# Filer Manual – Volume II > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/agency%3Asec%3A3a2bf5b4e47b7d92 ## Record - **Collection:** Agency decision - **Document type:** Agency decision ## Text ® Filer Manual – Volume II EDGAR Filing VERSION 11 March 2009 Notice Use this EDGAR® Filer Manual when making electronic filings with the United States Securities and Exchange Commission (SEC or "Commission"). See Rule 301 of Regulation S-T. The EDGAR Filer Manual consists of three volumes. EDGAR Filer Manual (Volume I) General Information introduces the requirements for becoming an EDGAR Filer and maintaining EDGAR company information. EDGAR Filer Manual (Volume II) EDGAR Filing illustrates the process to submit an online filing. EDGAR Filer Manual (Volume III) N-SAR Supplement is a guide for preparing electronic submissions of Form N-SAR. For up-to-date information regarding filing-related topics, consult the following EDGAR websites: • Information for EDGAR Filers (http://www.sec.gov/info/edgar.shtml) • EDGAR Gateway to submit filings http://www.portal.edgarfiling.sec.gov) • EDGAR Company Database (http://www.edgarcompany.sec.gov) ® ® EDGAR and EDGARLink are registered trademarks of the Securities and Exchange Commission. EDGARLite™ is a trademark of the Securities and Exchange Commission. All other product brand names mentioned in this Filer Manual are trademarks or registered trademarks of their respective holders. Note: New EDGAR software releases include modifications to the EDGARLink software and EDGAR submission templates. Please download, install, and use the new EDGARLink software and submission templates to ensure that submissions will be processed successfully. To protect the privacy of our filing community, filers are asked not to include social security numbers in filings submitted to the Commission. March 2009 EDGAR Filer Manual (Volume II) EDGAR Filer Manual (Volume II) March 2009 Updates On March 16, 2009, EDGAR Release 9.15.1 will introduce the following changes: • • • XBRL changes: ◊ The system will support the 2008 Mutual Fund Risk/Return Summary Taxonomy. ◊ The entire error message text will be shown when an XBRL filing produces an error. ◊ EDGAR will no longer allow an XBRL submission to include both EX-100 and EX-101 Exhibit types within the same submission. Form D changes: ◊ EDGAR will support the ability to save offline a partially completed Form D, which can be uploaded at a later time to complete the filing process. ◊ Minor Form D screen changes. New EDGAR filers can now attach a scanned notarized authentication document in PDF format to their Form ID submission. A PDF fillable version of Form ID, which can be used to prepare the authentication document, can be found on the SEC’s public web site at http://www.sec.gov/about/forms/formid.pdf. ◊ Filers who are updating their passphrase or converting from a Paper to Electronic filer must fax their notarized documentation. • A new submission type for Summary Prospectus (497K) will be added to Submission Template #3. However, this submission type cannot be used until March 31, 2009. • The submission form types: 497K1, 497K2, 497K3A, and 497K3B will be suspended as of close of business (5:30 PM EST) March 30, 2009. • An N-4 filing will no longer be suspended if the company does not have an 811 file number and is adding series and classes in their N-4 filing. • The “Office of Thrift Supervision” will be added as an Appropriate Regulatory Agency (ARA) for submission form types TA-1 and TA-1/A. It is anticipated that in the third quarter of Fiscal Year 2009, EDGAR Release 9.15.2 will introduce the following change: • March 2009 Submission Type SH-ER Information Table XML documents will be validated against the schema included in the Submission Type SH-ER Information Table XML Technical Specification posted on http://www.sec.gov/info/edgar.shtml. EDGAR Filer Manual (Volume II) Table of Contents 1. INTRODUCTION TO VOLUME II ............................................................................... 1-1 1.1 Organization of this Manual....................................................................................... 1-1 1.1.1 Conventions Used in the Filer Manual .......................................................... 1-2 2. QUICK GUIDE TO EDGAR FILING ............................................................................ 2-1 2.1 EDGAR Filing Process .............................................................................................. 2-1 2.1.1 Using EDGARLink Templates ...................................................................... 2-2 2.1.2 EDGAR OnlineForms/XML Website............................................................ 2-2 2.1.3 After a Submission is Filed............................................................................ 2-3 2.2 Filing Checklist .......................................................................................................... 2-3 2.3 General Information for Filers ................................................................................... 2-5 2.3.1 Hours of Operation ........................................................................................ 2-5 2.3.2 Introduction to Web Browsers ....................................................................... 2-5 2.3.3 Browser Differences ...................................................................................... 2-5 2.3.4 Accessing EDGAR ........................................................................................ 2-6 2.3.5 Getting Help with EDGAR............................................................................ 2-6 2.4 EDGAR Gateway and Websites................................................................................. 2-7 3. INDEX TO FORMS .......................................................................................................... 3-1 3.1 Alpha/Numeric ........................................................................................................... 3-2 3.2 Electronic Form Types by Act ................................................................................. 3-17 4. FILING FEE INFORMATION ....................................................................................... 4-1 4.1 Where to Pay Filing Fees ........................................................................................... 4-1 4.2 How to Send Filing Fees to U.S. Bank....................................................................... 4-1 4.3 Filings that Require Filing Fees ................................................................................. 4-2 4.3.1 1933 Act Filings by Corporations.................................................................. 4-2 4.3.2 1934 Act Filings............................................................................................. 4-3 4.3.3 1933 and 1940 Act Filings by Investment Companies .................................. 4-3 4.4 How to Calculate a Filing Fee.................................................................................... 4-3 4.4.1 1933 Act Filings............................................................................................. 4-3 4.4.2 1934 Act Filings............................................................................................. 4-4 4.4.3 1939 Act Filings............................................................................................. 4-4 4.5 Offsetting Fees ........................................................................................................... 4-4 4.5.1 Offsetting Fees Example................................................................................ 4-5 4.5.2 Example of Fee Calculation for 24F-2NT ..................................................... 4-5 4.6 Common Problems ..................................................................................................... 4-6 5. CONSTRUCTING ATTACHED DOCUMENTS AND DOCUMENT TYPES ......... 5-1 5.1 Introduction ................................................................................................................ 5-1 5.1.1 File Naming Standards................................................................................... 5-1 5.1.2 Statutory Signatures ....................................................................................... 5-1 5.2 Document Formats ..................................................................................................... 5-2 5.2.1 ASCII Documents.......................................................................................... 5-2 March 2009 i EDGAR Filer Manual (Volume II) 5.2.2 HTML .......................................................................................................... 5-11 5.2.3 Unofficial PDF............................................................................................. 5-24 5.2.4 Unofficial XBRL ......................................................................................... 5-26 5.3 Preparing or Referencing Module and Segment Documents ................................... 5-34 5.3.1 Module and Segment Naming ..................................................................... 5-35 5.3.2 Types of Modules and Segments ................................................................. 5-36 5.3.3 Maintaining Modules and Segments............................................................ 5-38 5.4 Document Types in EDGAR.................................................................................... 5-43 5.4.1 Non-Public and Confidential ....................................................................... 5-43 5.4.2 Exhibits ........................................................................................................ 5-44 5.5 Common Problems ................................................................................................... 5-44 6. INTERACTIVE DATA..................................................................................................... 6-1 6.1 XBRL Overview......................................................................................................... 6-2 6.2 Supported Versions of XBRL Standard Taxonomies ................................................ 6-2 6.3 Submission Syntax ..................................................................................................... 6-3 6.3.1 Use EDGARLink Submission Templates 1, 2, and 3 to attach XBRL Document Types. ........................................................................................... 6-4 6.3.2 XBRL instance, schema, and linkbase documents must be attached to an EDGAR submission using the EX-100.* or EX-101.* document types. ...... 6-4 6.3.3 XBRL document names must match {base}-{date}[-{suffix}].{extension}.6-4 6.3.4 An XBRL document must not contain HTML character name references. .. 6-5 6.3.5 The ampersand character must begin a valid XML predefined entity or numeric character reference........................................................................... 6-5 6.3.6 The URI content of the xlink:href attribute, the xsi:schemaLocation attribute and the schemaLocation attribute, after XML Base resolution, must be relative and contain no forward slashes, or a recognized external location of a standard taxonomy schema file, or a “#” followed by a shorthand xpointer. .............. 6-5 6.3.7 XBRL document names are case sensitive. ................................................... 6-6 6.3.8 A submission must contain exactlyone EX-100.INS or EX-101.INS. .......... 6-6 6.3.9 Filers must use one of the taxonomies from US Financial Reporting Taxonomies, as specified on the SEC website as their standard taxonomy. . 6-6 6.3.10 A submission must contain a company extension schema EX-100.SCH or EX-101.SCH. ................................................................................................. 6-6 6.4 Semantics of Filings ................................................................................................... 6-6 6.4.1 Since XBRL documents must be contained in an official SEC submission, EDGAR will suspend any submission that contains only XBRL documents. 66 6.4.2 EDGAR may truncate a submission if any rule in this manual is violated.... 6-6 6.4.3 The XBRL instance documents in a submission must be XBRL 2.1 valid. .. 6-7 6.5 Syntax of Instances..................................................................................................... 6-7 6.5.1 The scheme attribute of the xbrli:identifier element must be http://www.sec.gov/CIK. ............................................................................... 6-7 6.5.2 An xbrli:identifier element must have the CIK of the registrant as its content. 6-7 6.5.3 All xbrli:identifier elements in an instance must have identical content. ...... 6-7 EDGAR Filer Manual (Volume II) ii March 2009 6.5.4 The xbrli:scenario element must not appear in any xbrli:context.................. 6-7 6.5.5 If an xbrli:segment element appears in a context, then its children must be one or more xbrldi:explicitMember elements....................................................... 6-7 6.5.6 The content of xbrldi:explicitMember and xbrldi:measure is a QName. ...... 6-8 6.5.7 An instance must not contain duplicate xbrli:context elements..................... 6-8 6.5.8 Every xbrli:context element must appear in at least one contextRef attribute in the same instance. .......................................................................................... 6-8 6.5.9 If the original HTML/ASCII document represents a reporting period of one quarter or longer, then the same date must not appear as the content of both an xbrli:startDate and an xbrli:endDate in an instance....................................... 6-8 6.5.10 If the original HTML/ASCII document represents a reporting period of one quarter or longer, then the same date must not appear in the content of an xbrli:startDate and an xbrli:instant in the same instance. .............................. 6-9 6.5.11 Element xbrli:xbrl must not have duplicate child xbrli:unit elements........... 6-9 6.5.12 An instance must not have more than one fact having the same element name, equal contextRef attributes, and if they are present equal decimals attributes, xsi:nil attributes, unitRef attributes and xml:lang attributes, respectively..... 6-9 6.5.13 The default value of the xml:lang attribute on non-numeric facts and on link:footnote is ‘en-US’. ................................................................................ 6-9 6.5.14 An instance having a fact with non-nil content and the xml:lang attribute not starting with “en” must also contain a fact using the same element and all other attributes with an xml:lang attribute that begins with “en”. ............... 6-10 6.5.15 If the text content of a fact with base type us-types:textBlockItemType contains the “ Internet Hyperlinks appear underlined: ◊ Home EDGAR Filer Manual (Volume II) 1-2 March 2009 2. 2.1 QUICK GUIDE TO EDGAR FILING EDGAR Filing Process This section is designed for the novice filer to explain the filing process and some of the terms that we will use throughout this manual. If you are familiar with EDGAR, then proceed to the index to find your submission type. A filer must use the EDGAR system when they have a filing obligation that requires an electronic form. They can also choose to use an electronic form for certain form types that may also be prepared in paper format. Increasingly, fewer forms are permitted via paper filing. All rules regarding which forms must be submitted electronically are found in Regulation S-T, General Rules and Regulations for Electronic Filings. A copy of this rule is available on the SEC’s Public Website at http://www.sec.gov/about/forms/regs-t.pdf. The EDGAR system is comprised of a number of large computers that receive filings submitted by entities. An entity is one that files with the SEC. Entities may be unique companies that make Securities Act filings or individuals who make filings like Form 3 or 4. There are thousands of filings submitted to the EDGAR system each day. The system processes the filings according to rules defined by the SEC. Finally, if the documents are public, it transmits them to parties outside the SEC. Since there is a single internal SEC system processing these filings, filers must follow certain rules in preparing their filings so that they can be processed correctly. Once you know the Code of Federal Regulations (CFR) Form Type/Schedule/Rule that you must submit electronically as determined by the SEC Rules, you must determine the electronic submission type. On the EDGAR system, the submission is the envelope for all of the content you are sending in a single transmission. The submission type may tell the SEC and others viewing the filing something about the filing itself. For example, a Form 15 can have submission types of 15-12B, 15-12G, and 15-15D. The different submission types are used by filers who have a filing obligation under different sections of the act. For example, the 15-12B filer would have registered a class of securities under Section 12(b). EDGAR filings may consist of a number of documents, both primary and secondary. The primary document is the document that contains the information required by the SEC for the CFR Form Type/Schedule/Rule being submitted. Examples of the primary document include documents like the 10-Q, 8-K, S-1, N-8A, or POS AMI. Many times filers want or need to supplement their primary document with other documents. These are called secondary documents. Secondary documents most commonly include cover letters or correspondence, although correspondence documents may be sent in as primary documents in a correspondence submission type. Sometimes filings can also include exhibits which have a number and/or letter designator, whose content is defined by the SEC. These exhibits can include things like a company charter, power of attorney, or underwriting agreements. All primary and secondary documents must be in certain standard electronic formats to be accepted by the EDGAR system. The EDGAR system accepts ASCII, HTML, or XML primary documents. If you include graphics in your HTML document, then you must also include the .jpg and .gif files that contain your graphics. Two other document formats can be used as unofficial copies: PDF and XBRL. You must follow all of the rules outlined in this manual with regard to formatting these documents regardless of the tool you use to prepare and transmit your submission. Keep in mind that not all document formats are permitted for each tool. March 2009 2-1 EDGAR Filer Manual (Volume II) 2.1.1 Using EDGARLink Templates If you are using EDGARLink templates, once you have all of your documents prepared, you can assemble your submission. Open the template and after you select the submission type, you will be required to answer a few questions about the filing. This data will be added to your document content, and is commonly called the header, or supplemental data. There are a few questions on the main page of EDGARLink templates that require special attention. The Live/Test radio buttons designate whether your submission will be considered a live filing. A test filing allows you to make sure that the submission is correct by checking all of the assembled documents and applying host processing steps like determining the fee and checking your security codes. For a test submission, fees will not be deducted, the filing will not be disseminated, and your filing will not count towards your requirement to file with the SEC. Test filings are routinely removed from the internal system after a short period, generally six calendar days. The Return Copy checkbox allows you to indicate whether you want to receive an exact copy of your filing after processing is complete. Return copies can be retrieved from some of the EDGAR Websites. Submission contact information may be used by the Filer Support Branches or the SEC divisions if there is an issue with your filing. Including this information allows us to get in touch with you quickly. Using the Notification section of the template, you may add multiple e-mail addresses where you would like a notification message sent. Using other pages on the templates, you may add secondary documents, provide fee information, and validate your filing. You must save your filing to your local computer. After the filing is assembled, you can transmit it to the host system. There are a number of mechanisms you can use for transmission when using EDGARLink templates. The most frequently used is the Internet. A few filers send in submissions via modems using direct dial and PPP. Some large volume filers transmit via a dedicated telecommunications link. For Internet and PPP transmissions, you must login to the host system to transmit your filing. To do this you must be a registered EDGAR filer. If you have not yet registered you will find the details on this process in Volume I of the Filer Manual. 2.1.2 EDGAR OnlineForms/XML Website The EDGAR OnlineForms/XML Website tool is an Internet based online application. Filers can create an Ownership form by entering primary document data and the header data in a single session. You do not have to worry about the differences between the types of data or how it is translated into the resulting XML document. You must login to the EDGAR OnlineForms/XML Website and indicate which form you would like to complete. Answer all of the questions. All filings assembled on this site are considered live, so please be careful as you enter information. You will be given a number of chances to review and correct information before you send it to the host system. Similar to EDGARLink templates, you may include a number of e-mail addresses for filing notifications. You may also request a return copy which provides you with an exact copy of the submission after it has been processed. You can save the document locally, you will not be able to retrieve the document to make corrections. As a final step, you must transmit the submission in the same Internet session. EDGAR Filer Manual (Volume II) 2-2 March 2009 2.1.3 After a Submission is Filed No matter what tool you use to transmit your submission, the EDGAR system will provide you with an accession number after transmission. The accession number is a unique number that identifies your submission. The first ten digits are the CIK of the entity that logged in to submit the filing. The next two digits define the current year. The final digits are assigned sequentially by CIK starting with one on the first business day of each year. It is important to use this number when reviewing the status of your filing or consulting with SEC divisions. After transmitting your submission, you may check on its status, review e-mail notifications, and examine your return copy via the Internet using the EDGAR Websites. In addition, if requested, you will receive messages via e-mail. The notification messages, which are identical to those you can retrieve via the Internet, include both the status of the submission and detailed error messages. EDGAR will either accept or suspend your filing. Acceptance means that the filing meets all of the host processing rules and, if live, the filing will be disseminated. Suspended means that the filing contains serious errors that you must correct. You can correct the errors and resubmit the filing. A suspended filing will not be disseminated nor will fees be deducted from your account. When the EDGAR system has completed the processing of your submission, if it is live and public, it will be transmitted electronically to a number of third parties. (There are some individual documents that are considered non-public which will not be immediately disseminated. They may be subsequently disseminated by the SEC if they meet certain criteria.) Dissemination can often occur within seconds of your transmission. Private companies may post your filing on their websites for public use of their subscribers. The filings are also posted on the SEC’s Public Website. 2.2 Filing Checklist This section is a quick start guide to the filing process. It is not intended to explain all you need to know about filing, but should get you started in the right direction. Although the filing process is different based on the submission type transmitted, the tools used, and the needs of the filer, some general steps need to be followed for most filings. They are listed in checklist form for you in Table 2-1: Filing Checklist, and then described in detail in the following sections. Table 2-1: Filing Checklist March 2009 Step Activity 1 Check that you have access codes for the EDGAR system. If not, follow procedures in the EDGAR Filer Manual, Volume I, General Information, to obtain codes. 2 Review your company data on EDGAR to determine that it is up-to-date. If you are an Investment Company with existing series and classes (contracts), review your series and class information to insure that names, status and ticker symbols are up-to-date before you submit a filing. New series and classes (contracts) are to be added via a filing. Details are in the EDGAR Filer Manual, 2-3 Completion EDGAR Filer Manual (Volume II) Step Activity Completion Volume I, General Information. Note: This data is used in creating header data in some filings and filing data in other types of filings. It is your responsibility to keep your company information current. 3 Determine the submission type you need to file and then find it in the indexes in Chapter 3, INDEX TO FORMS. 4 If your filing requires a fee, ensure that the funds are available in your account. See Chapter 4, FILING FEE INFORMATION. 5 Create documents that will be attached to the submission. See Chapter 5, CONSTRUCTING ATTACHED DOCUMENTS AND DOCUMENT TYPES. Note: If you are using the EDGAR OnlineForms/XML Website, you do not need to create the primary document. 6 Download and/or install the tool you will need to assemble the submission. (Note you do not need to perform this step for OnlineForms.) See Section 7.2 Installation for EDGARLink and Sections 8.2 What is Microsoft InfoPath 2003 and 8.3 Downloading and Installing Templates for EDGARLite. 7 Use the tool to create or assemble the submission. (Note you do not need to perform this step for OnlineForms.) See Sections 7.3 Preparing Your EDGARLink Submission through 7.5 Saving Your Submission for EDGARLink; and Sections 8.4 Preparing your EDGARLite Submission through 8.5 Saving Your Filing, for EDGARLite. REMEMBER TO ALWAYS VALIDATE YOUR SUBMISSION! OnlineForms 6&7 Access the EDGAR OnlineForms/XML Website and enter your form data. See Chapter 8 for details. Transmit after data entry and verification. Skip to step 11. 8 Transmit a test submission to the EDGAR system. See Section 7.6.5 Test Submissions for EDGARLink and Section 8.6 Transmitting XML Submissions. 9 Review your acceptance/suspense message or return copy to determine if changes are required. See Section 11.5, Submission EDGAR Filer Manual (Volume II) 2-4 March 2009 Step Activity Completion Information for instructions. 2.3 2.3.1 10 Transmit a live submission to the EDGAR system. Make sure that a live file is created by having the live button clicked. See Section 7, Transmissions to EDGAR for EDGARLink and Section 8.Transmitting XML Submissions. 11 Review your acceptance/suspense message. If necessary, correct errors and file again. See Section 11.5, Submission Information for instructions on reviewing your acceptance/suspense message. General Information for Filers Hours of Operation EDGAR accepts filings and changes to company information each business day, Monday through Friday, from 6:00 a.m. to 10:00 p.m., Eastern Time. Transmissions started but not completed by 10:00 p.m. Eastern Time may be canceled, and you may have to re-submit on the next business day. 2.3.2 Introduction to Web Browsers The EDGAR system uses web-based technology to make submitting filings easier and faster. Web browsers read code called Hypertext Mark-up Language (HTML). Many people have become familiar with HTML since they have used the Internet. We use a browser as an integral part of EDGAR, providing our interface to the EDGAR Filing Website. 2.3.3 Browser Differences There are two industry standard browsers currently in use today: Netscape Navigator and Microsoft Internet Explorer (IE). We recommend that you use Netscape version 5.0 or later, or Internet Explorer version 5.0 or later. The EDGAR Filing Website does not support Netscape version 6.0. Both browsers comply with Secure Socket Layer (SSL) communications that you will use to reach the EDGAR Filing Website, and are easy to obtain. Which browser you use is a personal preference. This section covers some functions that are innate to browsers, how your browser should be set up, and the differences between Netscape and IE. You should be aware that there might be subtle differences if you are using IE or other versions of Netscape. March 2009 2-5 EDGAR Filer Manual (Volume II) Netscape Menu Bar Internet Explorer Menu Bar Figure 2-1: Browser Menu Bars Both browsers have very similar navigation functions: [Back], [Forward], [Stop], and [Reload] buttons, Current Address Location fields, as well as buttons for performing other functions such as printing and saving. The largest difference between the two browsers is button appearances and where to update the preference settings. For detailed information on your browser, see your browser’s user manual or help function. The browser window works similarly to all windows, in that it can be maximized, minimized, and sized. The default menu bar contains buttons that help you navigate the Internet; however, these buttons do not necessarily help you navigate EDGAR. For the purposes of logging into EDGAR, downloading files, submitting filings and company queries, or updating company information, these buttons do not apply. Some of the functions you can use are Bookmark, to mark the EDGAR Login page for easy accessibility; Back, to correct, add, or remove criteria from a query; and Security, to turn on or off your security functions. 2.3.4 Accessing EDGAR To access EDGAR, you must have EDGAR access codes. New filers and filers who want to file in another capacity (e.g., filing agent or training agent) must use Form ID to apply for EDGAR access codes. The Form ID must be filed electronically through the EDGAR Filer Management Website and an accompanying manually signed and notarized authentication document must be faxed to the Commission. If we do not receive your fax, we cannot accept your application. Details of this process are covered in other sections of this manual. Once you have obtained your access codes, you will be ready to login to EDGAR, download submission templates, transmit submissions, run company queries, update your company information, or change your password or CCC (CIK Confirmation Code). 2.3.5 Getting Help with EDGAR For Procedural and Technical questions, contact Filer Support You can reach our Filer Support Branches in the Divisions at (202) 551-8900. These offices respond to general EDGAR questions like how to become a filer, the form ID process, how to get to the Websites, how to update filer information, filing of forms, and header tags. Filer Support is available each business day from 7:00 a.m. to 7:00 p.m. Eastern Time. For general fee information, contact our Fee Account Services Branch in the Office of Financial Management at (202) 551-8989. EDGAR Filer Manual (Volume II) 2-6 March 2009 For Substantive questions, contact your Division For filing content, rule interpretations, filing date adjustments, and hardship exemption requests, contact the division that reviews the filing, the Division of Corporation Finance or Investment Management, during normal business hours 9:00 a.m. to 5:30 p.m., Eastern Time. Division of Corporation Finance: For help with filings reviewed by the Division of Corporation Finance, contact the Office of Information Technology in the Division of Corporation Finance at (202) 551-3600. Division of Trading and Markets For help with short sale filings, contact the Office of Interpretation and Guidance in the Division of Trading and Markets inquiry line: (202) 551-5777. Division of Investment Management: For help with Form 13-F, call the IM Chief Counsel inquiry line: (202) 551-6865. For help with Form N-SAR or Form 24F-2, call the N-SAR/24F-2 inquiry line: (202) 551-6703. For help with investment company filings (except Forms 13-F, N-SAR and 24F-2), call the IM EDGAR inquiry line: (202) 551-6989. 2.4 • For questions concerning post-acceptance corrections and withdrawals, first please read our notice, “IM EDGAR Post-Acceptance Corrections” on the Information for EDGAR Filers web page (http://www.sec.gov/info/edgar.shtml). • For questions concerning series and classes (contracts), first read our notice, “Series and Class (Contract) Notice and FAQ’s,” on the Information for EDGAR Filers web page (http://www.sec.gov/info/edgar.shtml). EDGAR Gateway and Websites The SEC maintains a number of websites and URLs to support the filing process. As we have developed more sites and URLs, it has become more complicated for filers to find the correct location for any single activity. To alleviate this problem, we developed the EDGAR Gateway to act as an interface between all EDGAR websites and URLs. By choosing the link that describes what you want to do, you can connect to the correct resource to accomplish your task. You can reach the EDGAR Gateway by using the following URL: http://www.portal.edgarfiling.sec.gov You can use links on this URL to access the websites or URLs. If you only remember one EDGAR website, this is the one to remember. The other EDGAR websites and/or URLs as well as their uses are as follows: URL Name https://www.edgarfiling.sec.gov EDGAR Filing Website Transmit EDGARLink Templates Transmit XFDL Filer-Constructed Forms Updates of Entity Information March 2009 2-7 EDGAR Filer Manual (Volume II) Filing Status and E-mail Notifications Return Copy Retrieval Download EDGARLink Application Download EDGARLink templates and fee rate table EDGAR OnlineForms/XML Website https://www.onlineforms.edgarfiling.sec.gov Prepare and transmit Ownership filings Prepare and transmit Form D Filings Transmit XML Filer-Constructed Submissions Updates of Entity Information Filing Status and E-mail Notifications Return Copy Retrieval Download EDGARLite templates https://www.filermanagement.edgarfiling.sec.gov/ EDGAR Filer Management Website Apply for EDGAR Access (New) Generate Access Codes (New/Replacement) Update Passphrase Convert Paper Only Filer to Electronic Filer EDGAR Access for New Serial Companies Download the Filer Manual http://www.edgarcompany.sec.gov EDGAR Company Database Public Access to company information SEC’s Public Website http://www.sec.gov Access to filings Information on Existing Rules Information on Proposed Rules Download the Filer Manual Frequently Asked Questions Download Filer-Constructed Technical Specifications Please note that there may be more than one URL or website to help you with a single task. For example, there are two URLs where you can change entity data and download the Filer Manual. Please be very careful in linking to the websites. Some are preceded by https: and you will not be allowed access to a secure site without this designator. You should use the Favorites feature built into Internet Explorer to store the URLs for the sites you use frequently. EDGAR Filer Manual (Volume II) 2-8 March 2009 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 Permanent 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 sections of the 34 Act under which the filer is registered. 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 or template that should be used to create the form. The options in this column are EDGARLink and the corresponding templates, EDGARLite and the corresponding templates and OnlineForms. There is a section in this manual describing in detail each of these tools. Chapter 7 PREPARING AND TRANSMITTING EDGARLINK SUBMISSIONS describes EDGARLink. Chapter 8 PREPARING AND TRANSMITTING EDGARLITE SUBMISSIONS describes EDGARLite. Chapter 9, PREPARING AND TRANSMITTING ONLINE SUBMISSIONS, describes online submissions using the EDGAR OnlineForms/XML 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 for simplicity we include both the initial form and the associated amendment in the Submission Type column. March 2009 3-1 EDGAR Filer Manual (Volume II) 3.1 Alpha/Numeric Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 1-E, 1-E/A Notification under Regulation E by small business investment companies and business development companies. EDGARLink Template 3 XFDL Technical Specification 1-E AD, 1-E AD/A Sales material filed pursuant to Rule 607 under Regulation E. EDGARLink Template 3 XFDL Technical Specification 2-E, 2-E/A Report of sales of securities pursuant to Rule 609 under Regulation E. EDGARLink Template 3 XFDL Technical Specification 10-12B, 10-12B/A Initial general form for registration of a class of securities pursuant to section 12(b) EDGARLink Template 3 XFDL Technical Specification 10-12G, 10-12G/A Initial general form for registration of a class of securities pursuant to section 12(g) EDGARLink Template 3 XFDL Technical Specification 10-D, 10-D/A Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17 EDGARLink Template 3 XFDL Technical Specification 10-K, 10-K/A Annual report pursuant to section 13 and 15(d) EDGARLink Template 3 XFDL Technical Specification 10KSB, 10KSB/A Optional form for annual and transition reports of EDGARLink small business issuers under section 13 or 15(d) Template 3 Will no longer be accepted as of March 16, 2009 XFDL Technical Specification 10-KT, 10-KT/A Transition report pursuant to Rule 13a-10 or 15d-10 EDGARLink Template 3 XFDL Technical Specification 10-Q, 10-Q/A Quarterly report pursuant to sections 13 or 15(d) EDGARLink Template 3 XFDL Technical Specification 10-QT, 10-QT/A Transition report pursuant to Rule 13a-10 or 15d-10 EDGARLink Template 3 XFDL Technical Specification 11-K, 11-K/A Annual report of employee stock purchase, savings and similar plans EDGARLink Template 3 XFDL Technical Specification 11-KT, 11-KT/A Transition report pursuant to rule 13a-10 or 15d10 EDGARLink Template 3 XFDL Technical Specification 13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings report filed by institutional managers EDGARLink Template 3 XFDL Technical Specification 13F-NT, 13F-NT/A Initial Quarterly Form 13F Notice Report filed by institutional managers EDGARLink Template 3 XFDL Technical Specification 144, 144/A Filing for proposed sale of securities under Rule 144 EDGARLink Template 2 XFDL Technical Specification 15-12B, 15-12B/A Notice of termination of registration of a class of securities under Section 12(b) EDGARLink Template 3 XFDL Technical Specification 15-12G, 15-12G/A Notice of termination of registration of a class of securities under Section 12(g) EDGARLink Template 3 XFDL Technical Specification 15-15D, 15-15D/A Notice of suspension of duty to file reports EDGARLink XFDL Technical EDGAR Filer Manual (Volume II) 3-2 March 2009 Submission Type Description pursuant to Section 13 and 15(d) of the Act Tool/ Template Number Template 3 FilerConstructed Form Spec. Specification 15F-12B, 15F12B/A Notice of termination of a foreign private issuer’s EDGARLink registration of a class of securities under Section Template 3 12(b). XFDL Technical Specification 15F-12G, 15F12G/A Notice of termination of a foreign private issuer’s EDGARLink registration of a class of securities under Section Template 3 12(g). XFDL Technical Specification 15F-15D, 15F15D/A Notice of a foreign private issuer’s suspension of EDGARLink duty to file reports pursuant to Section 13 and Template 3 15(d) of the Act XFDL Technical Specification 18-12B, 18-12B/A Form for initial registration of securities of foreign EDGARLink governments or political subdivisions pursuant to Template 3 section 12(b) XFDL Technical Specification 18-12G, 18-12G/A Form for initial registration of securities of foreign EDGARLink governments or political subdivisions thereof Template 3 pursuant to section 12(g) XFDL Technical Specification 18-K, 18-K/A Annual report for foreign governments and political subdivisions EDGARLink Template 3 XFDL Technical Specification 20-F, 20-F/A Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) EDGARLink Template 3 XFDL Technical Specification 20FR12B, 20FR12B/A Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b) EDGARLink Template 3 XFDL Technical Specification 20FR12G, 20FR12G/A Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g) EDGARLink Template 3 XFDL Technical Specification 24F-2NT, 24F-2NT/A Rule 24F-2 notice filed on Form 24F-2 EDGARLink Template 1 XFDL Technical Specification 25, 25/A Notification filed by issuer to voluntarily withdraw EDGARLink a class of securities from listing and registration Template 3 on a national securities exchange XFDL Technical Specification 25-NSE, 25-NSE/A Notification filed by national security exchange to Distributed to report the removal from listing and registration of National matured, redeemed or retired securities Securities Exchanges only Distributed to National Securities Exchanges only 3, 3/A Initial statement of beneficial ownership of securities OnlineForms Ownership XML Technical Specification 305B2, 305B2/A Application for designation of a new trustee under the Trust Indenture Act EDGARLink Template 3 XFDL Technical Specification March 2009 3-3 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 4, 4/A Statement of changes in beneficial ownership of securities OnlineForms Ownership XML Technical Specification 40-6B, 40-6B/A Application under the Investment Company Act by an employees’ securities company EDGARLink Template 3 XFDL Technical Specification 40-17F1, 40-17F1/A Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1 of the Investment Company Act of 1940 filed on Form N-17F-1 EDGARLink Template 2 XFDL Technical Specification 40-17F2, 40-17F2/A Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2 EDGARLink Template 2 XFDL Technical Specification 40-17G, 40-17G/A Fidelity bond filed pursuant to Rule 17g1(g)(1) of EDGARLink the Investment Company Act of 1940 Template 2 XFDL Technical Specification 40-17GCS, 4017GCS/A Filings of claim or settlement pursuant to rule EDGARLink 17g-1(g)(1)(2) or (3) of the Investment Company Template 2 Act of 1940 XFDL Technical Specification 40-24B2, 40-24B2/A Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940 EDGARLink Template 2 XFDL Technical Specification 40-33, 40-33/A Copies of all stockholder derivative actions filed with a court against an investment company or an affiliate thereof pursuant to Section 33 of the Investment Company Act of 1940 EDGARLink Template 2 XFDL Technical Specification 40-8B25 Document or report EDGARLink Template 2 XFDL Technical Specification 40-8F-2, 40-8F-2/A Initial application for deregistration pursuant to Investment Company Act Rule 0-2 EDGARLink Template 2 XFDL Technical Specification 40-APP, 40-APP/A Applications under the Investment Company Act EDGARLink other than those reviewed by Office of Insurance Template 3 Products XFDL Technical Specification 40-F, 40-F/A Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4 EDGARLink Template 3 XFDL 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 Template 3 XFDL 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 Template 3 XFDL Technical Specification 40-OIP, 40-OIP/A Applications under the Investment Company Act reviewed by Office of Insurance Products EDGARLink Template 3 XFDL Technical Specification EDGAR Filer Manual (Volume II) 3-4 March 2009 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 424A Prospectus filed pursuant to Rule 424(a) EDGARLink Template 3 XFDL Technical Specification 424B1 Prospectus filed pursuant to Rule 424(b)(1) EDGARLink Template 1 XFDL Technical Specification 424B2 Prospectus filed pursuant to Rule 424(b)(2) EDGARLink Template 1 XFDL Technical Specification 424B3 Prospectus filed pursuant to Rule 424(b)(3) EDGARLink Template 1 XFDL Technical Specification 424B4 Prospectus filed pursuant to Rule 424(b)(4) EDGARLink Template 1 XFDL Technical Specification 424B5 Prospectus filed pursuant to Rule 424(b)(5) EDGARLink Template 1 XFDL Technical Specification 424B7 Prospectus filed pursuant to Rule 424(b)(7) EDGARLink Template 1 XFDL Technical Specification 424B8 Prospectus filed pursuant to Rule 424(b)(8) EDGARLink Template 1 XFDL Technical Specification 425 Filing under Securities Act Rule 425 of certain EDGARLink prospectuses and communications in connection Template 2 with business combination transactions XFDL 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 Template 3 XFDL Technical Specification 485BPOS Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Template 3 XFDL Technical Specification 485BXT Post-effective amendment filed pursuant to Securities EDGARLink Act Rule 485(b)(1)(iii) to designate a new effective Template 3 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) XFDL Technical Specification 486APOS Post-effective amendment to filing filed pursuant to Securities Act Rule 486(a) EDGARLink Template 3 XFDL Technical Specification 486BPOS Post-effective amendment to filing filed pursuant to Securities Act Rule 486(b) EDGARLink Template 3 XFDL Technical Specification 487 Pre-effective pricing amendment filed pursuant to Securities Act Rule 487 EDGARLink Template 1 XFDL Technical Specification 497 Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497 EDGARLink Template 3 XFDL Technical Specification 497AD Filing by certain investment companies of EDGARLink Securities Act Rule 482 advertising in Template 3 accordance with Securities Act Rule 497 and the Note to Rule 482(c) XFDL Technical Specification March 2009 3-5 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 497H2 Filings made pursuant to Rule 497(h)(2) EDGARLink Template 3 XFDL Technical Specification 497J Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497 EDGARLink Template 3 XFDL Technical Specification 497K Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k) Cannot be used until March 31, 2009. EDGARLink Template 3 XFDL Technical Specification 497K1 Profiles for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)(1)(i) Will no longer be accepted after close of business (5:30 PM EST) on March 30, 2009. EDGARLink Template 3 XFDL Technical Specification 497K2 Profiles for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)(1)(ii) Will no longer be accepted after close of business (5:30 PM EST) on March 30, 2009. EDGARLink Template 3 XFDL Technical Specification 497K3A Profiles for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)(1)(iii)(A) Will no longer be accepted after close of business (5:30 PM EST) on March 30, 2009. EDGARLink Template 3 XFDL Technical Specification 497K3B Profiles for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)(1)(iii)(B) Will no longer be accepted after close of business (5:30 PM EST) on March 30, 2009. EDGARLink Template 3 XFDL Technical Specification 5, 5/A Annual statement of changes in beneficial ownership of securities OnlineForms Ownership XML Technical Specification 6-K, 6-K/A Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments EDGARLink Template 3 XFDL Technical Specification 8-A12B, 8-A12B/A Form for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b) EDGARLink Template 3 XFDL Technical Specification 8-A12G, 8-A12G/A Form for registration of a class of securities pursuant to section 12(g) EDGARLink Template 3 XFDL Technical Specification 8-K, 8-K/A Current report filing EDGARLink Template 3 XFDL 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 Template 3 XFDL Technical Specification EDGAR Filer Manual (Volume II) 3-6 March 2009 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 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 Template 3 XFDL Technical Specification 8-K15D5, 8-K15D5/A Notification of assumption of duty to report by successor issue under section 15(d) EDGARLink Template 3 XFDL Technical Specification ANNLRPT, ANNLRPT/A Periodic Development Bank filing, submitted annually EDGARLink Template 2 XFDL Technical Specification ARS, ARS/A Annual report to security holders EDGARLink Template 3 XFDL Technical Specification AW Withdrawal of amendment to a registration statement filed under the Securities Act EDGARLink Template 3 XFDL Technical Specification AW WD Withdrawal of a request for withdrawal of an amendment to a registration statement EDGARLink Template 1 XFDL Technical Specification CB, CB/A Notification form filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons EDGARLink Template 2 XFDL Technical Specification CORRESP A correspondence can be sent as a document with another submission type or can be sent as a separate submission. EDGARLink Template 4 XFDL Technical Specification D, D/A 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 4(6) under the Act. Online Forms N/A DEF 14A Definitive proxy statements EDGARLink Template 2 XFDL Technical Specification DEF 14C Definitive information statements EDGARLink Template 2 XFDL Technical Specification DEFA14C Definitive additional information statement materials including Rule 14(a)(12) material EDGARLink Template 2 XFDL Technical Specification DEFC14A Definitive proxy statement in connection with contested solicitations EDGARLink Template 2 XFDL Technical Specification DEFC14C Definitive information statement - contested solicitations EDGARLink Template 2 XFDL Technical Specification DEFM14A Definitive proxy statement relating to merger or acquisition EDGARLink Template 2 XFDL Technical Specification DEFM14C Definitive information statement relating to merger or acquisition EDGARLink Template 2 XFDL Technical Specification DEFN14A Definitive proxy statement filed by non management EDGARLink Template 2 XFDL Technical Specification March 2009 3-7 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. DEFR14A Definitive revised proxy soliciting materials EDGARLink Template 2 XFDL Technical Specification DEFR14C Definitive revised information statement materials EDGARLink Template 2 XFDL Technical Specification DEL AM Separately filed delaying amendment under EDGARLink Securities Act Rule 473 to delay effectiveness of Template 3 a 1933 Act registration statement XFDL Technical Specification DFAN14A Definitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material EDGARLink Template 2 XFDL Technical Specification DFRN14A Revised definitive proxy statement filed by nonmanagement EDGARLink Template 2 XFDL Technical Specification DSTRBRPT, DSTRBRPT/A Distribution of primary obligations Development Bank report EDGARLink Template 2 XFDL Technical Specification F-1, F-1/A Registration statement for securities of certain foreign private issuers EDGARLink Template 1 XFDL Technical Specification F-10, F-10/A Registration statement for securities of certain Canadian issuers under the Securities Act of 1933 EDGARLink Template 1 XFDL Technical Specification F-10EF Auto effective registration statement for securities of certain Canadian issuers under the Securities Act of 1933 EDGARLink Template 1 XFDL Technical Specification F-10POS Post-effective amendment to a F-10EF registration EDGARLink Template 1 XFDL Technical Specification F-1MEF A new registration statement filed under Rule EDGARLink 462(b) to add securities to a prior related Template 1 effective registration statement filed on Form F-1 XFDL Technical Specification F-3, F-3/A Registration statement for specified transactions by certain foreign private issuers EDGARLink Template 1 XFDL Technical Specification F-3ASR Automatic shelf registration statement of securities of well-known seasoned issuers EDGARLink Template 1 XFDL Technical Specification F-3D Registration statement for dividend or interest reinvestment plan securities of foreign private issuers EDGARLink Template 1 XFDL Technical Specification F-3DPOS Post-Effective amendment to a F-3D registration EDGARLink Template 1 XFDL Technical Specification F-3MEF A new registration statement filed under Rule EDGARLink 462(b) to add securities to a prior related Template 1 effective registration statement filed on Form F 3 XFDL Technical Specification F-4 POS Post-effective amendment to a F-4EF registration XFDL Technical Specification EDGAR Filer Manual (Volume II) 3-8 EDGARLink Template 1 March 2009 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 Template 1 XFDL Technical Specification F-4EF Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions EDGARLink Template 1 XFDL Technical Specification F-4MEF A new registration statement filed under Rule EDGARLink 462(b) to add securities to a prior related Template 1 effective registration statement filed on Form F 4 XFDL Technical Specification F-6 POS Post-effective amendment to a F-6EF registration EDGARLink Template 1 XFDL Technical Specification F-6, F-6/A Registration statement for American Depositary Receipts representing securities of certain foreign private issuers EDGARLink Template 1 XFDL Technical Specification F-6EF Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers EDGARLink Template 1 XFDL Technical Specification F-7 POS Post-effective amendment to a F-7 registration EDGARLink Template 1 XFDL 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 Template 1 XFDL Technical Specification F-8 POS Post-effective amendment to a F-8 registration EDGARLink Template 1 XFDL 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 Template 1 XFDL Technical Specification F-80, F-80/A Registration of securities of certain Canadian EDGARLink issuers to be issued in exchange offers or a Template 1 business combination under the Securities Act of 1933 XFDL Technical Specification F-80POS Post-effective amendment to a F-80 registration EDGARLink Template 1 XFDL Technical Specification F-9 POS Post-effective amendment to a F-9EF registration EDGARLink Template 1 XFDL Technical Specification F-9, F-9/A Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933 EDGARLink Template 1 XFDL Technical Specification March 2009 3-9 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. F-9EF Auto effective registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933 EDGARLink Template 1 XFDL Technical Specification F-N, F-N/A Notification of the appointment of an agent for service by certain foreign institutions EDGARLink Template 2 XFDL Technical Specification FWP Filing under Securities Act Rules 163/433 of free EDGARLink writing prospectuses Template 2 XFDL Technical Specification F-X, F-X/A For appointment of agent for service of process by issuers registering securities EDGARLink Template 2 XFDL Technical Specification N-1, N-1/A Initial registration statement filed on Form N-1 for open-end management investment companies. EDGARLink Template 1 XFDL Technical Specification N-14 8C, N-14 8C/A Initial registration statement filed on Form N14 by closed-end investment company (business combinations) EDGARLink Template 1 XFDL Technical Specification 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 Template 1 XFDL Technical Specification N-14MEF A new registration statement filed on Form N14 by closed end investment companies filed under Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on Form N-14 EDGARLink Template 1 XFDL Technical Specification N-18F1, N-18F1/A Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 EDGARLink Template 2 XFDL Technical Specification N-1A, N-1A/A Initial registration statement filed on Form N1A for open-end management investment companies EDGARLink Template 1 XFDL Technical Specification N-2, N-2/A Initial filing of a registration statement on Form N-2 for closed-end investment companies EDGARLink Template 1 XFDL 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 Template 2 XFDL Technical Specification N-23C3A, N23C3A/A Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only EDGARLink Template 2 XFDL Technical Specification N-23C3B, N23C3B/A Filing pursuant to Rule 23c-3(c) only on Form N- EDGARLink 23C-3 Template 2 XFDL Technical Specification N-23C3C, N23C3C/A Filing pursuant to Rule 23c-3(b) and (c) on Form EDGARLink N-23C-3 Template 2 XFDL Technical Specification N-27D-1, N-27D-1/A Accounting for segregated trust accounts on Form N-27D-1 XFDL Technical Specification EDGAR Filer Manual (Volume II) 3-10 EDGARLink Template 2 March 2009 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. N-2MEF A new registration statement on Form N-2 filed under Securities Act Rule 462(b) by closed-end investment companies of up to an additional 20% of securities for an offering that was registered on Form N-2 EDGARLink Template 1 XFDL Technical Specification N-3, N-3/A Initial registration statement on Form N-3 for separate accounts (management investment companies) EDGARLink Template 1 XFDL Technical Specification N-30B-2 Periodic and interim reports mailed to investment company shareholders (other than annual and semi-annual reports mailed to shareholders pursuant to Rule 30e-1) EDGARLink Template 3 XFDL 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 Template 3 XFDL Technical Specification N-4, N-4/A Initial registration statement on Form N-4 for separate accounts (unit investment trusts) EDGARLink Template 1 XFDL Technical Specification N-5, N-5/A Registration statement for small business investment companies EDGARLink Template 1 XFDL Technical Specification N-54A, N-54A/A Notification of election by business development companies filed on Form N-54A EDGARLink Template 2 XFDL Technical Specification N-54C, N-54C/A Notification of withdrawal by business development companies filed on Form N-54C EDGARLink Template 2 XFDL Technical Specification N-6, N-6/A Registration statement for separate accounts (unit investment trusts) EDGARLink Template 1 XFDL Technical Specification N-6F, N-6F/A Notice of intent by business development companies to elect to be subject to Sections 55 through 65 of the 1940 Act filed on Form N-6F EDGARLink Template 2 XFDL Technical Specification N-8A, N-8A/A Initial notification of registration under section 8(a) filed on Form N-8A EDGARLink Template 2 XFDL Technical Specification N-8B-2, N-8B-2/A Initial registration statement for unit investment trusts filed on Form N-8B-2 EDGARLink Template 2 XFDL Technical Specification N-8B-3, N-8B-3/A Initial registration statement for periodic payment EDGARLink plans filed on Form N-8B-3 Template 2 XFDL Technical Specification N-8B-4, N-8B-4/A Initial registration statement for face-amount certificate companies filed on Form N-8B-4 EDGARLink Template 2 XFDL Technical Specification N-8F, N-8F/A Application for deregistration made on Form N8F EDGARLink Template 2 XFDL Technical Specification N-CSR, N-CSR/A Certified annual shareholder report of registered management investment companies filed on Form N-CSR EDGARLink Template 3 XFDL Technical Specification March 2009 3-11 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. N-CSRS, NCSRS/A Certified semi-annual shareholder report of registered management investment companies filed on Form N-CSR EDGARLink Template 3 XFDL Technical Specification N-PX, N-PX/A Annual Report of Proxy Voting Record of EDGARLink Registered Management Investment Companies Template 3 filed on Form N-PX XFDL Technical Specification N-Q, N-Q/A Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company filed on Form N-Q EDGARLink Template 3 XFDL Technical Specification NSAR-A, NSARA/A Semi-annual report for management companies filed on Form N-SAR EDGARLink Template 3 XFDL Technical Specification NSAR-AT, NSARAT/A Transitional semi-annual report filed on Form NSAR EDGARLink Template 3 XFDL Technical Specification NSAR-B, NSARB/A Annual report for management companies filed on Form N-SAR EDGARLink Template 3 XFDL Technical Specification NSAR-BT, NSARBT/A Transitional annual report filed on Form NSAR EDGARLink Template 3 XFDL Technical Specification NSAR-U, NSARU/A Annual report for unit investment trusts filed on Form N-SAR EDGARLink Template 3 XFDL Technical Specification NT 10-K, NT 10K/A Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT EDGARLink Template 3 XFDL Technical Specification NT 10-D, NT 10D/A Notice under Rule 12b25 of inability to timely file all or part of a Form 10-D EDGARLink Template 3 XFDL Technical Specification NT 10-Q, NT 10Q/A Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB EDGARLink Template 3 XFDL Technical Specification NT 11-K, NT 11K/A Notice under Rule 12b25 of inability to timely file all or part of a form 11-K EDGARLink Template 3 XFDL 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 Template 3 XFDL Technical Specification NT 20-F, NT 20F/A Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F EDGARLink Template 3 XFDL 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 Template 3 XFDL Technical Specification NT-NSAR, NTNSAR/A Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR EDGARLink Template 3 XFDL 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 Template 3 XFDL Technical Specification EDGAR Filer Manual (Volume II) 3-12 March 2009 Submission Type Description Tool/ Template Number FilerConstructed Form Spec. POS AM Post-effective amendment to a registration statement that is not immediately effective upon filing EDGARLink Template 1 XFDL Technical Specification POS AMI Post-effective amendment (for filings made under the 1940 Act only) EDGARLink Template 3 XFDL Technical Specification POSASR Post-effective Amendment to an automatic shelf registration statement on Form S-3ASR or Form F-3ASR EDGARLink Template 1 XFDL Technical Specification POS EX Post-effective amendment filed solely to add exhibits to a registration statement EDGARLink Template 3 XFDL Technical Specification POS462B Post-effective amendment to Securities Act Rule EDGARLink 462(b) registration statement Template 3 XFDL Technical Specification POS462C Post-effective amendment to a registration statement filed under Rule 462(c) EDGARLink Template 3 XFDL Technical Specification PRE 14A Preliminary proxy statement not related to a contested matter or merger/acquisition EDGARLink Template 2 XFDL Technical Specification PRE 14C Preliminary information statement not related to a contested matter or merger/acquisition EDGARLink Template 2 XFDL Technical Specification PREC14A Preliminary proxy statement in connection with contested solicitations EDGARLink Template 2 XFDL Technical Specification PREC14C Preliminary information statements - contested solicitations EDGARLink Template 2 XFDL Technical Specification PREM14A Preliminary proxy statements relating to merger or acquisition EDGARLink Template 2 XFDL Technical Specification PREM14C Preliminary information statements relating to merger or acquisition EDGARLink Template 2 XFDL Technical Specification PREN14A Preliminary proxy statement filed by nonmanagement EDGARLink Template 2 XFDL Technical Specification PRER14A Preliminary revised proxy soliciting materials EDGARLink Template 2 XFDL Technical Specification PRER14C Preliminary revised information statements EDGARLink Template 2 XFDL Technical Specification PRRN14A Revised preliminary proxy statement filed by non-management EDGARLink Template 2 XFDL Technical Specification PX14A6G Notice of exempt solicitation EDGARLink Template 2 XFDL Technical Specification PX14A6N Notice of exempt solicitation for the purpose of EDGARLink determining whether to solicit proxies, consents, Template 2 or authorizations in opposition to a proposed rollup transaction filed pursuant to Rule 14a6(g) of the Securities Exchange Act of 1934 XFDL Technical Specification March 2009 3-13 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. QRTLYRPT, QRTLYRPT/A Periodic Development Bank filing, submitted quarterly EDGARLink Template 2 XFDL Technical Specification RW Registration Withdrawal Request EDGARLink Template 3 XFDL Technical Specification RW WD Withdrawal of a Registration Withdrawal Request EDGARLink Template 1 XFDL Technical Specification S-1, S-1/A General form of registration statement for all companies including face-amount certificate companies EDGARLink Template 1 XFDL Technical Specification S-11, S-11/A Registration statement for securities to be issued EDGARLink by real estate companies Template 1 XFDL 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 Template 1 XFDL Technical Specification S-1MEF A new registration statement filed under Rule EDGARLink 462(b) to add securities to a prior related Template 1 effective registration statement filed on Form S 1 XFDL Technical Specification S-20, S-20/A Registration statement for standardized options EDGARLink Template 1 XFDL Technical Specification S-3, S-3/A Registration statement for specified transactions by certain issuers EDGARLink Template 1 XFDL Technical Specification S-3ASR Automatic shelf registration statement of securities of well-known seasoned issuers EDGARLink Template 1 XFDL Technical Specification S-3D Automatically effective registration statement for EDGARLink securities issued pursuant to dividend or interest Template 1 reinvestment plans XFDL Technical Specification S-3DPOS Post-effective amendment to a S-3D registration statement EDGARLink Template 1 XFDL Technical Specification S-3MEF A new registration statement filed under Rule EDGARLink 462(b) to add securities to a prior related Template 1 effective registration statement filed on Form S 3 XFDL Technical Specification S-4 POS Post-effective amendment to a S-4EF registration statement EDGARLink Template 1 XFDL Technical Specification S-4, S-4/A Registration of securities issued in business combination transactions EDGARLink Template 1 XFDL Technical Specification S-4EF Auto effective registration statement for securities EDGARLink issued in connection with the formation of a bank Template 1 or savings and loan holding company in compliance with General Instruction G XFDL Technical Specification EDGAR Filer Manual (Volume II) 3-14 March 2009 Submission Type Tool/ Template Number FilerConstructed Form Spec. S-4MEF A new registration statement filed under Rule EDGARLink 462(b) to add securities to a prior related Template 1 effective registration statement filed on Form S-4 XFDL Technical Specification S-6, S-6/A Initial registration statement filed on Form S-6 for EDGARLink unit investment trusts Template 1 XFDL Technical Specification S-8 Initial registration statement for securities to be offered to employees pursuant to employee benefit plans EDGARLink Template 1 XFDL Technical Specification S-8 POS Post-effective amendment to a S-8 registration statement EDGARLink Template 1 XFDL 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 Template 1 XFDL Technical Specification S-BMEF A new registration statement filed under Rule EDGARLink 462(b) to add securities to a prior related Template 1 effective registration statement filed on Form S-B XFDL 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 Template 2 XFDL Technical Specification SC 13E1, SC 13E1/A Schedule 13-E1 statement of issuer required by Rule 13e-1 EDGARLink Template 2 XFDL Technical Specification SC 13E3, SC 13E3/A Schedule filed to report going private transactions EDGARLink Template 2 XFDL 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 EDGARLink Template 2 XFDL Technical Specification SC 14D9, SC 14D9/A Tender offer solicitation / recommendation statements filed under Rule 14d-9 EDGARLink Template 2 XFDL Technical Specification SC 14F1, SC 14F1/A Statement regarding change in majority of directors pursuant to Rule 14f-1 EDGARLink Template 2 XFDL Technical Specification SC TO-C Written communication relating to an issuer or third party tender offer EDGARLink Template 2 XFDL Technical Specification SC TO-I, SC TO-I/A Issuer tender offer statement EDGARLink Template 2 XFDL Technical Specification SC TO-T, SC TO-T/A Third party tender offer statement EDGARLink Template 2 XFDL Technical Specification SC13E4F, SC13E4F/A Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers EDGARLink Template 2 XFDL Technical Specification SC14D1F, SC14D1F/A Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers EDGARLink Template 2 XFDL Technical Specification March 2009 Description 3-15 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. SC14D9C Written communication by the subject company relating to a third party tender offer EDGARLink Template 2 XFDL Technical Specification SC14D9F, SC14D9F/A Solicitation/recommendation statement pursuant EDGARLink to Section 14(d)(4) of the Securities Exchange Template 2 Act of 1934 and Rules 14d-1(b) and 14e-2(c) by foreign issuers XFDL Technical Specification SH-ER, SH-ER/A Weekly Form SH Entries Report Filed by Institutional Investment Managers SH-ER Information Table XML Technical Specification EDGARLink Template 3 XFDL Technical Specification SH-NT, SH-NT/A Weekly Form SH Notice Report Filed by Institutional Investment Managers EDGARLink Template 3 XFDL Technical Specification SP 15D2, SP 15D2/A Special Financial Report filed under Rule 15d-2 EDGARLink Template 3 XFDL Technical Specification SUPPL Voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers EDGARLink Template 2 XFDL Technical Specification T-1, T-2 Note - 'Submission types' T-1 and T-2 are not used as stand-alone submission types on the EDGAR system. They are filed as EX-25 to registration statements. T-3, T-3/A Initial application for qualification of trust indentures EDGARLink Template 1 XFDL 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 Template 1 XFDL Technical Specification TA-1, TA-1/A Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 EDGARLite TA-1 Template TA-1 XML Technical Specification TA-2, TA-2/A Annual report of transfer agent activities filed EDGARLite pursuant to the Securities Exchange Act of 1934 TA-2 Template TA-2 XML Technical Specification TA-W Notice of withdrawal from registration as transfer EDGARLite agent filed pursuant to the Securities Exchange TA-W Act of 1934 Template TA-W XML Technical Specification UNDER, UNDER/A Initial undertaking to file reports EDGAR Filer Manual (Volume II) 3-16 EDGARLink Template 3 XFDL Technical Specification March 2009 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. EDGARLite templates can be downloaded from the OnlineForms/XML Website. Versions of the EDGARLink templates and software are found on the EDGAR Filing Website. 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 5 F-3MEF POS462B S-3MEF S-BMEF 3/A 5/A F-4MEF S-11MEF S-4MEF 4 F-1MEF N-14MEF S-1MEF 4/A N-2MEF 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. March 2009 3-17 EDGAR Filer Manual (Volume II) Electronic Form Types by Act List of Tables Table 3-1: Securities Act Submission Types Accepted by EDGAR ......................................... 3-19 Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant to Section 14 Submission Types Accepted by EDGAR ........................... 3-29 Table 3-3: Securities Exchange Act - Registration and Report Submission Types Accepted by EDGAR.................................................................................................................... 3-32 Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR................................ 3-41 Table 3-5: Investment Company Submission Types Accepted by EDGAR ............................. 3-44 Table 3-6: Development Bank Submission Types Accepted by EDGAR................................. 3-61 Table 3-7: Correspondence Submission Types.......................................................................... 3-61 EDGAR Filer Manual (Volume II) 3-18 March 2009 Table 3-1: Securities Act Submission Types Accepted by EDGAR CFR Form/ Schedule/ Rule D F-1 F-1MEF F-3 March 2009 Description Submission Type Tool/ Template Number FilerConstructed Form Spec. 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 4(6) under the Act D Online Forms N/A Amendment D/A Online Forms N/A Registration statement for securities of certain foreign private issuers F-1 EDGARLink Template 1 XFDL Technical Specification Pre-effective amendment F-1/A EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Template 1 XFDL Technical Specification 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 Template 1 XFDL Technical Specification Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Template 3 XFDL Technical Specification Registration statement for specified transactions by certain foreign private issuers F-3 EDGARLink Template 1 XFDL Technical Specification Pre-Effective amendment F-3/A EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Template 1 XFDL Technical Specification Automatic shelf registration statement of securities of wellknown seasoned issuers F-3ASR EDGARLink Template 1 XFDL Technical Specification Post-effective Amendment to an automatic shelf registration statement on Form S-3ASR or Form F-3ASR POSASR EDGARLink Template 1 XFDL Technical Specification 3-19 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule F-3MEF F-4 F-4MEF F-6 Description Submission Type Tool/ Template Number FilerConstructed Form Spec. Registration statement for dividend or interest reinvestment plan securities of foreign private issuers F-3D EDGARLink Template 1 XFDL Technical Specification Post-Effective amendment to a F-3D registration F-3DPOS EDGARLink Template 1 XFDL Technical Specification 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 Template 1 XFDL Technical Specification Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Template 3 XFDL Technical Specification Registration statement for securities issued by foreign private issuers in certain business combination transactions F-4 EDGARLink Template 1 XFDL Technical Specification Pre-effective amendment F-4/A EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Template 1 XFDL Technical Specification Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions F-4EF EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a F-4EF registration F-4 POS EDGARLink Template 1 XFDL Technical Specification 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 Template 1 XFDL Technical Specification Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Template 3 XFDL Technical Specification Registration statement for American Depositary Receipts representing securities of certain foreign private issuers F-6 EDGARLink Template 1 XFDL Technical Specification EDGAR Filer Manual (Volume II) 3-20 March 2009 CFR Form/ Schedule/ Rule F-7 F-8 F-9 March 2009 Description Submission Type Tool/ Template Number FilerConstructed Form Spec. Pre-effective amendment F-6/A EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Template 1 XFDL Technical Specification Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers F 6EF EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a F-6EF registration F-6 POS EDGARLink Template 1 XFDL Technical Specification 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 Template 1 XFDL Technical Specification Pre-effective amendment F-7/A EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a F-7 registration F-7 POS EDGARLink Template 1 XFDL Technical Specification 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 Template 1 XFDL Technical Specification Pre-effective amendment F-8/A EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a F-8 registration F-8 POS EDGARLink Template 1 XFDL Technical Specification Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933 F-9 EDGARLink Template 1 XFDL Technical Specification Pre-effective amendment F-9/A EDGARLink Template 1 XFDL Technical Specification 3-21 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule F-10 F-80 S-1 Description Submission Type Tool/ Template Number FilerConstructed Form Spec. Auto effective registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933 F-9EF EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a F-9EF registration F-9 POS EDGARLink Template 1 XFDL Technical Specification Registration statement for securities of certain Canadian issuers under the Securities Act of 1933 F-10 EDGARLink Template 1 XFDL Technical Specification Pre-effective amendment F-10/A EDGARLink Template 1 XFDL Technical Specification Auto effective registration statement for securities of certain Canadian issuers under the Securities Act of 1933 F-10EF EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a F10EF registration F-10POS EDGARLink Template 1 XFDL Technical Specification 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 Template 1 XFDL Technical Specification Pre-effective amendment F-80/A EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a F-80 registration F-80POS EDGARLink Template 1 XFDL Technical Specification General form of registration statement for all companies including face-amount certificate companies S-1 EDGARLink Template 1 XFDL Technical Specification Pre-effective amendment S-1/A EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Template 1 XFDL Technical Specification EDGAR Filer Manual (Volume II) 3-22 March 2009 CFR Form/ Schedule/ Rule S-1MEF S-3 S-3MEF S-4 March 2009 Description Submission Type Tool/ Template Number FilerConstructed Form Spec. 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 Template 1 XFDL Technical Specification Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Template 3 XFDL Technical Specification Registration statement for specified transactions by certain issuers S-3 EDGARLink Template 1 XFDL Technical Specification Pre-effective amendment S-3/A EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Template 1 XFDL Technical Specification Automatic shelf registration statement of securities of well-known seasoned issuers S-3ASR EDGARLink Template 1 XFDL Technical Specification Post-effective Amendment to an automatic shelf registration statement on Form S-3ASR or Form F-3ASR POSASR EDGARLink Template 1 XFDL Technical Specification Automatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans S-3D EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a S-3D registration statement S-3DPOS EDGARLink Template 1 XFDL Technical Specification 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 Template 1 XFDL Technical Specification Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Template 3 XFDL Technical Specification Registration of securities issued in business combination transactions S-4 EDGARLink Template 1 XFDL Technical Specification Pre-effective amendment S-4/A EDGARLink Template 1 XFDL Technical Specification 3-23 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule S-4MEF S-8 S-11 S-11MEF Description Submission Type Tool/ Template Number FilerConstructed Form Spec. Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Template 1 XFDL Technical Specification 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 Template 1 XFDL Technical Specification Post-effective amendment to a S4EF registration statement S-4 POS EDGARLink Template 1 XFDL Technical Specification 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 Template 1 XFDL Technical Specification Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Template 3 XFDL Technical Specification Initial registration statement for securities to be offered to employees pursuant to employee benefit plans S-8 EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a S-8 registration statement S-8 POS EDGARLink Template 1 XFDL Technical Specification Registration statement for securities to be issued by real estate companies S-11 EDGARLink Template 1 XFDL Technical Specification Pre-effective amendment S-11/A EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Template 1 XFDL Technical Specification 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 Template 1 XFDL Technical Specification Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Template 3 XFDL Technical Specification EDGAR Filer Manual (Volume II) 3-24 March 2009 CFR Form/ Schedule/ Rule S-20 Description Submission Type Tool/ Template Number FilerConstructed Form Spec. Registration statement for standardized options S-20 EDGARLink Template 1 XFDL Technical Specification Pre-effective amendment S-20/A EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Template 1 XFDL Technical Specification Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B) S-B EDGARLink Template 1 XFDL Technical Specification Pre-effective amendment S-B/A EDGARLink Template 1 XFDL Technical Specification Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Template 1 XFDL Technical Specification 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 Template 1 XFDL Technical Specification Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Template 3 XFDL Technical Specification POS462B Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B EDGARLink Template 3 XFDL Technical Specification POS462C Post-effective amendment to a registration statement filed under Rule 462(c) POS462C EDGARLink Template 3 XFDL Technical Specification POS AM Post-effective amendment to a registration statement that is not immediately effective upon filing POS AM EDGARLink Template 1 XFDL Technical Specification POS EX Post-effective amendment filed solely to add exhibits to a registration statement POS EX EDGARLink Template 3 XFDL Technical Specification 424A EDGARLink Template 3 XFDL Technical Specification S-B S-BMEF PROSPECTUSES FILED PURSUANT TO RULE 424 Prospectus filed pursuant to Rule 424(a) March 2009 3-25 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number FilerConstructed Form Spec. Prospectus filed pursuant to Rule 424(b)(1) 424B1 EDGARLink Template 1 XFDL Technical Specification Prospectus filed pursuant to Rule 424(b)(2) 424B2 EDGARLink Template 1 XFDL Technical Specification Prospectus filed pursuant to Rule 424(b)(3) 424B3 EDGARLink Template 1 XFDL Technical Specification Prospectus filed pursuant to Rule 424(b)(4) 424B4 EDGARLink Template 1 XFDL Technical Specification Prospectus filed pursuant to Rule 424(b)(5) 424B5 EDGARLink Template 1 XFDL Technical Specification Prospectus filed pursuant to Rule 424(b)(7) 424B7 EDGARLink Template 1 XFDL Technical Specification Prospectus filed pursuant to Rule 424(b)(8) 424B8 EDGARLink Template 1 XFDL Technical Specification FWP EDGARLink Template 2 XFDL Technical Specification FREE WRITING PROSPECTUS Filing under Securities Act Rules 163/433 of free writing prospectuses FILINGS PURSUANT TO THE TRUST INDENTURE ACT 305B2 T-3 T-6 Application for designation of a new trustee under the Trust Indenture Act 305B2 EDGARLink Template 3 XFDL Technical Specification Amendment 305B2/A EDGARLink Template 3 XFDL Technical Specification Initial application for qualification of trust indentures T-3 EDGARLink Template 1 XFDL Technical Specification Pre-effective amendment T-3/A EDGARLink Template 1 XFDL Technical Specification 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 Template 1 XFDL Technical Specification EDGAR Filer Manual (Volume II) 3-26 March 2009 CFR Form/ Schedule/ Rule Description Submission Type Pre-effective amendment T-6/A Tool/ Template Number FilerConstructed Form Spec. EDGARLink Template 1 XFDL Technical Specification Note: "Submission types" T-1 and T-2 are not used as stand-alone submission types on the EDGAR system. They are filed as EX-25 to registration statements. FILINGS PURSUANT TO RULE 144 144 Filing for proposed sale of securities under Rule 144 144 EDGARLink Template 2 XFDL Technical Specification Amendment to Form 144 Note: Form 144 may be filed electronically on a voluntary basis if the issuer of the securities is a public company. 144/A EDGARLink Template 2 XFDL Technical Specification MISCELLANEOUS FILINGS DEL AM Separately filed delaying amendment under Securities Act Rule 473 to delay effectiveness of a 1933 Act registration statement DEL AM EDGARLink Template 3 XFDL Technical Specification UNDER Initial undertaking to file reports UNDER EDGARLink Template 3 XFDL Technical Specification Amendment UNDER/A EDGARLink Template 3 XFDL Technical Specification SUPPL Voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers SUPPL EDGARLink Template 2 XFDL Technical Specification RW Registration Withdrawal Request RW EDGARLink Template 3 XFDL Technical Specification RW WD Withdrawal of a Registration Withdrawal Request RW WD EDGARLink Template 1 XFDL Technical Specification AW Withdrawal of amendment to a registration statement filed under the Securities Act AW EDGARLink Template 3 XFDL Technical Specification AW WD Withdrawal of a request for withdrawal of an amendment to a registration statement AW WD EDGARLink Template 1 XFDL Technical Specification March 2009 3-27 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule 425 Description Submission Type Tool/ Template Number FilerConstructed Form Spec. 425 EDGARLink Template 2 XFDL Technical Specification 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 Template 2 XFDL Technical Specification Amendment F-X/A EDGARLink Template 2 XFDL Technical Specification Notification of the appointment of an agent for service by certain foreign institutions F-N EDGARLink Template 2 XFDL Technical Specification Amendment F-N/A EDGARLink Template 2 XFDL Technical Specification 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 8K 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 F-X F-N EDGAR Filer Manual (Volume II) 3-28 March 2009 Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant to Section 14 Submission Types Accepted by EDGAR CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number Filer-Constructed Form Spec. Preliminary proxy statements relating to merger or acquisition PREM14A EDGARLink Template 2 XFDL Technical Specification Preliminary proxy statement in connection with contested solicitations PREC14A EDGARLink Template 2 XFDL Technical Specification Preliminary proxy statement filed by non-management PREN14A EDGARLink Template 2 XFDL Technical Specification Preliminary proxy statement not related to a contested matter or merger / acquisition PRE 14A EDGARLink Template 2 XFDL Technical Specification Preliminary information statements relating to merger or acquisition PREM14C EDGARLink Template 2 XFDL Technical Specification Preliminary information statements – contested solicitations PREC14C EDGARLink Template 2 XFDL Technical Specification Preliminary information statement not related to a contested matter or merger/acquisition PRE 14C EDGARLink Template 2 XFDL Technical Specification Preliminary revised proxy soliciting materials PRER14A EDGARLink Template 2 XFDL Technical Specification Revised preliminary proxy statement filed by nonmanagement PRRN14A EDGARLink Template 2 XFDL Technical Specification Preliminary revised information statements PRER14C EDGARLink Template 2 XFDL Technical Specification Definitive proxy statement relating to merger or acquisition DEFM14A EDGARLink Template 2 XFDL Technical Definitive proxy statement in connection with contested solicitations DEFC14A EDGARLink Template 2 XFDL Technical Specification Definitive proxy statement filed by non-management DEFN14A EDGARLink Template 2 XFDL Technical Specification PRELIMINARY PROXY SOLICITING MATERIALS PRELIMINARY INFORMATION STATEMENTS REVISED PRELIMINARY MATERIALS DEFINITIVE MATERIALS (PROXY MATERIALS) March 2009 3-29 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number Filer-Constructed Form Spec. Revised definitive proxy statement filed by nonmanagement DFRN14A EDGARLink Template 2 XFDL Technical Specification Definitive revised proxy soliciting materials DEFR14A EDGARLink Template 2 XFDL Technical Specification 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 DEFA14A EDGARLink Template 2 XFDL Technical Specification Definitive additional proxy soliciting materials filed by nonmanagement 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 DFAN14A EDGARLink Template 2 XFDL Technical Specification Definitive proxy statements DEF 14A EDGARLink Template 2 XFDL Technical Specification Notice of exempt solicitation PX14A6G EDGARLink Template 2 XFDL Technical Specification Notice of exempt solicitation for the purpose of determining whether to solicit proxies, consents, or authorizations in opposition to a proposed rollup transaction filed pursuant to Rule 14a6(g) of the Securities Exchange Act of 1934 PX14A6N EDGARLink Template 2 XFDL Technical Specification EDGARLink Template 2 XFDL Technical Specification DEFINITIVE MATERIALS (INFORMATION STATEMENTS) Definitive information statement relating to merger or acquisition EDGAR Filer Manual (Volume II) DEFM14C 3-30 March 2009 CFR Form/ Schedule/ Rule March 2009 Description Submission Type Tool/ Template Number Filer-Constructed Form Spec. Definitive information statement – contested solicitations DEFC14C EDGARLink Template 2 XFDL Technical Specification Definitive information statements DEF 14C EDGARLink Template 2 XFDL Technical Specification Definitive additional information statement materials including Rule 14(a)(12) material DEFA14C EDGARLink Template 2 XFDL Technical Specification Definitive revised information statement materials DEFR14C EDGARLink Template 2 XFDL Technical Specification 3-31 EDGAR Filer Manual (Volume II) Table 3-3: Securities Exchange Act - Registration and Report Submission Types Accepted by EDGAR CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number FilerConstructed Form Spec. REGISTRATION STATEMENTS 8-A 10 20-F 40-F Form for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b) 8-A12B EDGARLink Template 3 Amendment 8-A12B/A EDGARLink Template 3 Form for registration of a class of securities pursuant to section 12(g) 8-A12G EDGARLink Template 3 Amendment 8-A12G/A EDGARLink Template 3 Initial general form for registration of a class of securities pursuant to section 12(b) 10-12B EDGARLink Template 3 Amendment 10-12B/A EDGARLink Template 3 Initial general form for registration of a class of securities pursuant to section 12(g) 10-12G EDGARLink Template 3 Amendment 10-12G/A EDGARLink Template 3 Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b) 20FR12B EDGARLink Template 3 Amendment 20FR12B/A EDGARLink Template 3 Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g) 20FR12G EDGARLink Template 3 Amendment 20FR12G/A EDGARLink Template 3 Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act 40FR12B EDGARLink Template 3 Amendment 40FR12B/A EDGARLink Template 3 EDGAR Filer Manual (Volume II) 3-32 XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification March 2009 CFR Form/ Schedule/ Rule 18 Description Submission Type Tool/ Template Number Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act 40FR12G EDGARLink Template 3 Amendment 40FR12G/A EDGARLink Template 3 Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b) 18-12B EDGARLink Template 3 Amendment 18-12B/A EDGARLink Template 3 Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g) 18-12G EDGARLink Template 3 Amendment 18- 12G/A EDGARLink Template 3 FilerConstructed Form Spec. XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification ANNUAL, QUARTERLY, AND PERIODIC REPORTS ARS Annual report to security holders ARS EDGARLink Template 3 Amendment ARS/A EDGARLink Template 3 Current report of foreign issuer pursuant to Rules 13a16 and 15d-16 6-K EDGARLink Template 3 Amendments 6-K/A EDGARLink Template 3 Quarterly report pursuant to sections 13 or 15(d) 10-Q EDGARLink Template 3 XFDL 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 14c3(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. 6-K 10-Q March 2009 3-33 XFDL Technical Specification XFDL Technical Specification EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number FilerConstructed Form Spec. ANNUAL, QUARTERLY, AND PERIODIC REPORTS 10-K 10KSB Amendment 10-Q/A EDGARLink Template 3 Transition report pursuant to Rule 13a-10 or 15d-10 10-QT EDGARLink Template 3 XFDL Technical Specification Annual report pursuant to section 13 and 15(d) 10-K EDGARLink Template 3 XFDL Technical Specification Amendment 10-K/A EDGARLink Template 3 Transition report pursuant to Rule 13a-10 or 15d-10 10-KT EDGARLink Template 3 Amendment 10-KT/A EDGARLink Template 3 Optional form for annual and transition reports of small business issuers under section 13 or 15(d) 10KSB EDGARLink Template 3 10KSB/A EDGARLink Template 3 Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17 10-D EDGARLink Template 3 Amendment 10-D/A EDGARLink Template 3 Current report filing 8-K EDGARLink Template 3 Amendment 8-K/A EDGARLink Template 3 Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(g) 8-K12G3 EDGARLink Template 3 Amendment 8-K12G3/A EDGARLink Template 3 Notification of assumption of duty to report by successor issue under section 15(d) 8-K15D5 EDGARLink Template 3 XFDL Technical Specification XFDL Technical Specification Will no longer be accepted as of March 16, 2009 Amendment Will no longer be accepted as of March 16, 2009 10-D 8-K EDGAR Filer Manual (Volume II) 3-34 XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification March 2009 CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number FilerConstructed Form Spec. ANNUAL, QUARTERLY, AND PERIODIC REPORTS 11-K 18-K 20-F 40-F Amendment 8-K15D5/A EDGARLink Template 3 Annual report of employee stock purchase, savings and similar plans 11-K EDGARLink Template 3 Amendment 11-K/A EDGARLink Template 3 Transition report pursuant to rule 13a-10 or 15d-10 11-KT EDGARLink Template 3 Amendment 11-KT/A EDGARLink Template 3 Annual report for foreign governments and political subdivisions 18-K Amendment 18-K/A Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) 20-F EDGARLink Template 3 Amendment 20-F/A EDGARLink Template 3 Annual report filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4 40-F EDGARLink Template 3 40-F/A EDGARLink Template 3 Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10QSB NT 10-Q EDGARLink Template 3 Amendment NT 10-Q/A EDGARLink Template 3 Notice under Rule 12b25 of inability to timely file all or part of a form 10-K, 10-KSB, or 10-KT NT 10-K EDGARLink Template 3 Amendment NT 10-K/A EDGARLink Template 3 Notice under Rule 12b25 of inability to timely file all or part of a Form 10-D NT 10-D EDGARLink Template 3 Amendment 12b-25 March 2009 3-35 XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number FilerConstructed Form Spec. ANNUAL, QUARTERLY, AND PERIODIC REPORTS 15 See Rule 15d-2 Amendment NT 10-D/A EDGARLink Template 3 Notice under Rule 12b25 of inability to timely file all or part of a form 11-K NT 11-K EDGARLink Template 3 Amendment NT 11-K/A EDGARLink Template 3 Notice under Rule 12b25 of inability to timely file a special report pursuant to section 15d-2 NT 15D2 EDGARLink Template 3 Amendment NT 15D2/A EDGARLink Template 3 Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F NT 20-F EDGARLink Template 3 Amendment NT 20-F/A EDGARLink Template 3 Notice of termination of registration of a class of securities under Section 12(b) 15-12B EDGARLink Template 3 Amendment 15-12B/A EDGARLink Template 3 Notice of termination of registration of a class of securities under Section 12(g) 15-12G EDGARLink Template 3 Amendment 15-12G/A EDGARLink Template 3 Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act 15-15D EDGARLink Template 3 Amendment 15-15D/A EDGARLink Template 3 Special Financial Report filed under Rule 15d-2 SP 15D2 EDGARLink Template 3 Amendment SP 15D2/A EDGARLink Template 3 EDGAR Filer Manual (Volume II) 3-36 XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification March 2009 CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number FilerConstructed Form Spec. ANNUAL, QUARTERLY, AND PERIODIC REPORTS 15F 15F Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b) 15F-12B EDGARLink Template 3 Amendment 15F-12B/A EDGARLink Template 3 Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g) 15F-12G EDGARLink Template 3 Amendment 15-12G/A EDGARLink Template 3 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 EDGAR Link Template 3 Amendment 15-15D/A EDGAR Link Template 3 Initial Quarterly Form 13F Holdings report filed by institutional managers 13F-HR EDGAR Link Template 3 Amendment 13F-HR/A EDGAR Link Template 3 Initial Quarterly Form 13F Notice Report filed by institutional managers 13F-NT EDGAR Link Template 3 Amendment 13F-NT/A EDGAR Link Template 3 Weekly Form SH Entries Report Filed by Institutional Investment Managers SH-ER EDGAR Link Template 3 XFDL Technical Specification XFDL Technical Specification XFDL Technical Specification MISCELLANEOUS SUBMISSION TYPES/FILLINGS Form 13 F Form SH March 2009 3-37 XFDL Technical Specification XFDL Technical Specification SH-ER Information table only: SH-ER Information Table XML Technical Specification; XFDL Technical Specification EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number FilerConstructed Form Spec. MISCELLANEOUS SUBMISSION TYPES/FILLINGS Form RW Form AW Form 425 Amendment SH-ER/A EDGAR Link Template 3 SH-ER/A Information table only: SH-ER Information Table XML Technical Specification; XFDL Technical Specification Weekly Form SH Notice Report Filed by Institutional Investment Managers SH-NT EDGAR Link Template 3 XFDL Technical Specification Amendment SH-NT/A EDGAR Link Template 3 XFDL Technical Specification Registration Withdrawal Request RW EDGAR Link Template 3 XFDL Technical Specification Withdrawal of a registration withdrawal statement RW WD EDGAR Link Template 3 XFDL Technical Specification Withdrawal of an amendment to a registration statement filed under the Securities Act AW EDGAR Link Template 3 XFDL Technical Specification Withdrawal of an amendment registration withdrawal statement AW WD EDGAR Link Template 3 XFDL Technical Specification Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions 425 EDGAR Link Template 3 XFDL Technical Specification Note: Form 425 can be filed as part of Form 8-K. For filers subject to 8K 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. EDGAR Filer Manual (Volume II) 3-38 March 2009 CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number FilerConstructed Form Spec. XFDL Technical Specification MISCELLANEOUS SUBMISSION TYPES/FILLINGS Form 25 Form 25 Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange 25 EDGAR Link Template 3 Amendment 25/A EDGAR Link Template 3 Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities 25-NSE Distributed to National Securities Exchanges only Distributed to National Securities Exchanges only Amendment 25-NSE/A Distributed to National Securities Exchanges only Distributed to National Securities Exchanges only Initial statement of beneficial ownership of securities 3 Online Forms Ownership XML Technical Specification Amendment 3/A Online Forms Ownership XML Technical Specification Statement of changes in beneficial ownership of securities 4 Online Forms Ownership XML Technical Specification Amendment 4/A Online Forms Ownership XML Technical Specification Annual statement of changes in beneficial ownership of securities 5 Online Forms Ownership XML Technical Specification Amendment 5/A Online Forms Ownership XML Technical Specification SECTION 16 OWNERSHIP FORMS/FILINGS Form 3 Form 4 Form 5 SECTION 17A TRANSFER AGENT FORMS/FILINGS TA-1 March 2009 Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 TA-1 EDGAR Lite TA-1 Template TA-1 XML Technical Specification Amendment TA-1/A EDGAR Lite TA-1 Template TA-1 XML Technical Specification 3-39 EDGAR Filer Manual (Volume II) CFR Form/ Schedule/ Rule TA-2 TA-W Description Submission Type Tool/ Template Number FilerConstructed Form Spec. Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 TA-2 EDGAR Lite TA-1 Template TA-1 XML Technical Specification Amendment TA-2/A EDGAR Lite TA-1 Template TA-1 XML Technical Specification Notice of withdrawal from registration as transfer agent filed pursuant to the Securities Exchange Act of 1934 TA-W EDGAR Lite TA-1 Template TA-1 XML Technical Specification EDGAR Filer Manual (Volume II) 3-40 March 2009 Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR CFR Form/ Schedule/ Rule Schedule 13D Schedule 13-E1 Schedule 13E-3 Schedule 13E4F Schedule 13G Schedule TO-I Schedule TO-T March 2009 Description Submission Type Tool/ Template Number FilerConstructed Form Spec. XFDL Technical Specification Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities SC 13D EDGARLink Template 2 Amendment SC 13D/A EDGARLink Template 2 Schedule 13-E1 statement of issuer required by Rule 13e-1 SC 13E1 EDGARLink Template 2 Amendment SC 13E1/A EDGARLink Template 2 Schedule filed to report going private transactions SC 13E3 EDGARLink Template 2 Amendment SC 13E3/A EDGARLink Template 2 Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers SC13E4F EDGARLink Template 2 Amendment SC13E4F/A EDGARLink Template 2 Schedule filed to report acquisition of beneficial owne [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%3A3a2bf5b4e47b7d92. Public record. Not legal advice.