizations, as required by Rule 17g-3 (Non-Public) EDGARLink Online EDGARLink NRSRO December 2020 3-71 Online XML Technical Specification Online XML Technical Specification Online XML Technical Specification Online XML Technical Specification EDGAR Filer Manual (Volume II) Miscellaneous Submission Types/Filings CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. Form 13F Initial Quarterly Form 13F Holdings Report filed by institutional managers Initial Quarterly Form 13F Combination Report filed by institutional managers 13F-HR EDGAR Filing Website Online Forms EDGAR Form 13F XML Technical Specification Form 13F Amendment 13F-HR/A EDGAR Filing Website Online Forms EDGAR Form 13F XML Technical Specification Form 13F Initial Quarterly Form 13F Notice Report filed by institutional managers 13F-NT EDGAR Filing Website Online Forms EDGAR Form 13F XML Technical Specification 13F Amendment 13F-NT/A EDGAR Filing Website Online Forms EDGAR Form 13F XML Technical Specification Form APP WD Withdrawal of an application for exemptive or other relief from the federal securities laws APP WD APP WD/A EDGARLink EDGARLink Online XML Online Technical Specification Form N-MFP2 Monthly Schedule of Portfolio Holdings of Money Market Funds on Form N-MFP N-MFP2 N-MFP2/A N/A Form SH Weekly Form SH Entries Report Filed by Institutional Investment Managers SH-ER EDGARLink SH-ER Online Information table only: SH-ER Information Table XML Technical Specification EDGAR Filer Manual (Volume II) 3-72 EDGAR Form N-MFP2 XML Technical Specification December 2020 CFR Form/ Schedule/ Rule Submission Type Description Tool/ Template Number FilerConstructed Form Spec. Form SH Amendment SH-ER/A EDGARLink SH-ER/A Information Online table only: SH-ER Information Table XML Technical Specification Form SH Weekly Form SH Notice Report Filed by Institutional Investment Managers SH-NT EDGARLink EDGARLink Online XML Online Technical Specification Form SH Amendment SH-NT/A EDGARLink EDGARLink Online XML Online Technical Specification Form RW Registration Withdrawal Request RW EDGARLink EDGARLink Online XML Online Technical Specif [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%3A26ca3813322824cb. Public record. Not legal advice.