A. Submission Types Accepted for Electronic Filing
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APPENDIX A
A. Submission Types Accepted for Electronic Filing
This Appendix provides tables listing all submission types accepted by EDGAR. Use this
Appendix to find a description of EDGAR submission types and to identify the templates used to
recognize different submission types.
A.1
How Tables are Organized
The tables are organized by the Act under which they are used. Each table has four headings:
Filing Type; Description; Submission Type; and Appendix B Template Number.
A.1.1 Filing Type
The Filing Type column lists the names of the forms, rules, or schedules as they appear in the
Code of Federal Regulations (CFR).
A.1.2 Description
The Description column explains the purpose of the form.
A.1.3 Submission Type
The Submission Type column lists the names of the submission types that correspond to the
filing type.
A.1.4 Template Number
The Template column shows the template number as recognized by EDGAR.
April 2003
A-1
Filer Manual Volume I
APPENDIX A
Submission Types Accepted for Electronic Filing
Table of Contents
Table
Page
TABLE 1
Securities Act Submission types Accepted by EDGAR
A-3
TABLE 2
Securities Exchange Act - Proxy Materials and Information
Statements Filed Pursuant to Section 14 Submission types Accepted
by EDGAR
A-10
TABLE 3
Securities Exchange Act - Registration and Report Submission types
Accepted by EDGAR
A-12
TABLE 4
Williams Act Filing Submission types Accepted by EDGAR
A-16
TABLE 5
Public Utility Holding Company Act Submission types Accepted by
EDGAR
A-18
TABLE 6
Investment Company Submission types Accepted by EDGAR
A-20
TABLE 7
Development Bank Submission types Accepted by EDGAR
A-29
(These submission types are to be used ONLY by the Development Banks.)
TABLE 8
Correspondence Submission Types
Filer Manual Volume I
A-2
A-29
April 2003
TABLE 1. Securities Act Submission Types Accepted by EDGAR
Filing
Type
F-1
F-1MEF
F-2
F-2MEF
F-3
F-3MEF
F-4
April 2003
Description
Registration statement for certain foreign private
issuers:
Initial statement
Pre-effective amendments
Post-effective amendments
A new registration statement filed under Rule
462(b) to add securities to a prior related
registration statement filed on Form F-1.
Post-effective amendments
Registration statement for certain foreign private
issuers:
Initial statement
Pre-effective amendments
Post-effective amendments
Registration of securities pursuant to dividend or
interest re-investment plans:
Initial statement
Post-effective amendments
A new registration statement filed under Rule
462(b) to add securities to a prior related
registration statement filed on Form F-2.
Post-effective amendments
Registration statement for specified transactions
by certain foreign private issuers:
Initial statement
Pre-Effective amendments
Post-Effective amendments
Registration of securities pursuant to dividend or
interest reinvestment plans
Initial statement
Post-effective amendments
A new registration statement filed under Rule
462(b) to add securities to a prior related
registration statement filed on Form F-3.
Post-effective amendments
Registration statement for securities issued by
foreign private issuers in certain business
combination transactions:
Initial statement
Pre-effective amendments
Post-effective amendments
A-3
Submission
Type
Template
Number
F-1
F-1/A
POS AM
1
1
3
F-1MEF
POS462B
1
3
F-2
F-2/A
POS AM
1
1
1
F-2D
F-2DPOS
1
1
F-2MEF
POS462B
1
3
F-3
F-3/A
POS AM
1
1
1
F-3D
F-3DPOS
1
1
F-3MEF
POS462B
1
3
F-4
F-4/A
F-4 POS
1
1
1
Filer Manual Volume I
Filing
Type
F-4EF
F-4MEF
F-6
F-7
F-8
F-9
Description
Auto effective registration statement for
securities by certain foreign private issuers in
connection with certain business combination
transactions:
Initial statement
Pre-effective amendments
Post-effective amendments
Submission
Type
Template
Number
F-4 EF
F-4 EF/A
F-4 POS
1
1
1
F-4MEF
POS462B
1
3
F-6
F-6/A
POS AM
1
1
1
F-6EF
F-6 POS
1
1
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:
Initial statement
Pre-effective amendments
Post-effective amendments
F-7
F-7/A
F-7 POS
1
1
1
Registration statement for securities of certain
Canadian issuers to be issued in exchange offers
or a business combination under the Securities
Act of 1933:
Initial statement
Pre-effective amendments
Post-effective amendments
F-8
F-8/A
F-8 POS
1
1
1
Registration of securities of certain investment
grade debt or investment grade preferred
securities of certain Canadian issuers under the
Securities Act of 1933:
Initial statement
Auto-effective
Pre-effective amendments
Post-effective amendments
F-9
F-9 EF
F-9/A
F-9 POS
1
1
1
1
A new registration statement filed under Rule
462(b) to add securities to a prior related
registration statement filed on Form F-4.
Post-effective amendments
Registration statement for American Depositary
Receipt shares that is not automatically effective
upon filing:
Initial statement
Pre-effective amendments
Post-effective amendments
Filing to become effective immediately upon
filing:
Initial statement
Post-effective amendments
Filer Manual Volume I
A-4
April 2003
Filing
Type
F-10
F-80
S-1
S-1MEF
S-2
S-2MEF
S-3
S-3MEF
April 2003
Description
Submission
Type
Template
Number
Registration statement for securities of certain
Canadian issuers under the Securities Act of
1933:
Initial statement
Auto-effective
Pre-effective amendments
Post-effective amendments
F-10
F-10 EF
F-10/A
F-10 POS
1
1
1
1
Registration of securities of certain Canadian
issuers to be issued in exchange offers or a
business combination under the Securities Act of
1933:
Initial statement
Pre-effective amendments
Post-effective amendments
F-80
F-80/A
F-80 POS
1
1
1
S-1
S-1/A
POS AM
1
1
1
S-1MEF
POS462B
1
3
S-2
S-2/A
POS AM
1
1
1
S-2MEF
POS462B
1
3
S-3
S-3/A
POS AM
1
1
1
S-3D
S-3DPOS
1
1
S-3MEF
POS462B
1
3
General form of registration statement:
Initial statement
Pre-effective amendments
Post-effective amendments
A new registration statement filed under Rule
462(b) to add securities to a prior related
registration statement filed on Form S-1.
Post-effective amendments
Registration of securities of certain issuers:
Initial statement
Pre-effective amendments
Post-effective amendments
A new registration statement filed under Rule
462(b) to add securities to a prior related
registration statement filed on Form S-2.
Post-effective amendments
Registration statement for specified transactions
by certain issuers:
Initial statement
Pre-effective amendments
Post-effective amendments
Registration of securities pursuant to dividend or
interest reinvestment plans which become
effective automatically upon filing:
Initial statement
Post-effective amendments
A new registration statement filed under Rule
462(b) to add securities to a prior related
registration statement filed on Form S-3.
Post-effective amendments
A-5
Filer Manual Volume I
Filing
Type
S-4
S-4MEF
S-8
S-11
S-11MEF
S-20
S-B
S-BMEF
Description
Registration of securities issued in business
combination transactions
Initial statement
Pre-effective amendments
Post-effective amendments
Securities issued in connection with the
formation of a bank or savings and loan holding
company in compliance with General Instruction
G.
Initial statement
Pre-effective amendments
Post-effective amendments
A new registration statement filed under Rule
462(b) to add securities to a prior related
registration statement filed on Form S-4.
Post-effective amendments
Securities to be offered to employees pursuant to
employee benefit plans
Initial statement
Post-effective amendments
Registration statement for securities to be issued
by real estate companies:
Initial statement
Pre-effective amendments
Post-effective amendments
A new registration statement filed under Rule
462(b) to add securities to a prior related
registration statement filed on Form S-11.
Post-effective amendments
For standardized options:
Initial statement
Pre-effective amendments
Post-effective amendments
Registration statement for securities of foreign
governments and subdivisions thereof under the
Securities Act of 1933 (Schedule B):
Initial statement
Pre-effective amendments
Post-effective amendments
New registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form
S-B.
Initial statement
Post effective amendment
Filer Manual Volume I
A-6
Submission
Type
Template
Number
S-4
S-4/A
POS AM
1
1
1
S-4EF
S-4EF/A
S-4 POS
1
1
1
S-4MEF
POS462B
1
3
S-8
S-8 POS
1
1
S-11
S-11/A
POS AM
1
1
1
S-11MEF
POS462B
1
3
S-20
S-20/A
POS AM
1
1
1
S-B
S-B/A
POS AM
1
1
1
S-BMEF
POS462B
1
3
April 2003
Filing
Type
SB-1
Description
Optional form for the registration of securities to
be sold to the public by small business issuers:
Initial statement
Pre-effective amendments
Post-effective amendments
SB-1MEF A new registration statement filed under Rule
462(b) to add securities to a prior related
registration statement filed on Form SB-1.
Post-effective amendments
SB-2
Optional form for the registration of securities to
be sold to the public by small business issuers:
Initial statement
Pre-effective amendments
Post-effective amendments
SB-2MEF A new registration statement filed under Rule
462(b) to add securities to a prior related
registration statement filed on Form SB-2.
Post-effective amendments
POS462C Post-effective amendment to a registration
statement filed under Rule 462(c).
POS EX
Post-effective amendment filed solely to add
exhibits to a registration statement.
POS AM
Post-effective amendments to provide updated
prospectus information.
PROSPECTUSES FILED PURSUANT TO RULE 424
Filed pursuant to Rule 424(a).
Filed pursuant to Rule 424(b)(1).
Filed pursuant to Rule 424(b)(2).
Filed pursuant to Rule 424(b)(3).
Filed pursuant to Rule 424(b)(4).
Filed pursuant to Rule 424(b)(5).
Filed pursuant to Rule 424(b)(7).
FILINGS PURSUANT TO THE TRUST INDENTURE ACT
305B2
Initial statement
Pre-effective amendments
T-3
Application for qualification of trust indentures:
Initial statement
Pre-effective amendments
Submission
Type
Template
Number
SB-1
SB-1/A
POS AM
1
1
1
SB-1MEF
POS462B
1
3
SB-2
SB-2/A
POS AM
1
1
1
SB-2MEF
POS462B
1
3
POS462C
3
POS EX
3
POS AM
1
424A
424B1
424B2
424B3
424B4
424B5
424B7
3
3
3
3
3
3
3
305B2
305B2/A
3
3
T-3
T-3/A
1
1
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.
April 2003
A-7
Filer Manual Volume I
Filing
Type
T-6
Description
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:
Initial statement
Pre-effective amendments
FILINGS PURSUANT TO RULE 144
144
Report of proposed sale of securities:
Initial filing
Amendments
Submission
Type
Template
Number
T-6
T-6/A
1
1
144
144/A
2
2
MISCELLANEOUS FILINGS
DEL AM Delaying amendment.
DEL AM
3
UNDER
UNDER
3
UNDER/A
3
Voluntary supplemental material filed pursuant
to Section 11(a) of the Securities Act of 1933 by
foreign issuers
SUPPL
2
RW
Registration Withdrawal Request
RW
3
RW WD
Withdrawal of a Registration Withdrawal
Request
RW WD
1
AW
Amendment Withdrawal Request
AW
3
AW WD
Withdrawal of a Amendment Registration
Withdrawal Request
AW WD
1
425
Filing of certain prospectuses and
communications in connection with business
combination transactions.
425
2
F-X
Appointment of Agent for Service of Process
and Undertaking:
Initial statement
Amendments
Notification of the appointment of an agent for
service by certain foreign institutions
Initial statement
Amendments
F-X
F-X/A
2
2
F-N
F-N/A
2
2
Note: Form 144 may be filed electronically on a
voluntary basis if the issuer of the
securities is a public company.
SUPPL
F-N
Information pursuant to Item 4 of Form S-6.
Amendment to information pursuant to Item 4 of
Form S-6.
Filer Manual Volume I
A-8
April 2003
Special Processing of Certain Submission Types
Issuers are advised that the submission types listed below will receive a "Filing Date" identical to
the EDGAR "Received Date." This means that filings in the listed group, even if received after
5:30 p.m. (Eastern time) will be considered to be filed with the SEC on the actual day of receipt.
Unlike most EDGAR filings, they will not receive a filing date of the next business day if
received between 5:30 p.m. and 10:00 p.m. These submission types were necessitated by the rule
changes adopted by the Commission effective June 7, 1995, regarding prospectus delivery issues
arising from the T+3 initiative (Securities Act Release 33-7168).
The following submission types will receive a filing date identical to the EDGAR "Received
Date:"
F-1MEF
N-14MEF
S-1MEF
SB-1MEF
F-2MEF
N-2MEF
S-2MEF
SB-2MEF
F-3MEF
POS462B
S-3MEF
S-BMEF
F-4MEF
S-11MEF
S-4MEF
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.
April 2003
A-9
Filer Manual Volume I
TABLE 2. Securities Exchange Act - Proxy Materials and Information Statements Filed
Pursuant to Section 14 Submission types Accepted by EDGAR
Filing
Description
Type
PRELIMINARY PROXY SOLICITING MATERIALS
Preliminary proxy statements relating to merger
or acquisition
Preliminary proxy statements - contested
solicitations
Non-management preliminary proxy statements
not involving contested solicitations
All other preliminary proxy statements
PRELIMINARY INFORMATION STATEMENTS
Preliminary information statements relating to
merger or acquisition
Preliminary information statements -contested
solicitations
All other preliminary information statements
REVISED PRELIMINARY MATERIALS
Proxy soliciting materials
Non-management revised preliminary proxy
soliciting materials for both contested
solicitations and other situations.
Information statements
DEFINITIVE MATERIALS (PROXY MATERIALS)
Definitive proxy statement relating to merger or
acquisition
Definitive proxy statement in connection with
contested solicitations
Definitive proxy statement filed by nonmanagement not in connection with contested
solicitations
Revised definitive proxy statement filed by nonmanagement
Revised definitive proxy soliciting materials
Additional definitive proxy soliciting materials
and Rule 14(a)(12) material
Additional definitive proxy soliciting materials
filed by non-management and Rule 14(a)(12)
material
All other definitive proxy statements.
Notice of exempt solicitation
Notice of exempt solicitation pursuant to Rule
14a6(g).
Submission
Type
Template
Number
PREM14A
2
PREC14A
2
PREN14A
PRE 14A
2
2
PREM14C
2
PREC14C
PRE 14C
2
2
PRER14A
2
PRRN14A
PRER14C
2
2
DEFM14A
2
DEFC14A
2
DEFN14A
2
DFRN14A
DEFR14A
2
2
DEFA14A
2
DFAN14A
DEF 14A
PX14A6G
2
2
2
PX14A6N
2
DEFINITIVE MATERIALS (INFORMATION STATEMENTS)
Definitive information statement relating to
merger or acquisition
DEFM14C
Definitive information statement - contested
solicitations
DEFC14C
2
Filer Manual Volume I
A-10
2
April 2003
Filing
Type
April 2003
Description
All other definitive information statements
Additional information statement materials definitive
Revised information statement materials definitive
A-11
Submission
Type
DEF 14C
2
DEFA14C
2
DEFR14C
2
Template
Number
Filer Manual Volume I
Table 3. Securities Exchange Act - Registration and Report Submission types Accepted by
EDGAR
Filing
Description
Type
REGISTRATION STATEMENTS
8-A
Registration of certain classes of securities
pursuant to section 12(b) or (g)
Registration of securities pursuant to section
12(b)
Initial filing
Amendments
Registration of securities pursuant to section
12(g)
Initial filing
Amendments
10
General form for registration of securities
pursuant to section 12(b) or (g)
Registration of securities pursuant to section
12(b)
Initial filing
Amendments
Registration of securities pursuant to section
12(g)
Initial filing
Amendments
10-SB
Registration of securities for small business
issuers pursuant to section 12(b)
Initial filing
Amendments
Registration of securities for small business
pursuant to section 12(g)
Initial filing
Amendments
20-F
Registration of securities of foreign private
issuers pursuant to section 12(b) or (g)
Registration of securities pursuant to section
12(b)
Initial filing
Amendments
Registration of securities pursuant to section
12(g)
Initial filing
Amendments
40-F
Registration of a class of securities of certain
Canadian issuers pursuant to Section 12(b) of the
1934 Act:
Initial filing
Amendments
Filer Manual Volume I
A-12
Submission
Type
Template
Number
8-A12B
8-A12B/A
3
3
8-A12G
8-A12G/A
3
3
10-12B
10-12B/A
3
3
10-12G
10-12G/A
3
3
10SB12B
10SB12B/A
3
3
10SB12G
10SB12G/A
3
3
20FR12B
20FR12B/A
3
3
20FR12G
20FR12G/A
3
3
40FR12B
40FR12B/A
3
3
April 2003
Filing
Type
Description
Registration of a class of securities of certain
Canadian issuers pursuant to Section 12(g) of the
1934 Act:
Initial filing
Amendments
18
Registration of securities of foreign governments
or political subdivisions thereof pursuant to
section 12(b) or 12(g)
Registration of securities pursuant to section
12(b)
Initial filing
Amendments
Registration of securities pursuant to section
12(g)
Initial filing
Amendments
ANNUAL, QUARTERLY, AND PERIODIC REPORTS
ARS
Annual Report to Security Holders
Amendments
Submission
Type
Template
Number
40FR12G
40FR12G/A
3
3
18-12B
18-12B/A
3
3
18-12G
18-12G/A
3
3
ARS
ARS/A
3
3
6-K
6-K/A
3
3
10-Q
10-Q/A
3
3
10-QT
10-QT/A
3
3
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. See
Appendix C for proper tagging of Exhibit
13.
6-K
10-Q
April 2003
Report of foreign issuer pursuant to Rules 13a16 and 15d-16
Initial filing
Amendments
Quarterly report filed pursuant to sections 13 or
15(d)
Initial filing
Amendments
Transition reports pursuant to rule 13a-10 or
15d-10
Initial filing
Amendments
A-13
Filer Manual Volume I
Filing
Type
10-QSB
10-K
10KSB
8K
11-K
18-K
20-F
Description
Optional form for quarterly and transition reports
of small business issuers under
section 13 or 15(d)
Initial filing
Amendments
Annual report pursuant to section 13 and 15(d)
Initial filing
Amendments
Transition reports pursuant to rule 13a-10 or
15d-10
Initial filing
Amendments
Optional form for annual and transition reports
of small business issuers under section 13 or
15(d)
Initial filing
Amendments
Current report
Initial filing
Amendments
Notification of securities of successor issuers
deemed to registered pursuant to section 12
Initial filing
Amendments
Notification of assumption of duty to report by
successor issue under section 15(d)
Initial filing
Amendments
Notification that a class of securities of successor
issuer is deemed to be registered pursuant to
section 12(b):
Initial Filing
Amendments
Annual report of employee stock purchase,
savings and similar plans
Initial filing
Amendments
Transition report pursuant to rule 13a-10 or 15d10
Initial filing
Amendments
Annual report for foreign governments and
political subdivisions
Initial filing
Amendments
Annual and transition report of foreign private
issuers pursuant to sections 13 or 15(d)
Initial filing
Amendments
Filer Manual Volume I
A-14
Submission
Type
Template
Number
10QSB
10QSB/A
3
3
10-K
10-K/A
3
3
10-KT
10-KT/A
3
3
10KSB
10KSB/A
3
3
8-K
8-K/A
3
3
8-K12G3
8-K12G3/A
3
3
8-K15D5
8-K15D5/A
3
3
8-K12B
8-K12B/A
3
3
11-K
11-K/A
3
3
11-KT
11-KT/A
3
3
18-K
18-K/A
3
3
20-F
20-F/A
3
3
April 2003
Filing
Type
40-F
Description
Annual reports filed by certain Canadian issuers
pursuant to Section 15(d) and Rule 15d-4:
Initial filing
Amendments
12b-25
Notification of inability to timely file:
Form 10-Q or 10-QSB
Initial filing
Amendments
Form 10-K, 10-KSB, or 10-KT
Initial filing
Amendments
Form 11-K
Initial filing
Amendments
Special report pursuant to section 15d-2
Initial filing
Amendments
Form 20-F
Initial filing
Amendments
15
Certification of termination of registration of a
class of security under Section 12(g) or notice of
suspension of duty to file reports pursuant to
Section 13 and 15(d) of the Act
Section 12(b)
Initial Filing
Amendments
Section 12(g)
Initial Filing
Amendments
Section 13 and 15(d)
Initial Filing
Amendments
See Rule
Special Financial Report pursuant to Rule 15d-2
15d-2
Initial filing
Amendments
MISCELLANEOUS SUBMISSION TYPES/FILINGS
Form 13F Quarterly reports filed by institutional managers
13F Holdings Report
Initial filing
Amendments
13F Notice Report
Initial filing
Amendments
13F Combination Report
Initial filing
Amendments
April 2003
A-15
Submission
Type
Template
Number
40-F
40-F/A
3
3
NT 10-Q
NT 10-Q/A
3
3
NT 10-K
NT 10-K/A
3
3
NT 11-K
NT 11-K/A
3
3
NT 15D2
NT 15D2/A
3
3
NT 20-F
NT 20-F/A
3
3
15-12B
15-12B/A
3
3
15-12G
15-12G/A
3
3
15-15D
15-15D/A
3
3
SP 15D2
SP 15D2/A
3
3
13F-HR
13F-HR/A
3
3
13F-NT
13F-NT/A
3
3
13F-HR
13F-HR/A
3
3
Filer Manual Volume I
Filing
Type
Form RW
Form AW
Form 425
Form 25
Description
Request for Withdrawal of a registration
statement
Withdrawal of a registration withdrawal
statement
Amendment Withdrawal of an amendment to a
registration statement
Withdrawal of a amendment registration
withdrawal statement
Filing of certain prospectuses and
communications in connection with business
combination transactions.
Notification filed by National Securities
Exchange to report the removal from listing and
registration of matured, redeemed or retired
securities:
Initial Filing
Amendments
Filer Manual Volume I
A-16
Submission
Type
Template
Number
RW
3
RW WD
1
AW
3
AW WD
1
425
2
25
25/A
3
3
April 2003
TABLE 4. Williams Act Filing Submission Types Accepted by EDGAR
Filing
Type
Schedule
13D
n/a
Schedule
13E-3
Schedule
13E4F
Schedule
13G
Schedule
TO-I
Schedule
TO-T
Schedule
TO-C
Schedule
14D1F
Schedule
14D9-C
Schedule
14D9
Schedule
14D9F
n/a
April 2003
Description
General statement of acquisition of beneficial
ownership
Initial statement
Amendments
Statement of issuer required by Rule 13e-1
Initial statement
Amendments
Going private transaction by certain issuers
Initial statement
Amendments
Issuer tender offer statement filed pursuant to
Rule 13(e)(4) by foreign issuers:
Initial statement
Amendments
Statement of acquisition of beneficial ownership
by certain persons
Initial statement
Amendments
Tender offer statement by Issuer
Initial statement
Amendments
Tender offer statement by Third Party
Initial statement
Amendments
Written communication relating to an issuer or
third party
Tender offer statement pursuant to rule 14d-1(b)
under Securities Exchange Act of 1934:
Initial statement
Amendments
Written communication by the subject company
relating to a third party tender offer
Solicitation/recommendation statements
Initial statement
Amendments
Solicitation/recommendation statement pursuant
to Section 14(d)(4) of the Securities Exchange
Act of 1934 and Rules 14d-1(b) and 14e-2(c) by
foreign issuers:
Initial statement
Amendments
Statement regarding change in majority of
directors pursuant to Rule 14f-1
Initial statement
Amendments
A-17
Submission
Type
Template
Number
SC 13D
SC 13D/A
2
2
SC 13E1
SC 13E1/A
2
2
SC 13E3
SC 13E3/A
2
2
SC13E4F
SC13E4F/A
2
2
SC 13G
SC 13G/A
2
2
SC TO-I
SC TO-I/A
2
2
SC TO-T
SC TO-T/A
2
2
SC TO-C
2
SC14D1F
SC14D1F/A
2
2
SC14D9C
2
SC 14D9
SC 14D9/A
2
2
SC14D9F
SC14D9F/A
2
2
SC 14F1
SC 14F1/A
2
2
Filer Manual Volume I
Filing
Type
CB
Description
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
Initial statement
Amendments
Submission
Type
Template
Number
CB
CB/A
2
2
TABLE 5. Public Utility Holding Company Act Submission Types Accepted by EDGAR
Filing
Type
Form U-1
Form
U-13-1
Form
U-3A3-1
Form U7D
Rule U-R1
Rule 45B3
Rule
35-APP
Rule
35-CERT
Description
Application or declaration under the act
Initial filing
Pre-effective amendments
Post-effective amendments
Application for approval of mutual service
company filed pursuant to Rule 88
Initial filing
Amendments
Twelve-month statement by bank claiming
exemption from provisions of the act pursuant to
Rule 3
Initial statement
Amendments
Certificate concerning lease of a utility facility
filed pursuant to Rule 7(d)
Initial filing
Amendments
Declaration as to solicitations filed pursuant to
Rule 62
Initial filing
Amendments
Transitional statement concerning extensions of
credit filed pursuant to Rule 45(b)(3)
Initial statement
Amendments
Statement concerning proposed transaction for
which no form of application is prescribed filed
pursuant to Rule 20(e)
Initial statement
Amendments
Certificate concerning terms and conditions
filed pursuant to Rule 24
Initial filing
Amendments
Filer Manual Volume I
A-18
Submission
Type
Template
Number
U-1
U-1/A
POS AMC
3
3
3
U-13-1
U-13-1/A
3
3
U-3A3-1
U-3A3-1/A
3
3
U-7D
U-7D/A
2
2
U-R-1
U-R-1/A
3
3
45B-3
45B-3/A
2
2
35-APP
35-APP/A
3
3
35-CERT
35-CERT/A
3
3
April 2003
Filing
Type
Rule
U-13-60
Description
Annual report for mutual and subsidiary service
companies filed pursuant to Rule 94
Initial filing
Amendments
Form
Statement by holding company claiming
U-3A-2
exemption from provisions of the act pursuant to
Rule 2
Initial statement
Amendments
Form
Certificate of notification of security issue,
U-6B-2
renewal or guaranty filed pursuant to Rule 20(d)
Initial filing
Amendments
Form U5A Notification of registration filed under section
5(a) of the act
Initial filing
Amendments
Form U5B Registration statement filed under section 5 of
the act
Initial statement
Amendments
Form U5S Annual report for holding companies registered
pursuant to section 5 of the act
Initial filing
Amendments
Form
Quarterly report concerning energy and gasU-9C-3
related companies pursuant to Rule 58 of the Act
Initial filing
Amendments
Form
Statement pursuant to section 12(i) of the Act by
U-12-IA
person employed or retained by a registered
holding company or a subsidiary thereof
Initial statement
Amendments
Form
Three-year statement pursuant to section 12(i) of
U-12-IB
the Act by person regularly employed or retained
by a registered holding company or a subsidiary
thereof
Initial statement
Amendments
Form
Report by affiliate service companies or
U-13E-l
independent service companies filed pursuant to
Rule 95
Initial filing
Amendments
Form
Annual report Concerning Foreign Utility
U-33-S
Companies pursuant to Section 33(e) of the Act
Initial filing
Amendments
April 2003
A-19
Submission
Type
Template
Number
U-13-60
U-13-60/A
3
3
U-3A-2
U-3A-2/A
3
3
U-6B-2
U-6B-2/A
3
3
U5A
U5A/A
3
3
U5B
U5B/A
3
3
U5S
U5S/A
3
3
U-9C-3
U-9C-3/A
3
3
U-12-IA
U-12-IA/A
2
2
U-12-IB
U-12-IB/A
2
2
U-13E-l
U-13E-l/A
2
2
U-33-S
U-33-S/A
3
3
Filer Manual Volume I
Filing
Type
Form U57
Description
Notification of Foreign Utility Company Status
under Section 33(a)(2) of the Act
Initial filing
Amendments
Submission
Type
Template
Number
U-57
U-57/A
2
2
TABLE 6. Investment Company Submission types Accepted by EDGAR
Filing
Type
Forms S-1
& S-3
Description
Registration statement for face-amount
certificate companies
Initial statement (Form S-1)
Pre-effective amendments (Form S-1)
Initial statement (Form S-3)
Pre-effective amendments (Form S-3)
Post-effective amendments (Submission types S1 and S-3)
Definitive materials
Certification of no change in definitive materials
Forms N-1 Registration statement for open-end management
& N-1A
investment companies
Initial statement (Form N-1A)
Pre-effective amendments (Form N-1A)
Initial statement (Form N-1)
Pre-effective amendments (Form N-1)
Post-effective amendments
Filed pursuant to Rule 485(a)
Filed pursuant to Rule 485(b)
Filing submitted under the 1940 Act only
Filed pursuant to Rule 485(b)(1)(iii) to designate
a new effective date for a post-effective
amendment previously filed pursuant to Rule
485(a) (this filing cannot be submitted as a 1940
Act only filing)
Definitive materials
Certification of no change in definitive materials
Rule 498
Profiles for certain open-end management
investment companies
Filed pursuant to Rule 497(k)(1)(i)
Filed pursuant to Rule 497(k)(1)(ii)
Filed pursuant to Rule 497(k)(1)(iii)(A)
Filed pursuant to Rule 497(k)(1)(iii)(B)
Form N-2 Registration statement for closed-end investment
companies
Initial statement
Pre-effective amendments
Post-effective amendments
Filed under the 1940 Act only
Filer Manual Volume I
A-20
Submission
Type
Template
Number
S-1
S-1/A
S-3
S-3/A
1
1
1
1
POS AM
497
497J
3
3
3
N-1A
N-1A/A
N-1
N-1/A
1
1
1
1
485APOS
485BPOS
POS AMI
3
3
3
485BXT
497
497J
3
3
3
497K1
497K2
497K3A
497K3B
3
3
3
3
N-2
N-2/A
1
1
POS AMI
3
April 2003
Filing
Type
Description
Filed under the 1933 Act only or under both the
1933 and 1940 Acts pursuant to Section 8(c) of
the 1933 Act:
Pursuant to Rule 486(a)
Initial statement
Post-effective amendment
Pursuant to Rule 486(b)
Initial statement
Post-effective amendment
Definitive materials
Certification of no change in definitive materials
Registration pursuant to Securities Act Rule
462(b) of up to an additional 20% of securities
for an offering that was registered on Form N-2
Post-effective amendment to Securities Act Rule
462(b) registration statement
Post-effective amendment to Securities Act Rule
462(c) registration statement
Post-effective amendment filed pursuant to Rule
462(d) solely to add exhibits to a registration
statement.
Definitive materials
Filings made pursuant to Rule 497(h)(2)
Submission
Type
Template
Number
POS 8C
3
N-2
486APOS
1
3
N-2
486BPOS
497
497J
1
3
3
3
N-2MEF
1
POS462B
3
POS462C
3
POS EX
497
497H2
3
3
3
Special Processing of Certain Submission Types
Issuers are advised that the submission types listed below will receive a "Filing Date" identical to
the EDGAR "Received Date." This means the following submission types, even if received after
5:30 p.m. (Eastern time), will be considered as filed with the SEC on the actual day of receipt.
Unlike most EDGAR filings, they will not receive a filing date of the next business day if
received between 5:30 p.m. and 10:00 p.m. These submission types were necessitated by the rule
changes adopted by the Commission effective June 7, 1995, regarding prospectus delivery issues
arising from the T-3 initiative (Securities Act Release 33-7168).
The following submission types will receive a filing date identical to the EDGAR "Received
Date":
N-2MEF
N-14MEF
POS462B
Any fee payment made for the above registration statements should be paid to the Commission's
lockbox. Additionally, any fee payment certification that is being made for the above listed
submission types, pursuant to Rule 111(b), should be submitted using the "CORRESP" form.
April 2003
A-21
Filer Manual Volume I
TABLE 6. Investment Company Submission types Accepted by EDGAR (Continued)
Filing
Type
Form N-3
Form N-4
Description
Registration statement for separate accounts
(management investment companies)
Initial statement
Pre-effective amendments
Post-effective amendments
Filed pursuant to Rule 485(a)
Filed pursuant to Rule 485(b)
Filed pursuant to Rule 8b-16 of the 1940 Act (for
filings made under the 1940 Act only)
Filed pursuant to Rule 485(b)(1)(iii) to designate
a new effective date for a post-effective
amendment previously filed pursuant to Rule
485(a) (this filing cannot be submitted as a 1940
Act only filing)
Definitive materials
Certification of no change in definitive materials
Registration statement for separate accounts
(unit investment trusts)
Initial statement
Pre-effective amendments
Pre-effective pricing amendments filed pursuant
to Rule 487
Post-effective amendments
Filed pursuant to Rule 485(a)
Filed pursuant to Rule 485(b)
Filed pursuant to Rule 485(b)(1)(iii) to designate
a new effective date for a post-effective
amendment previously filed pursuant to Rule
485(a) (this filing cannot be submitted as a 1940
Act only filing)
Filed pursuant to Rule 8b-16 of the 1940 Act (for
filings made under the 1940 Act only)
Definitive materials
Certification of no change in definitive materials
Filer Manual Volume I
A-22
Submission
Type
Template
Number
N-3
N-3/A
1
1
485APOS
485BPOS
3
3
POS AMI
3
485BXT
497
497J
3
3
3
N-4
N-4/A
1
1
487
1
485APOS
485BPOS
3
3
485BXT
3
POS AMI
497
497J
3
3
3
April 2003
Filing
Type
Form N-6
Form S-6
April 2003
Description
Submission
Type
Template
Number
Registration statement for separate accounts
(unit investment trusts)
Initial statement
Pre-effective amendments
N-6
N-6/A
1
1
Pre-effective pricing amendments filed pursuant
to Rule 487
487
1
485APOS
485BPOS
3
3
485BXT
3
POS AMI
497
497J
3
3
3
S-6
S-6/A
1
1
487
1
UNDER
UNDER/A
3
3
485APOS
485BPOS
3
3
485BXT
497
497J
3
3
3
Post-effective amendments
Filed pursuant to Rule 485 (a)
Filed pursuant to Rule 485 (b)
Filed pursuant to Rule 485 (b) (1) (v) to
designate a new effective date for a posteffective amendment previously filed pursuant to
Rule 485 (a)
(This filing cannot be submitted as a 1940 Actonly filing)
Filed pursuant to Rule 8b-16 of the 1940 Act (for
filings made under the 1940 Act only)
Definitive materials
Certification of no change in definitive materials
Registration statement for unit investment trusts
Initial statement
Pre-effective amendments
Pre-effective pricing amendments filed pursuant
to Rule 487
Undertaking to file reports
Initial filing
Amendments
Post-effective amendments
Filed pursuant to Rule 485(a)
Filed pursuant to Rule 485(b)
Filed pursuant to Rule 485(b)(1)(iii) to designate
a new effective date for a post-effective
amendment previously filed pursuant to Rule
485(a)
(This filing cannot be submitted as a 1940 Act
only filing.)
Definitive materials
Certification of no change in definitive materials
A-23
Filer Manual Volume I
Filing
Type
Form N-5
Description
Submission
Type
Registration statement for small business
investment companies
Initial statement
N-5
Pre-effective amendments
N-5/A
Post-effective amendments (for filings made
under the1940 Act only)
POS AMI
Post-effective amendments filed by certain
investment companies pursuant to Section 8(c)
of the 1933 Act (this filing cannot be submitted
as a 1940 Act only filing)
POS 8C
Definitive materials
497
Certification of no change in definitive materials 497J
Form NRegistration statement for open-end investment
14
company (business combinations)
Initial statement
N-14
Pre-effective amendments
N-14/A
Initial statement with automatic effectiveness
under Rule 488
N-14AE
Pre-effective amendments
N-14AE/A
Post-effective amendments
Filed pursuant to Rule 485(a) (this filing cannot
be submitted as a 1940 Act only filing)
485APOS
Filed pursuant to Rule 485(b) (this filing cannot
be submitted as a 1940 Act only filing)
485BPOS
Registration statement for closed-end investment
company (business combinations)
Initial statement
N-14 8C
Pre-effective amendments
N-14 8C/A
Post-effective amendments
POS 8C
Definitive materials
497
Certification of no change in definitive materials 497J
Registration pursuant to Securities Act Rule
462(b) of up to an additional 20% of securities
for an offering that was registered on Form N-14 N-14MEF
Post-effective amendment to Securities Act Rule
462(b) registration statement
POS462B
Post-effective amendment to Securities Act Rule
462(c) registration statement
POS462C
Definitive materials
497
MISCELLANEOUS FILINGS UNDER THE SECURITIES ACT
Rule 425
Filing of certain prospectuses and
communications in connection with business
combination transactions
425
Rule 473
Filing of certain delaying amendments to
Securities Act registration statements
DEL AM
Filer Manual Volume I
A-24
Template
Number
1
1
3
3
3
3
1
1
1
1
3
3
1
1
3
3
3
1
3
3
3
2
3
April 2003
Filing
Type
Rule 477
Description
Submission
Type
Template
Number
Withdrawal of registration statement filed under
the Securities Act
RW
3
Withdrawal of registration statement withdrawal
request
RW WD
1
Withdrawal of amendment to registration
statement filed under the Securities Act
AW
3
Withdrawal of registration statement amendment
withdrawal request
AW WD
1
Rule 482
Filing by certain investment companies of Rule
482 advertising in accordance with Rule 497 and
the NOTE to Rule 482(c)
497AD
3
REGISTRATION OF SECURITIES BY CERTAIN INVESTMENT COMPANIES
PURSUANT TO RULE 24F-2.
Rule 24F- Rule 24F-2 notice
24F-2NT
1
2
Amendment to Rule 24F-2 notice
24F-2NT /A 1
OTHER COMPANY ACT REGISTRATION STATEMENTS
Form NNotification of registration under section 8(a)
8A
Initial filing
N-8A
2
Amendments
N-8A/A
2
Form
Registration statement for unit investment trusts
N-8B-2
Initial filing
N-8B-2
2
Amendments
N-8B-2/A
2
Form
Registration statement for periodic payment
N-8B-3
Plans
Initial
N-8B-3
2
Amendments
N-8B-3/A
2
Form
Registration statement for face-amount
N-8B-4
certificate companies
Initial
N-8B-4
2
Amendments
N-8B-4/A
2
SUBMISSION TYPES FOR BUSINESS DEVELOPMENT COMPANIES
Form NNotice of intent by business development
6F
companies electing to be subject to Sections 55
through 65 of the 1940 Act
Initial filing
N-6F
2
Amendments
N-6F/A
2
Form NNotification of election by business development
54A
companies
Initial filing
N-54A
2
Amendments
N-54A/A
2
Form NNotification of withdrawal by business
54C
development companies
N-54C
2
Amendments
N-54C/A
2
April 2003
A-25
Filer Manual Volume I
Filing
Description
Type
OTHER INVESTMENT COMPANY SUBMISSION TYPES
Rule 8bFiling by investment company of application
25(a)
requesting extension of time for filing certain
information, document or report.
Form
Certificate of accounting of securities and similar
17F-1
investments in the custody of management
investment companies filed pursuant to Rule
17f-1
Initial filing
Amendments
Form
Certificate of accounting of securities and similar
17F-2
investments in the custody of management
investment companies filed pursuant to Rule
17f-2
Initial filing
Amendments
Form NNotification of election pursuant to Rule 18f-1
18F-1
Initial filing
Amendments
Form NReports by closed-end investment companies of
23C-1
purchase of their own securities
Initial filing
Amendments
Rule
Notice by closed-end investment companies of
23c-2(b)
intention to call or redeem their own securities
Initial filing
Amendments
Form NNotification of periodic repurchase offer Filed
23C-3
pursuant to Rule 23c-3(b) only
Initial filing
Amendments
Filed pursuant to Rule 23c-3(c) only
Initial filing
Amendments
Filed pursuant to Rule 23c-3(b) and (c)
Initial filing
Amendments
Form NAccounting for segregated trust accounts
27D-1
Initial filing
Amendments
Filer Manual Volume I
A-26
Submission
Type
Template
Number
40-8B25
2
40-17F1
40-17F1/A
2
2
40-17F2
40-17F2/A
2
2
N-18F1
N-18F1/A
2
2
N-23C-1
N-23C-1/A
2
2
N-23C-2
N-23C-2/A
2
2
N-23C3A
N-23C3A/A
2
2
N-23C3B
N-23C3B/A
2
2
N-23C3C
N-23C3C/A
2
2
N-27D-1
N-27D-1/A
2
2
April 2003
Filing
Description
Submission
Type
Type
PERIODIC REPORTS FOR REGISTERED INVESTMENT COMPANIES
Form NSemi-annual report for management companies
NSAR-A
SAR
Amendments to semi-annual report
NSAR-A/A
Transitional semi-annual report
NSAR-AT
NSARAmendments to transitional semi-annual report
AT/A
Annual report for management companies
NSAR-B
Amendments to annual report
NSAR-B/A
Transitional annual report
NSAR-BT
NSARAmendments to transitional annual report
BT/A
Annual report for unit investment trusts
NSAR-U
Amendments to annual report for unit
investment trusts
NSAR-U/A
Form NCertified shareholder report of registered
CSR
management investment companies
N-CSR
Amendments
N-CSR/A
Rule 12b- Notification of inability to timely file Form
25
N-SAR
Initial Filing
NT-NSAR
Amendments
NT-NSAR/A
Rule
30b2-1
April 2003
Notification of inability to timely file Form NCSR
Initial filing
Amendments
Annual and semi-annual reports mailed to
shareholders pursuant to Rule 30e-1 (other than
those required to be submitted as part of Form
N-CSR)
Amendments
Periodic and interim reports mailed to
shareholders (other than annual and semi-annual
reports mailed to shareholders pursuant to Rule
30e-1)
A-27
Template
Number
3
3
3
3
3
3
3
3
3
3
3
3
3
3
NT-NCSR
NT-NCSR/A
3
3
N-30D
N-30D/A
3
3
N-30B-2
3
Filer Manual Volume I
Filing
Description
Submission
Template
Type
Type
Number
APPLICATION FOR DEREGISTRATION OF INVESTMENT COMPANIES
Form NApplication for deregistration
8F
Under paragraph (a) of Instruction 1 of Form N8F (Merger)
40-8F-M
2
Initial application
40-8F-M/A 2
Amendments
Under paragraph (b) of Instruction 1 of Form N8F (Liquidation)
40-8F-L
2
Initial application
Amendments
40-8F-L/A
2
Under paragraph (c) of Instruction 1 of Form N8F (Abandonment of Registration)
40-8F-A
2
Initial application
40-8F-A/A
2
Amendments
Under paragraph (d) of Instruction 1 of Form N8F (Business Development Company)
40-8F-B
2
Initial application
Amendments
40-8F-B/A
2
Rule 0-2
Application for deregistration
Pursuant to Rule 0-2
Initial application
40-8F-2
2
Amendments
40-8F-2/A
2
Filer Manual Volume I
A-28
April 2003
TABLE 7. Development Bank Submission Types Accepted by EDGAR
Filing
Type
QRTLYRPT
Description
Submission
Type
Template
Number
Submission
Type
CORRESP
Template
Number
4
Periodic Development Bank filing, submitted
quarterly:
Initial filing
QRTLYRPT
2
Amendments
QRTLYRPT/A 2
ANNLRPT
Periodic Development Bank filing, submitted
annually:
Initial filing
ANNLRPT
2
Amendments
ANNLRPT/A
2
DSTRBRPT Distribution of primary obligations
Development Bank report:
Initial filing
DSTRBRPT
2
Amendments
DSTRBRPT/A 2
Notes: (1) These submission types are to be filed ONLY by the Development Banks.
(2) BW-2 and BW-3 submission types have been rescinded; please use
QRTLYRPT, ANNLRPT, and DSTRBRPT Form Types.
TABLE 8. Correspondence Submission Types
Filing
Type
Correspondence
April 2003
Description
A correspondence can be sent as a
document with another submission type
or can be sent as a separate submission.
Correspondence is not publicly
disseminated.
A-29
Filer Manual Volume I
Filer Manual Volume I
A-30
April 2003
APPENDIX B
A. EDGAR Submission Templates
B.1
Introduction
This appendix lists all electronic submission types supported by the SEC and EDGAR. See
Appendix A for more information about EDGAR electronic submission types. A submission
type may be downloaded as part of a submission types template. You can click on the
appropriate template in order to download that template. Each template supports various
submission types with similar data field requirements. This appendix identifies the EDGAR
templates you must use in order to obtain the submission type you need. Currently there are six
templates that support the entire set of electronic submission types.
B.2
How This Appendix is Organized
Data fields are categorized by the following codes:
Code:
1
2
3
4
5
Status:
Required
Required when applicable
At least one required (from a group of four options)
Optional
Required and to be only used for confirming copies (i.e., for electronic submissions
which are copies of official filings made in paper under a hardship exemption)
These category numbers are represented in bold and placed before each data field listed for each
particular submission type in this Appendix.
B.2.1 Data Fields Required for all Submission Types
You must enter appropriate data in the following data fields in all submission types:
TYPE
SROS
FILER
CIK
CCC
[VALUE]
[VALUE]
[VALUE]
[VALUE]
You should mark the CONFIRMING-COPY field only if you want to submit an electronic copy
of an official filing that you previously made in paper pursuant to a hardship exemption.
You are required to enter data in the SROS field except where noted in the examples shown in
this appendix. Although the SROS field is generally required, note that "None" is an allowable
value. See Appendix C for a complete listing of allowable SROS values.
April 2003
A-1
Filer Manual Volume I
B.2.1.1
Submission Types Found in Template 1
24F-2NT
F-1
F-10EF
F-2/A
F-3
F-3MEF
F-4EF
F-6 POS
F-7 POS
F-8/A
F-9
N-1
N-14 8C/A
N-14MEF
N-2/A
N-4
N-6
S-1
S-11MEF
S-20
S-3/A
S-4
S-4EF/A
S-8
S-BMEF
SB-2
T-3/A
Filer Manual Volume I
24F-2NT/A
F-1/A
F-10POS
F-2D
F-3/A
F-4
F-4EF/A
F-6/A
F-7/A
F-80
F-9 POS
N-1/A
N-14/A
N-1A
N-2MEF
N-4/A
N-6/A
S-1/A
S-1MEF
S-20/A
S-3D
S-4 POS
S-4MEF
S-8 POS
SB-1
SB-2/A
T-6
487
F-10
F-1MEF
F-2DPOS
F-3D
F-4 POS
F-4MEF
F-6EF
F-8
F-80/A
F-9/A
N-14
N-14AE
N-1A/A
N-3
N-5
POS AM
S-11
S-2
S-2MEF
S-3DPOS
S-4/A
S-6
S-B
SB-1/A
SB-2MEF
T-6/A
A-2
AW WD
F-10/A
F-2
F-2MEF
F-3DPOS
F-4/A
F-6
F-7
F-8 POS
F-80POS
F-9EF
N-14 8C
N-14AE/A
N-2
N-3/A
N-5/A
RW WD
S-11/A
S-2/A
S-3
S-3MEF
S-4EF
S-6/A
S-B/A
SB-1MEF
T-3
April 2003
Examples of Template 1 Submission Types Main Page Information
Example 1
Submission Types
N-1
N-1A
N-3
N-4
N-6
Code
1
1
4
4
4
1
1
1
5
2
1
2
April 2003
Data Fields
TYPE
SROS
SUBMISSION-CONTACT
NAME
PHONE
FILER
CIK
CCC
FILE-NUMBER
DELAYING-AMENDMENT
ACT
REFERENCES-429
Value
Format
N-1A
NONE
N-1A
Up to 4 characters
A. Jones
202-555-1111
Up to 30 characters
Up to 20 characters
123456
x21234@1
333-00000
Up to 10 digits
8 characters
Up to 17 characters
33 40
33-00000
2 digits for each Act specified
Up to 17 characters
A-3
Filer Manual Volume I
Examples of Template 1 Submission Types Main Page Information
Example 2
Submission Types
F-6EF
T-3
Code
1
1
4
4
4
1
1
1
5
4
Data Fields
TYPE
SROS
SUBMISSION-CONTACT
NAME
PHONE
FILER
CIK
CCC
FILE-NUMBER
EFFECTIVENESS-DATE
Filer Manual Volume I
Value
Format
F-6EF
AMEX
F-6EF
Up to 4 characters
A. Jones
202-555-1111
Up to 30 characters
Up to 20 characters
123456
x21234@1
000-00000
12/12/1996
Up to 10 digits
8 characters
Up to 17 characters
Up to 20 characters
A-4
April 2003
B.2.1.2
Submission Types Found in Template 2
144
40-17F2
40-8F-2/A
40-8F-B/A
40-8F-M/A
ANNLRPT
CB
DEFA14A
DEFM14A
DEFR14C
DSTRBRPT/A
F-X/A
N-23C-1/A
N-23C3A/A
N-23C3C/A
N-54A/A
N-6F/A
N-8B-2/A
N-8B-4/A
PREC14C
PRER14A
PX14A6N
SC 13D/A
SC 13E3/A
SC 13G/A
SC 14D9/A
SC 14F1
SC TO-I/A
U-12-IA
U-13E-1
U-7D
144/A
40-17F2/A
40-8F-A
40-8F-L
425
ANNLRPT/A
CB/A
DEFA14C
DEFM14C
DFAN14A
F-N
N-18F1
N-23C-2
N-23C3B
N-27D-1
N-54C
N-8A
N-8B-3
PRE 14A
PREM14A
PRER14C
QRTLYRPT
SC 13E1
SC13E4F
SC14D1F
SC14D9C
SC 14F1/A
SC TO-T
U-12-IA/A
U-13E-1/A
U-7D/A
40-17F1
40-8B25
40-8F-A/A
40-8F-L/A
45B-3
BW-2*
DEF 14A
DEFC14A
DEFN14A
DFRN14A
F-N/A
N-18F1/A
N-23C-2/A
N-23C3B/A
N-27D-1/A
N-54C/A
N-8A/A
N-8B-3/A
PRE 14C
PREM14C
PRRN14A
QRTLYRPT/A
SC 13E1/A
SC13E4F/A
SC14D1F/A
SC14D9F
SC TO-C
SC TO-T/A
U-12-IB
U-57
40-17F1/A
40-8F-2
40-8F-B
40-8F-M
45B-3/A
BW-3*
DEF 14C
DEFC14C
DEFR14A
DSTRBRPT
F-X
N-23C-1
N-23C3A
N-23C3C
N-54A
N-6F
N-8B-2
N-8B-4
PREC14A
PREN14A
PX14A6G
SC 13D
SC 13E3
SC 13G
SC 14D9
SC14D9F/A
SC TO-I
SUPPL
U-12-IB/A
U-57/A
* These form types are being rescinded; please use QRTLYRPT, ANNLRPT, and DSTRBRPT
Form Types.
April 2003
A-5
Filer Manual Volume I
Examples of Template 2 Submission Types Main Page Information
Example 1
Submission Types
U-13E-1
U-13E-1/A
Code
Data Fields
Value
Format
1
1
4
4
4
1
1
1
1
1
TYPE
SROS
SUBMISSION-CONTACT
NAME
PHONE
FILER
CIK
CCC
SUBJECT-COMPANY
NAME
U- 13E1/A
AMEX
See List Above
Up to 4 characters
A. Jones
202-555-1111
Up to 30 characters
Up to 20 characters
123456
x21234@1
Up to 10 digits
8 characters
Up to 60 characters
1
1
5
CIK
IRS-NUMBER
FILE-NUMBER
ABC
COMPANY
654321
22-7777777
333-00000
Filer Manual Volume I
A-6
Up to 10 digits
9 digits + hyphen
Up to 17 characters
April 2003
Examples of Template 2 Submission Types Page 1 Information
Example 2
Submission Types
SC TO-I
SC TO-I/A
SC TO-T
SC TO-T/A
Code
1
1
4
4
4
1
1
1
1
1
1
1
5
2
April 2003
Data Fields
TYPE
SROS
SUBMISSION-CONTACT
NAME
PHONE
FILER
CIK
CCC
SUBJECT-COMPANY
NAME
CIK
IRS-NUMBER
FILE-NUMBER
GROUP-MEMBERS
Value
Format
SC TO-T
AMEX
See List Above
Up to 4 characters
A. Jones
202-555-1111
Up to 30 characters
Up to 20 characters
123456
x21234@1
Up to 10 digits
8 characters
ABC COMPANY
654321
22-7777777
000-00000
Up to 60 characters
Up to 10 digits
9 digits + hyphen
Up to 17 characters
Up to 60 characters
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Filer Manual Volume I
B.2.1.3
Submission Types Found in Template 3
10-12B
10-K
10-KT
10QSB
10SB12B
11-K
13F-HR
15-12B
15-15D
18-12G
20-F
20FR12G
305B2
35-CERT
40FR12B
424A
424B4
485BPOS
497
497K1
6-K
8-A12G
8-K12B
8-K15D5
AW
N-30D/A
NSAR-A/A
NSAR-B/A
NSAR-U/A
NT 10-Q/A
NT 15D2/A
NT-NCSR/A
POS AMC
POS462C
U-1
U-13-60
U-3A-2
U5A
U5S
U-9C-3
U-R-1
Filer Manual Volume I
10-12B/A
10-K/A
10-KT/A
10QSB/A
10SB12B/A
11-K/A
13F-HR/A
15-12B/A
15-15D/A
18-12G/A
20-F/A
20FR12G/A
305B2/A
35-CERT/A
40FR12B/A
424B1
424B5
485BXT
497AD
497K2
6-K/A
8-A12G/A
8-K12B/A
8-K15D5/A
DEL AM
N-CSR
NSAR-AT
NSAR-BT
NT 10-K
NT 11-K
NT 20-F
NT-NSAR
POS AMI
RW
U-1/A
U-13-60/A
U-3A-2/A
U5A/A
U5S/A
U-9C-3/A
U-R-1/A
10-12G
10KSB
10-Q
10-QT
10SB12G
11-KT
13F-NT
15-12G
18-12B
18-K
20FR12B
25
35-APP
40-F
40FR12G
424B2
424B7
486APOS
497H2
497K3A
8-A12B
8-K
8-K12G3
ARS
N-30B-2
N-CSR/A
NSAR-AT/A
NSAR-BT/A
NT 10-K/A
NT 11-K/A
NT 20-F/A
NT-NSAR/A
POS EX
SP 15D2
U-13-1
U-33-S
U-3A3-1
U5B
U-6B-2
UNDER
A-8
10-12G/A
10KSB/A
10-Q/A
10-QT/A
10SB12G/A
11-KT/A
13F-NT/A
15-12G/A
18-12B/A
18-K/A
20FR12B/A
25/A
35-APP/A
40-F/A
40FR12G/A
424B3
485APOS
486BPOS
497J
497K3B
8-A12B/A
8-K/A
8-K12G3/A
ARS/A
N-30D
NSAR-A
NSAR-B
NSAR-U
NT 10-Q
NT 15D2
NT-NCSR
POS 8C
POS462B
SP 15D2/A
U-13-1/A
U-33-S/A
U-3A3-1/A
U5B/A
U-6B-2/A
UNDER/A
April 2003
Examples of Template 3 Submission Types Main Page Information
Example 1
Submission Types
10-12B
10-12G
10SB12B
10SB12G
18-12B
18-12G
20FR12B
35-APP
8-A12B
8-A12G
U-1
U-13-1
U-3A3-1
U-3A3-1/A
Code
1
1
4
4
4
1
1
1
5
April 2003
Data Fields
TYPE
SROS
SUBMISSION-CONTACT
NAME
PHONE
FILER
CIK
CCC
FILE-NUMBER
Value
Format
8-A12B
AMEX
See List Above
Up to 4 characters
A. Jones
202-555-1111
Up to 30 characters
Up to 20 characters
123456
x21234@1
000-00000
Up to 10 digits
8 characters
Up to 17 characters
A-9
Filer Manual Volume I
Examples of Template 3 Submission Types Main Page Information
Example 2
Submission Types
10-KT
10-KT/A
10-QT
10-QT/A
11-KT
11-KT/A
Code
1
1
4
4
4
1
1
1
1
1
Data Fields
TYPE
SROS
SUBMISSION-CONTACT
NAME
PHONE
FILER
CIK
CCC
FILE-NUMBER
PERIOD
Filer Manual Volume I
Value
Format
10-KT
AMEX
See List Above
Up to 4 characters
A. Jones
202-555-1111
Up to 30 characters
Up to 20 characters
123456
x21234@1
333-00000
12/12/1996
Up to 10 digits
8 characters
Up to 17 characters
Up to 20 characters
See Chapter 3, for format.
A-10
April 2003
B.2.1.4 Example of Template 4 Submission Types Page 1 Information
Example 1
Submission Types
CORRESP
Code
1
4
4
4
1
1
1
April 2003
Data Fields
TYPE
SUBMISSION-CONTACT
NAME
PHONE
FILER
CIK
CCC
Value
Format
CORRESP
See List Above
A. Jones
202-555-1111
Up to 30 characters
Up to 20 characters
1234567890
x21234@1
Up to 10 digits
8 characters
A-11
Filer Manual Volume I
B.2.1.5 Example of Template 5 Submission Types Page 1 Information
Example 1
Submission Types
MODULE
SEGMENT
Code
1
4
4
4
1
1
1
Data Fields
TYPE
SUBMISSION-CONTACT
NAME
PHONE
FILER
CIK
CCC
Filer Manual Volume I
Value
Format
Module
See List Above
A. Jones
202-555-1111
Up to 30 characters
Up to 20 characters
1234567890
x21234@1
Up to 10 digits
8 characters
A-12
April 2003
B.2.1.6 Template 6 BULK Submission Type Main Page Information
Bulk submissions are prepared regular submission types (Templates 1-5) that are grouped
together for ease of transmission. Once transmission is completed, the submissions are separated
and processed in the same way as single submissions.
After accessing the Bulk Submission Template, step through the dialogue boxes to add the
desired submissions to the template. The template displays the names of all added filenames and
the document count. A field is also provided for additional description information (if desired)
for each submission. Once added, items in the template can be viewed and or deleted from the
template. After completion, the Bulk Submission Template can be transmitted in the same way
as single submissions.
For more information on Bulk submissions see Chapter 5.
April 2003
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Filer Manual Volume I
B.2.1.7 Submission Template Attached Documents List Page Information
The Attached Documents List page allows ASCII text, HTML, or PDF documents to be attached,
deleted, and viewed within the submission template.
On the Attached Documents List page there are five fields:
File Name
Type
Description
Validation?
Document
Count*
Document's filename automatically appears when a document is enclosed.
Choose the document type: Cover, Correspondence, Graphic, EU-1, and EX.
Enter a brief description up to thirty (30) characters in length.
When you select this box, EDGARLink validates the document after the [Doc
Validation] button is clicked.
Automatically displays the number of documents attached to your submission.
There are six EDGARLink page buttons that bring up the corresponding page:
•
•
•
•
•
•
[Main Page]
[Notifications]
[Fee Offsets]**
[Module/Segment]
[Help]
[Offerings/Fees]**
There are six subdocument buttons:
•
•
•
•
•
•
[Add Document]
[Delete Document]
[View Document]
[Move Doc Down]
[Move Doc Up]
[Doc Validation]
There is also the Save icon that saves your entire submission.
For more information on submission documents, see Chapter 5.
*Read-only information is automatically entered.
**Available for fee bearing submissions only.
Filer Manual Volume I
A-14
April 2003
B.2.1.8 Submission Template Notification Page Information
Modernized EDGARLink allows you to notify as many people as necessary of the status of your
EDGAR submission. For information on changing your main notification address or
downloading a Requested Return Copy, see Chapter 6.
Note: To download a complete copy of your filing you must select Return Copy on the Main
Page of the Submission Template.
The Notification Information page has one field:
Internet Notification
Address
The [Add] button
Notify via Filing
website Only?
Enter the Internet e-mail addresses in the standard Internet format.
Inserts additional e-mail address lines. Do not try to enter more than
one e-mail address in the Internet Notification Address field.
Keeps EDGAR from e-mailing your submission status to anyone, and
notification will be available through the EDGAR Filing website only.
There are six EDGARLink page buttons that bring up the corresponding page:
•
•
•
•
•
•
[Main Page]
[Documents]
[Fee Offsets]**
[Module/Segment]
[Help]
[Offerings/Fees]**
There is also the Save icon that saves your entire submission.
For more information on notification, see Chapter 5.
**Available for fee bearing submissions only.
April 2003
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Filer Manual Volume I
B.2.1.9 Submission Template Attach Module/Segment Page Information
The Referenced Module/Segment List page is only used for referencing Type 2 modules or
segments that have already been created, validated, and transmitted to EDGAR. There are five
fields on this page:
M/S
Module/Segment
Name
CIK
CCC
Type
[Add Module/
Segment Reference]
Select M for module or S for segment.
Enter the correct module or segment name.
Enter the CIK of the filer whose module you are using.
Enter the CCC of the filer whose module you are using.
Select the type of Type 2 module/segment you are attaching.
Adds more module or segment lines.
There are six EDGARLink page buttons that bring up the corresponding page:
•
•
•
•
•
•
[Main Page]
[Documents]
[Fee Offsets]**
[Notifications]
[Help]
[Offerings/Fees]**
There is also the Save icon that saves your entire submission.
If the referenced module or segment does not exist on EDGAR your submission will be
suspended.
For more information on modules and segments, see Chapter 5.
**Available for fee bearing submissions only.
Filer Manual Volume I
A-16
April 2003
B.2.1.9 Submission Template Attach Fee Offsets Page Information
The Attach Fee Offsets page is used for entering previously filed fee bearing submission
information and offset fee amounts. There are six fields on this page:
CIK
Form Type
File Number
Offset Filing Date
Amount
Fee Offset Total*
[Add Fee Offset Line]
Enter the CIK of the filer whose module you are using.
Enter the form type of the previous filing.
Enter the file number of the previous filing.
Enter the filing date of the previous filing.
Enter the amount applicable to the current submission.
Enter the total amount of all previous filings.
Inserts additional fee offset lines.
There are six EDGARLink page buttons that bring up the corresponding page:
•
•
•
•
•
•
[Main Page]
[Documents]
[Notifications]
[Module/Segment]
[Help]
[Offerings/Fees]**
There is also the Save icon that saves your entire submission.
*Read-only information is automatically entered by EDGARLink.
**Available for fee bearing submissions only.
April 2003
A-17
Filer Manual Volume I
B.2.1.9 Submission Template Attach Fee and Offering Page Information
The Attach Fee and Offering page allows you to enter the submission offering data and uses the
latest SEC rate information downloaded from the Filing website.
Payor CIK
Payor CCC
Payment Method
Fee Paid
Total offering*
Fee rate as of*
Total fee*
Total offset from Fee
Offset Page*
Fee due*
Security Type
Amount Being
Registered
Proposed maximum
offering price per unit
Proposed maximum
aggregate offering
price
[Add Offering Entry]
Third party paying CIK.
Third party paying CCC.
Method of fee payment: Fedwire/Lockbox.
Amount paid.
Total submission offering.
SEC fee rate.
Total fee amount due.
Offset total amount from the Fee Offset page.
Total fee amount due.
Type of security being offered.
Total number of units being registered.
Maximum amount to pay per unit.
Maximum amount of total offering.
Adds additional offering lines.
There are six EDGARLink page buttons that bring up the corresponding page:
•
•
•
•
•
•
[Main Page]
[Documents]
[Notifications]
[Module/Segment]
[Help]
[Fee Offsets]**
There is also the Save icon button that saves your entire submission.
*Read-only information is automatically entered.
**Available for fee bearing submissions only.
Filer Manual Volume I
A-18
April 2003
APPENDIX C
A. Acceptable Values for Certain EDGAR Data Fields
Values for some EDGAR data fields must be presented in a specific "conformed" format. Those
values are listed within this appendix.
DOCUMENT COUNT
Although this field is read-only and EDGARLink automatically fills in this field, there are
limitations on its value. Please use the following guideline when adding a document to a filing.
(See section on DOCUMENT TYPE for further limitations.)
A submission may include a maximum of 612 documents in the following combinations:
•
•
•
•
•
At least one (1) primary submission document*
Up to ten (10) cover letters (document type "COVER")
Up to one hundred (100) correspondence documents (document type
"CORRESP")
Up to five hundred (500) exhibits/graphics files (document type "EX-__")**
One (1) EU-1
* The primary document must include the primary filing; exhibits must be
included in separate exhibit documents appropriately labeled.
** For appropriate labels for exhibits, please see pages C-5 through C-10 and/or
in accordance with rule or form requirements.
ITEMS
The following numbers are used as values for the ITEMS data field to represent the items
described below. The ITEMS data field is acceptable only with the various 8-K submissions.
Note: When more than one item is included, please select Multiple Items data fields.
DESCRIPTION
VALUE
Changes in control of registrant
1
Acquisition or disposition of assets
2
Bankruptcy or receivership
3
Changes in registrant's certifying accountant
4
Other events
5
April 2003
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Filer Manual Volume I
Resignations of registrant's directors
6
Financial statements and exhibits
7
Change in fiscal year
8
Regulation FD Disclosure
9
METHOD
FEE PAYMENT METHOD -- Values acceptable with the METHOD data field.
LOCKBOX
FEDWIRE
SROS
SELF-REGULATORY ORGANIZATIONS -- Values acceptable with the SROS data field.
ORGANIZATION
VALUE
American Stock Exchange
AMEX
Boston Stock Exchange
BSE
Cincinnati Stock Exchange
CSE
Chicago Board Options Exchange
CBOE
Chicago Stock Exchange
CHX
International Stock Exchange
ISE
National Association of Securities Dealers
NASD
New York Stock Exchange
NYSE
Pacific Exchange, Inc.
PCX
Philadelphia Stock Exchange
PHLX
Not Applicable
NONE
TYPE
SUBMISSION AND/OR DOCUMENT TYPES -- Values acceptable with the TYPE data field.
1. The following SUBMISSION TYPE data field values are acceptable:
DESCRIPTION
Filer Manual Volume I
VALUE
A-2
April 2003
EDGAR name of required
submission
(All submission types listed in
Appendix A/B)
Correspondence Submission
(Template 4)
CORRESP
Modular Submission (Template 5)
MODULE
Segment Submission (Template 5)
SEGMENT
2. The following DOCUMENT TYPE data field values are acceptable:
DESCRIPTION
VALUE
Cover letter
COVER
Correspondence document
CORRESP
NASAA document
EU-1
Type 1 Module or Segment document
TYPE 1
Name of submission type you must
file
(All submission types listed in
Appendix A/B)
Exhibits under Regulations S-K
Document headers for Exhibits
should be based on the following
descriptions. For examples of
Investment Company Exhibits, see
pages C-7 through C-10.
Underwriting agreement
EX-1
Plan of acquisition, regarding
organization, arrangement,
liquidation, or succession
EX-2
Articles of Incorporation
EX-3.(i)
By-laws
EX-3.(ii)
Instruments defining the rights of
security holders, including indentures
EX-4
Opinion regarding legality
EX-5
Opinion regarding discount on capital
shares
EX-6
Opinion regarding liquidation
preference
EX-7
April 2003
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Filer Manual Volume I
DESCRIPTION
VALUE
Opinion regarding tax matters
EX-8
Voting trust agreement
EX-9
Material contracts
EX-10
Statement regarding computation of
per-share earnings
EX-11
Statement regarding computation of
ratios
EX-12
Annual report to security holders,
Form 10-Q or quarterly report to
security holders
EX-13
Material foreign patents
EX-14
Letter regarding unaudited interim
financial information
EX-15
Letter regarding change of certifying
accountant
EX-16
Letter regarding director resignation
EX-17
Letter regarding change in accounting
principles
EX-18
Report furnished to security holders
EX-19
Other documents or statements to
security holders
EX-20
Subsidiaries of the registrant
EX-21
Published report regarding matters
submitted to vote of security holders
EX-22
Consents of experts and counsel
EX-23
Power of attorney
EX-24
Statement of eligibility of trustee
(You can amend an EX-25 by
submitting an amended registration
statement and the document type EX25/A)
EX-25
Invitations for competitive bids
EX-26
Filer Manual Volume I
A-4
April 2003
DESCRIPTION
VALUE
Information from reports furnished to
state insurance regulatory authorities
EX-28
Additional exhibits (to be used for
EX-99
exhibits not specifically designated by
another number and by investment
companies)
Other exhibit selections are as follows:
Examples of Document Type Values for Investment Company Exhibits for Certain Forms:
Form N-1A EXHIBITS ITEM 23
EX-99.a CHARTER
EX-99.b BYLAWS
EX-99.c HOLDERS RTS
EX-99.d ADVSR CONTR
EX-99.e UNDR CONTR
EX-99.f BONUS PROFIT
EX-99.g CUST AGREEMT
EX-99.h OTH MAT CONT*
EX-99.i LEGAL OPININ
EX-99.j OTHER OPININ*
EX-99.k OMT FIN STAT
EX-99.l INT CAP AGRE
EX-99.m 12B-1 PLAN
EX-99.n 18F-3 PLAN
EX-99.p CODE ETH
FORM N-14 EXHIBITS ITEM 16
EX-99.1 CHARTER
EX-99.2 BYLAWS
EX-99.3 VOTING TRUST
EX-99.4 ACQ AGREEMNT
EX-99.5 HOLDERS RTS
EX-99.6 ADVSER CONTR
EX-99.7 DISTR CONTR
EX-99.8 O&D BENEFTS
EX-99.9 CUST CONTRCT
EX-99.10 12B1 PLAN
EX-99.11 OPIN COUNSL
EX-99.12 TAX OPINION*
EX-99.12 REV RULING*
EX-99.13 OTH CONTRCT*
EX-99.14 OTH CONSENT*
EX-99.15 OTH FIN ST
EX-99.16 PWR OF ATTY
EX-99.17 (as approp)
Form N-2 EXHIBITS ITEM 24(2)
Form N-6 EXHIBITS ITEM 27
EX-99.2A CHARTER
Ex-99.a BD-DIR-RESOL
EX-99.2B BYLAWS
EX-99.b CUST-AGRMETS
EX-99.2C VOTING TRST
EX-99.c UNDER CONTRT
EX-99.2D HOLDERS RTS
EX-99.d CONTRACTS
EX-99.2E DIV REIN PL
EX-99.e APPLICATIONS
EX-99.2F SUBSID DEBT
EX-99.f DEP CERT/BYL
EX-99.2G ADVSR CONTR
EX-99.g REINS CONTRT
EX-99.2H DISTR CONTR
EX-99.h PARTIC AGREE
EX-99.2I O&D BENEFTS
EX-99.i ADMIN CONTRT
EX-99.2J CUST CONTR
EX-99.j OTH MAT CONT
EX-99.2K OTH CONTRCT*
EX-99.k LEGAL OPININ
EX-99.2L OPIN COUNSL
EX-99.l ACTUARIAL OP
EX-99.2M CNSNT SRVCE
EX-99.m CALCULATION
EX-99.2N OTH CONSENT*
EX-99.n OTH OPINIONS
EX-99.2O OTH FIN ST
EX-99.o OMITD FIN ST
EX-99.2P STOCK LTR
EX-99.p INIT CAP AGR
EX-99.2Q RETRMT PLAN
EX-99.q REDEEM EXEMP
EX-99.2R CODE ETH
*
Name of exhibit may vary depending on the specific content of the exhibit.
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Note: You may include up to fourteen characters after the decimal point in the document type
value.
Examples of Document Type Values for Investment Company Exhibits For Filings Made
on Forms N-8B-2 and S-6:
FORM N-8b-2
PAR
A EX-99.A1 INDNTR ORGN
EX-99.A2 INDNTR PMT
EX-99.A3A DIST CONTR
EX-99.A3B DEALER AGR
EX-99.A3C SCH COMMIS
EX-99.A4 OTHER AGRMT
EX-99.A5 FORM/SECRTY
EX-99.A6 CERT/BYLAWS
EX-99.A7 INSR POLICY
EX-99.A8 DEPOSIT AGR
EX-99.A9 OTHER CONTR
EX-99.A10 PERIODC PP
EX-99.A11 CODE ETH
B EX-99.B1 NOTIC/SHLDR
EX-99.B2 ANRPT/SHLDR
C
Dealer's name & address
FORM S-6
INSTR
1
EX-99.A1 INDNTR ORGN
EX-99.A2 INDNTR PMT
EX-99.A3A DIST CONTR
EX-99.A3B DEALER AGR
EX-99.A3C SCH COMMIS
EX-99.A4 OTHER AGRMT
EX-99.A5 FORM/SECRTY
EX-99.A6 CERT/BYLAWS
EX-99.A7 INSR POLICY
EX-99.A8 DEPOSIT AGR
EX-99.A9 OTHER CONTR
EX-99.A10 PERIODC PP
2
EX-99.2 OPIN COUNSEL
3
EX-99.3 OTHER FIN ST
4
EX-99.4 UNREG ISSUER
OTHER
Notes: (1)
(2)
Consents required by Instruction 4 of S-6
(as applicable):
EX-99.C1 ACCT CONSNT
EX-99.C2 EVAL CONSNT
EX-99.C3 RTG AGY OPN
EX-99.C4 TAX OPINION
EX-99.C5 REV RULING
EX-99.C6 OTHER OPIN
The content of this exhibit shall be supplied separately as confidential information
pursuant to rule 45a-1 (in paper format).
You may include up to fourteen characters after the decimal point in the document
type value.
Examples of Document Type Values for Investment Company Exhibits Filed with Form NSAR:
ITEM 77
B
C
D
E
F
G
H
I
EX-99.77B ACCT LTTR
EX-99.77C VOTES
EX-99.77D POLICIES
EX-99.77E LEGAL
EX-99.77F CHNG DEBT
EX-99.77G DEFAULTS
EX-99.77H CHNG CNTRL
EX-99.77I NEW SECUR
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J
K
L
M
N
O
P
Q1
Q2
EX-99.77J REVALUATN
EX-99.77K CHNG ACCNT
EX-99.77L NEW ACCTNG
EX-99.77M MERGERS
EX-99.77N RULE 2A-7
EX-99.77O RULE 10F-3
EX-99.77P EXMPT INFO
EX-99.77Q1 OTHR EXHB
EX-99.77Q2 ITEM 405
Examples of Document Type Values for Exhibits Filed with Form N-CSR:
EX-99.CERT
EX-99.CODE ETH
Notes:
(1)
(2)
(3)
(4)
(5)
You may include up to fourteen characters after the decimal point in the document
type value.
When using the values EX-1 through EX-99, you may add characters after a
decimal point to further define the exhibit being submitted.
For example: EX-10.24 Supply contracts
You may not attach exhibits to document types CORRESP, modules, or segments.
The number and types of documents you can submit are limited. Please see the
DOCUMENT COUNT data field for more information.
A correspondence filing may include up to 100 correspondence documents.
RELATIONSHIP
The following values are valid for the RELATIONSHIP data field to represent the terms
described below. The RELATIONSHIP data field is acceptable only with the 144 submission
types (and amendments to these submissions) used for reporting stock ownership.
DESCRIPTION
VALUE
Owner of more than 10% of Subject
Company
Owner
Director of Subject Company
Director
Officer of Subject Company
Officer
None of the above
Other
PERIOD
You CAN use a future date in the PERIOD data field within the following submission types:
6-K
6-K/A
8-K
8-K/A
DEF 14A
DEF 14C
DEFN14A
N-23C-2
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N-23C-2/A
N-23C3A
N-23C3A/A
N-23C3B
N-23C3B/A
N-23C3C
N-23C3C/A
PREM14C
PRE 14A
PRE 14C
PREM14A
PREN14A
You CANNOT use a future date in the PERIOD field within the following submission types:
10-K
10-K/A
10KSB
10KSB/A
10-KT
10-KT/A
10-Q
10-Q/A
10QSB
10QSB/A
10-QT
10-QT/A
11-K
11-K/A
11-KT
11-KT/A
13F-HR
13F-HR/A
13F-NT
13F-NT/A
18-K
18-K/A
20-F
20-F/A
24F-2NT
24F-2NT/A
40-F
40-F/A
8-K12B
8-K12B/A
8-K12G3
8-K12G3/A
8-K15D5
8-K15D5/A
ANNLRPT
ANNLRPT/A
ARS
ARS/A
BW-2
N-23C-1
N-23C-1/A
N-27D-1
N-27D-1/A
N-30B-2
N-30D
N-30D/A
N-CSR
N-CSR/A
NSAR-A
NSAR-A/A
NSAR-AT
NSAR-AT/A
NSAR-B
NSAR-B/A
NSAR-BT
NSAR-BT/A
NSAR-U
NSAR-U/A
NT 10-K
NT 10-K/A
NT 10-Q
NT 10-Q/A
NT 11-K
NT 11-K/A
NT 15D2
NT 15D2/A
NT 20-F
NT 20-F/A
NT-NCSR
NT-NCSR/A
NT-NSAR
NT-NSAR/A
QRTLYRPT
QRTLYRPT/A
SP 15D2
SP 15D2/A
U-13-60
U-13-60/A
U-33-S
U-33-S/A
U-3A-2
U-3A-2/A
U5S
U5S/A
U-7D
U-7D/A
U-9C-3
U-9C-3/A
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APPENDIX D
A. Messages Reported by EDGAR
D.1
Introduction
EDGAR generates and sends either acceptance or suspense messages to you after your
submission has been received. Either type of message may contain notices of discrepancies or
inconsistencies in the submission. Those notices are reported as warnings or errors. Errors cause
a submission to be suspended, but warnings do not.
After EDGAR generates a suspense message, you must correct and/or resubmit the submission
before we can accept it.
Notes:
(1)
In some cases, EDGAR may replace an unrecognizable character in your
submission with a circumflex (^).
(2)
Some discrepancies may generate either a warning or an error message depending
upon the tag or value involved.
(3)
If you use the submission or document validation option to check a filing before
submitting it to us, you will receive the same similar messages as those received
from EDGAR.
(4)
For EDGARLink/Windows, the term “tag” actually means “field”.
This Appendix contains the following:
•
•
•
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Examples of acceptance and suspense messages.
Examples of errors and warnings reported in acceptance and suspense messages,
and the accompanying messages that are generated.
An alphabetical listing of error/warning messages, with explanations and
suggested solutions.
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D.2
Example of Acceptance Message for Official Filings Returned via the Internet:
FROM:
EDGAR POSTMASTER [EDGARPOST1]
TO:
jsmith@xyz.com
DATE:
14-JAN-1999 15:00:10 EST
SUBJECT: ACCEPTED FORM TYPE 10-K
(1010101010-99-010051)
MSG ID:
97349-56392
THE FOLLOWING SUBMISSION HAS BEEN ACCEPTED BY THE U.S. SECURITIES AND EXCHANGE
COMMISSION:
COMPANY: MUNICIPAL INVESTMENTS TAX EXEMPT FUND
FORM TYPE:
10-K
NUMBER OF DOCUMENTS: 3
RECEIVED DATE: 14-JAN-1999 13:18 ACCEPTED DATE: 14-JAN-1999 13:30
FILING DATE:
14-JAN-1999 13:18
TEST FILING: NO
CONFIRMING COPY: NO
ACCESSION NUMBER: 1010101010-99-010051
FILE NUMBER(S):
1. 33-89023
THE PASSWORD FOR LOGIN CIK 1010101010 WILL EXPIRE 31-DEC-1999
PLEASE REFER TO THE ACCESSION NUMBER LISTED ABOVE FOR FUTURE INQUIRIES.
REGISTRANT(S):
1. CIK:
1010101010
COMPANY:
MUNICIPAL INVESTMENTS TAX EXEMPT FUND
FORM TYPE:
10-K
FILE NUMBER(S):
1. 33-89023
THE SUBMISSION CONTAINED THE FOLLOWING WARNINGS:
WRN:
WARNING - TAG_VALUE_MISSING_OR_INVALID
MSG:
Value for <FISCAL-YEAR-END> is missing or invalid
(BADVALUE).
LOC:
LINE NUMBER: 0
LINE OFFSET:0
FILE OFFSET:0
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D.3
Example of Suspense Message:
FROM:
EDGAR POSTMASTER [EDGARPOST1]
TO:
TESTER01
DATE:
16-JAN-1999 14:45 EST
SUBJECT: SUSPENDED FORM TYPE 485APOS
(0000123789-99-006521)
MSG ID:
13359-36894
THE FOLLOWING SUBMISSION HAS BEEN SUSPENDED BY THE U.S. SECURITIES AND
EXCHANGE COMMISSION:
COMPANY: MUNICIPAL FUND INVESTMENTS
FORM TYPE: 485APOS
NUMBER OF DOCUMENTS: 1
RECEIVED DATE:16-JAN-1999 10:18 SUSPENDED DATE: 16-JAN-1999 14:00
TEST FILING: NO
CONFIRMING COPY: NO
ACCESSION NUMBER: 0000123789-99-006521
FILE NUMBER(S):
1. 2-92893
THE PASSWORD FOR LOGIN CIK 0000123567 WILL EXPIRE 01-FEB-1999 00:00.
THIS SUBMISSION MUST BE RE-TRANSMITTED IN ITS ENTIRETY.
ERR:
MSG:
REF:
LOC:
INVALID_CHARACTER
Invalid ASCII code, value (156) at location specified.
(The message that appears here represents the text of the filing and
approximately five lines prior to the error and the error itself. This
will show you where the error is in context and will make it easier to
find the invalid character. The error will be repeated but, in the
case of invalid ASCII codes, may not be printable.)
LINE NUMBER: 450 LINE OFFSET: 29 FILE OFFSET: 27000
WRN:
MSG:
LOC:
WARNING - UNRECOGNIZED TAG
<DOC-COUNT> tag is not recognized by EDGAR
LINE NUMBER: 3 LINE OFFSET:0 FILE OFFSET:28
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D.4
Explanation of Error Messages
EDGAR will list each error in the order in which it was encountered in processing. Some error
conditions may generate more than one error.
You will receive an error message, via the Internet address you have provided, in the following
format:
ERR:
MSG:
DUPLICATE_FILER
(This is EDGAR’s internal error message name for the error condition.)
FILER_CIK (VALUE) IS DUPLICATED
(This message describes the error.)
Note: If the same error occurs repeatedly in a filing, not all of the errors will be reported. For
example, if the filing has exceeded the reporting limit for the number of invalid characters in a
filing, only the first 10 occurrences will be reported.
LOC:
This portion of the message helps you identify the line number associated with
the error. The position of the error (character count) helps you move directly to
the error location so that you may easily repair the error.
For example, the LOC section of the error message could be:
LINE NUMBER:
30
This Appendix lists the Error Message names in alphabetical order.
The "ERR" or "WRN" and "MSG" sections of an error-check message are repeated in the List of
Errors. We have included the following two additional information categories in this list:
DESCRIPTION
OF ERROR:
SOLUTION:
This is a more detailed description of the problem that caused the error and
may explain why the filing was not accepted.
This section of the message makes some suggestions for correcting the error.
Note: Some error messages can be used for more than one tag field or error. In each error
message that can apply to multiple tags, the term <tag> or field is used. The error
message, which is in EDGARLink and received from the Internet indicates the actual tag
which caused the error.
An example of an error message that could be used for more than one tag could be:
ERR:
REQUIRED_TAG_MISSING
MSG:
Required <CIK> tag is missing.
When you find "REQUIRED_TAG_MISSING" in the List of Errors, the message reads:
MSG:
Required <value> tag is missing.
Since many tags are required for acceptance, not every possible message is listed here. The
EDGARLink or Internet message specifies exactly which required tag is missing.
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Similarly, a tag’s value may be noted in the error message received from the Internet or
EDGARLink. In the listing of errors in the manual, however, the message will have the tag value
in parentheses (value). The Internet error message will show the actual value that was inserted.
For example, if the correct CIK is 0000456789 and you entered 0000466789 after the <CIK> tag,
the error message will read:
ERR:
MSG:
INCONSISTENT_TAG_VALUE
<CCC> value is inconsistent with <CIK> (0000466789).
For the previous error, the message in this appendix will be:
MSG:
<TAG> value is inconsistent <CIK> (value).
Although EDGARLink and EDGAR have been designed to find as many errors as possible,
certain types of submission errors will halt processing so that subsequent errors cannot be
detected. For example, when the system does not recognize a submission type, the filing
requirements cannot be checked. Under such conditions, you will receive the message, "May
contain other errors."
D.5
List of Errors and Warnings
Note: Errors [ERR] will cause a filing to be suspended; warnings [WRN] will not.
WRN:
ACCEPT_WITH_ERROR
MSG:
Previous error(s) ignored for continued processing. Submission has been
accepted with the listed errors.
DESCRIPTION This warning is associated with our processing of the filing.
OF WARNING:
SOLUTION:
This warning will not cause suspension of your submission. No action is
required.
ERR:
ACC_NO_FILE_NUM_WITH_CORRECT_PREFIX
MSG:
CIK (value) has no previous file number with a prefix of (value).
DESCRIPTION
OF ERROR:
The filing is being blocked because the filer does not have a previous filing
with a file number with the reported prefix.
SOLUTION:
Correct the filing and resubmit.
ERR:
ACTIVE_CONTENT_NOT_ALLOWED
MSG:
Active content found within HTML document (DOCUMENT_TYPE):
(value).
DESCRIPTION
OF ERROR:
A script, or other active content, was embedded in an HTML document that
was attached to the EDGAR filing.
SOLUTION:
Remove any scripts from HTML document(s) before submitting the filing to
EDGAR.
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ERR:
BEGIN_TAG_MISSING
MSG:
In (value): the (value) end tag has no corresponding begin tag.
DESCRIPTION
OF ERROR:
Your submission document has a beginning tag missing, i.e., <MODULE> or
<HTML>.
SOLUTION:
Insert the missing tag, re-enclose the document, and retransmit your
submission.
ERR:
CANNOT_VALIDATE_DOCUMENT
MSG:
Document (value) has a (value) of (value), so it will not be validated.
DESCRIPTION
OF ERROR:
Your submission document cannot be validated because it is a graphic.
SOLUTION:
Turn off the Validation check box in EDGARLink and retransmit your
submission.
ERR:
CIK_FILE_NUMBER_MISMATCH
MSG:
File Number (value) provided for CIK (value) does not belong to that CIK.
DESCRIPTION
OF ERROR:
A provided file number is not associated with the correct filer.
SOLUTION:
Correct the filing and resubmit.
ERR:
CIK_IRS_NUMBER_MISMATCH
MSG:
IRS Number (value) provided for CIK (value) is incorrect.
DESCRIPTION
OF ERROR:
The IRS Number specified for the filer is incorrect.
SOLUTION:
Correct the filing and resubmit.
ERR:
CIK_REF_429_MISMATCH
MSG:
Ref429 File Number (value) provided for CIK (value) does not belong to that
CIK.
DESCRIPTION
OF ERROR:
A Reference429 file number is not associated with the correct filer.
SOLUTION:
Correct the filing and resubmit.
ERR:
CIK_REF_462B_MISMATCH
MSG:
Ref462B File Number (value) provided for CIK (value) does not belong to
that CIK.
DESCRIPTION
OF ERROR:
A Reference462B file number is not associated with the correct filer.
SOLUTION:
Correct the filing and resubmit.
ERR:
DOC_NAME_TYPE_MISMATCH
MSG:
Document (value) cannot have a type of (value).
DESCRIPTION
OF ERROR:
One of the documents in your submission has a missing file name type,
incorrect extension, invalid Type 1 module or segment, or incorrect file type.
SOLUTION:
Correct the submission document and retransmit.
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WRN:
DOCUMENT_DELETED
MSG:
The PDF document (value) was removed from the submission since it
contains invalid content.
DESCRIPTION The unofficial PDF document contains an invalid tag and was removed from
OF WARNING: the submission.
SOLUTION:
The submission will not be suspended if this is the only error.
ERR:
DUPLICATE_FILING
MSG:
Duplicate filing.
DESCRIPTION
OF ERROR:
You have submitted a duplicate filing. This error may require our intervention
for proper resolution.
SOLUTION:
Verify period of report and make correction, if necessary. If you accidentally
submitted a duplicate filing that was suspended, no further action is needed.
EDGAR will delete a suspended submission after six (6) business days. If
necessary, contact us for help with resolving this problem. If you believe your
filing is not a duplicate, call your subject matter division, Corporation
Finance, or Investment Management.
WRN:
DUPLICATE_MODSEG_REFERENCE
MSG:
In (value): the reference to the (value) named (value) is specified more than
once.
DESCRIPTION
OF ERROR:
Your submission references the same module or segment twice.
SOLUTION:
Correct the Type 2 module or segment document reference and retransmit
your submission.
ERR:
DUPLICATE_MODULE_NAME
MSG:
Attempt to re-use module name (value).
DESCRIPTION
OF ERROR:
You attempted to Add, Delete, or Replace the module more than once in a
single submission, or attempted to add a module that already exists.
SOLUTION:
Either rename a module that you wish to add or, if this is a second attempt to
add or replace a module, check with Filer Support to verify if the module has
already been received, replaced, or added. If so, no further action is required.
ERR:
DUPLICATE_MODULE_RESOLUTION
MSG:
Type 2 MODULE reference (value) is to a file named (value). Another
document, module, or segment in this submission has this same file name.
DESCRIPTION
OF ERROR:
A module submission has the same name as another submission document.
SOLUTION:
Rename the module file and retransmit.
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ERR:
DUPLICATE_SEGMENT_NAME
MSG:
You attempted to re-use a segment name (value).
DESCRIPTION
OF ERROR:
You attempted to use duplicate segment names. This error can occur because:
there are duplicate segment names within one segment submission; you
attempted to use a segment name defined in a previous submission.
Note:
Segment names expire upon use or after six (6) days from entry date.
SOLUTION:
Define a unique segment name and re-submit.
ERR:
DUPLICATE_SEGMENT_RESOLUTION
MSG:
Type 2 Segment reference (value) is to a file named (value). Another
document or module in this submission has this same file name.
DESCRIPTION
OF ERROR:
A segment submission has the same name as another submission document.
SOLUTION:
Rename the segment file and retransmit.
ERR:
DUPLICATE_TAG_VALUE
MSG:
(Value) tag is duplicated.
DESCRIPTION
OF ERROR:
The same tag value occurs more than once in the list of tag values. For
example, an SRO value of "AMEX" is provided twice.
SOLUTION:
Remove the duplicate tag value.
ERR:
DUPLICATE_XFDL_DATA_NODE
MSG:
Improperly constructed XFDL submission file. The file has multiple MIME
data nodes for document (value).
DESCRIPTION
OF ERROR:
There are duplicated documents in your submission.
SOLUTION:
Remove the duplicated document and retransmit your submission.
ERR:
EDGARLINK_DOCUMENT_ERROR
MSG:
The document (value) contains (value) error(s).
DESCRIPTION
OF ERROR:
Your submission contains errors.
SOLUTION:
Open the template that was submitted and view the attached documents. Fix
errors, save and reattach document to submission, and revalidate.
ERR or WRN:
EMPTY_DOCUMENT
MSG:
Document (value) in Submission of type (value) is empty.
DESCRIPTION
The document indicated contains only white space.
SOLUTION:
Open the template that was submitted and view the attached documents.
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ERR:
END_TAG_MISSING
MSG:
In (value): the (value) begin tag has no corresponding end tag.
DESCRIPTION
OF ERROR:
Your submission document has an end tag missing, i.e., </MODULE> or
</HTML>.
SOLUTION:
Insert the missing tag, re-enclose the document, and retransmit your
submission.
ERR:
FEE_DATA_ANALYSIS
MSG:
This filing has a fee data error.
DESCRIPTION
OF ERROR:
An analyst is suspending this submission from the A&R Workstation due to
invalid fee data.
SOLUTION:
N/A.
ERR:
FEE_DUE_AND_PAID_MISMATCH
MSG:
Amount of fee being paid (value) is less than the amount of fee owed (value).
DESCRIPTION
OF ERROR:
Your account does not have enough money to cover the fee bearing
submission.
SOLUTION:
Check with Mellon Bank and deposit the missing amount. If the fee is offset,
check your calculations and retransmit your submission.
ERR:
FILE_NUM_PREFIX_ALREADY_USED
MSG:
CIK (value) already has a file number with a prefix of (value).
DESCRIPTION
OF ERROR:
The filing is being BLOCKED because the filer has previously submitted a
filing that received a file number with the reported prefix.
SOLUTION:
Correct the filing and resubmit.
ERR:
ILLEGAL_LINK_TO_PRIVATE_DOCUMENT
MSG:
In (value): contains an illegal link to the private document (value).
DESCRIPTION
OF ERROR:
You have a Private document that has a link from a Public HTML document.
All link references from within an HTML document must match the
designated Filenames of the referenced documents. Private documents may
not be linked. Any link within an HTML document that does not meet this
standard will cause EDGAR to issue this error.
SOLUTION:
Please name all of your attached documents that are referenced by links within
an HTML document. Do not link to Private documents. You must use only
SEC-approved Filenames for your referenced documents
ERR:
ILLEGAL_MODSEG_REFERENCE
MSG:
In (value) Submission Type (value) does not support the inclusion of a Type 1
(value) reference within an ASCII document. This document references a
(value) named (value).
DESCRIPTION
OF ERROR:
Your submission references a module or segment that doesn't exist, or the
module or segment name doesn't conform.
SOLUTION:
Verify module or segment on EDGAR. Correct the reference and retransmit
the master module or segment.
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ERR:
INCONSISTENT_TAG_VALUE
MSG:
The (value) is inconsistent with (value) (value).
DESCRIPTION
OF ERROR:
Either the CIK or the CCC is invalid.
SOLUTION:
Check your records and correct the inconsistent value.
ERR:
INSUFFICIENT_FEE_FUNDS
MSG:
This filing has insufficient fee funds.
DESCRIPTION
OF ERROR:
You sent insufficient fee funds.
SOLUTION:
Check the amount required. If necessary, send additional funds, or contact
Filer Support if your calculations do not agree with ours. Once the problem is
fixed, re-submit the filing.
WRN:
INSUFFICIENT_FEE_FUNDS
MSG:
This filing has insufficient fee funds. No funds have been debited from the
specified account.
DESCRIPTION
OF ERROR:
This fee bearing filing does not have the correct funds.
SOLUTION:
Check the last fee deposit within 24 hours of transmission.
ERR:
INVALID_ACCOUNT
MSG:
This filing has an invalid fee account number.
DESCRIPTION
OF ERROR:
An analyst is suspending this submission from the A&R Workstation due to
an invalid account number.
SOLUTION:
N/A.
ERR:
INVALID_ASCII_TAG
MSG:
In (value): found an invalid ASCII tag (value).
DESCRIPTION
OF ERROR:
Your submission document contains invalid ASCII characters.
SOLUTION:
Remove the invalid character, re-enclose, and retransmit your submission.
ERR:
INVALID_CHARACTER
MSG:
In (value): found an invalid ASCII code (value).
DESCRIPTION
OF ERROR:
Your submission contains an invalid ASCII character.
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SOLUTION:
If you receive many messages regarding invalid characters, you may have
submitted a word processing document that you did not first convert to ASCII
or HTML. In this case, convert the filing to ASCII or HTML and submit the
ASCII or HTML version. If you receive such messages after having
submitted an ASCII or HTML graphic version of the filing, your word
processing software may have made an incomplete translation to ASCII or
HTML. You must remove the additional codes individually. The software's
"search and replace" feature may help you to locate errors. If you receive only
a few such messages, remove the invalid character(s) individually and resubmit the filing. If you cannot "see" the error, it may be a code that cannot be
displayed on your PC screen. You may be able to correct the filing by deleting
and inserting a space at the location indicated. If you receive only a few such
messages and correction of this document would represent an unreasonable
burden, call Filer Support to explore whether replacement of the invalid
characters with a circumflex (^) destroys the readability of the document.
ERR:
INVALID_DIGITAL_SIGNATURE
MSG:
Submission (value) contains invalid Digital Signature.
DESCRIPTION
OF ERROR:
Submission contains invalid Digital Signature.
SOLUTION:
Check to make sure you are using the correct, up-to-date signature file.
ERR:
INVALID_EFFECTIVENESS_DATE
MSG:
Effectiveness Date (value) is out of range. It must fall between (value) and
(value), inclusive.
DESCRIPTION
OF ERROR:
The filing is SUSPENDED because the specified Effectiveness Date is out of
range. The valid format for this tag value can be one of the following: mm-ddyyyy, mm/dd/yyyy, mm dd yyyy, dd mmm yy, mmm dd yy.
Note:
Two digit year values (yy) may be substituted for the four digit year values
(yyyy).
SOLUTION:
Correct the filing and resubmit.
ERR:
INVALID_EXTERNAL_REFERENCE
MSG:
In (value): improper external reference (value).
DESCRIPTION
OF ERROR:
An invalid external reference was embedded in an HTML document that was
attached to your EDGAR filing. You may only reference documents that are
also contained within your submission or you may reference a previouslysubmitted filing on the http://www.sec.gov/Archives website. Module and
Segment documents cannot contain HTML external (graphic) references.
Also, attached documents cannot have duplicate names.
SOLUTION:
Remove or correct any external graphic references from the HTML
document(s) before submitting your filing to EDGAR.
April 2003
A-11
Filer Manual Volume I
WRN:
INVALID_FDS_DOCUMENT
MSG:
Financial Data Schedule (value) could not be processed and was excluded
from the submission.
DESCRIPTION The EDGAR system no longer accepts EX-27 Financial Data Schedule
OF WARNING: documents. When received, such a document is removed from the submission.
SOLUTION:
Do not attempt to submit EX-27 FDS documents.
ERR:
INVALID_FEE_ACCOUNT_NUMBER
MSG:
This filing has an invalid fee account number.
DESCRIPTION
OF ERROR:
An analyst is blocking this submission from the A&R Workstation due to an
invalid account number.
SOLUTION:
N/A.
ERR:
INVALID_FEE_DATA
MSG:
The waiver amount is greater than the fee due.
DESCRIPTION
OF ERROR:
Fee data is incomplete. This error may occur as a result of other errors.
SOLUTION:
Correct all errors and resubmit.
ERR:
INVALID_FEE_DATA
MSG:
This filing has invalid fee data.
DESCRIPTION
OF ERROR:
An analyst is suspending this submission from the A&R Workstation due to
invalid fee data.
SOLUTION:
N/A.
ERR:
INVALID_FEE_OFFERING_DATA
MSG:
This filing has invalid fee offering data.
DESCRIPTION
OF ERROR:
An analyst is suspending this submission from the A&R Workstation due to
invalid offering data.
SOLUTION:
N/A.
ERR:
INVALID_FILE_NUM_PREFIX
MSG:
The File Number (value) provided for CIK (value) does not have a valid
prefix of (value).
DESCRIPTION
OF ERROR:
Only a certain set of file number prefixes are valid for the submission. The file
number provided for the specified filer does not have one of these valid
suffixes.
SOLUTION:
Correct the filing and resubmit.
Filer Manual Volume I
A-12
April 2003
ERR:
INVALID_HTML_TAG
MSG:
An invalid HTML tag was found within the HTML document
(DOCUMENT_TYPE): (VALUE).
DESCRIPTION
OF ERROR:
All tags within an HTML document must conform to the HTML 3.2 tag
subset that is acceptable by EDGAR. Any tag within an HTML document that
does not conform to this standard will cause EDGAR to issue this error.
SOLUTION:
Within an HTML document, you must use only the SEC-approved set of
HTML 3.2 tags.
ERR:
INVALID_NESTED_TAG
MSG:
In (value): the (value) tag must be nested inside a (value) tag nest.
DESCRIPTION
OF ERROR:
Your submission document contains nested tags that are not structured
correctly, i.e., Type 1 Module nested tags.
SOLUTION:
Correct the nested tag structure, re-enclose the document, and retransmit your
submission.
ERR:
INVALID_OFFERING_AMOUNT
MSG:
Total offering amount of (value) is invalid. Must be greater than zero.
DESCRIPTION
OF ERROR:
The offering amount is invalid.
SOLUTION:
Correct the offering data and resubmit.
ERR:
INVALID_OFFERING_DATA
MSG:
This filing has invalid fee offering data.
DESCRIPTION
OF ERROR:
An analyst is suspending this submission from the A&R Workstation due to
invalid offering data.
SOLUTION:
N/A.
ERR:
INVALID_OFFSET_DATA
MSG:
This filing has invalid fee offset data.
DESCRIPTION
OF ERROR:
To specify an offset, the filer must provide a CIK, File Number, Form Type,
and Offset Filing Date. If any of these are missing or invalid, EDGAR cannot
query the database for an offset amount. Also, if the query can be made but
no offset matches the criteria, EDGAR will generate this error.
SOLUTION:
Correct the offset data and resubmit.
ERR:
INVALID_PDF_TAG
MSG:
In (value): found an invalid PDF tag (value).
DESCRIPTION
OF ERROR:
No PDF tags that support active content, external references, or scripts are
allowed in unofficial PDF attachments. EDGAR will remove the unofficial
document from the filing before dissemination.
SOLUTION:
Remove the non-supported tags and associated content.
April 2003
A-13
Filer Manual Volume I
ERR:
INVALID_REF_462B_PREFIX
MSG:
Ref462B File Number (value) does not have a valid prefix of (value).
DESCRIPTION
OF ERROR:
A provided Reference 462B file number has an invalid prefix.
SOLUTION:
Correct the filing and resubmit.
ERR:
INVALID_REPORTING_FILE_NUMBER
MSG:
The Reporting File Number (value) for CIK (value) does not have a valid
prefix of (value).
DESCRIPTION
OF ERROR:
The filing is being BLOCKED because the assignment of file numbers
depends on the filer having a Reporting File Number with an appropriate
prefix.
SOLUTION:
Contact us if you require additional information needed to resolve this
problem.
ERR:
INVALID_SUBJ_COMP_FILE_NUMBER
MSG:
The provided File Number (value) for Subject Company (value) does not
match the File Number (value) of the company's latest S-4 filing.
DESCRIPTION
OF ERROR:
The provided File Number (value) for Subject Company (value) does not
match the File Number (value) of the company's latest S-4 filing.
SOLUTION:
Correct the filing and resubmit.
ERR:
INVALID_SUBMISSION_TYPE
MSG:
Receipt Server does not process XFDL submission of type: (value).
DESCRIPTION
OF ERROR:
This error is generated for an unrecognized form type.
SOLUTION:
Check the form type you submitted to ensure it was correct.
WRN:
INVALID_TAG
MSG:
(Value) tag is not valid for this submission type.
DESCRIPTION The submission file has a data value in a field (XFDL tag) that is not valid for
OF WARNING: the submission type.
SOLUTION:
The submission will not be suspended for this. To correct this, the filer needs
to delete the field that is not valid for the submission type.
Filer Manual Volume I
A-14
April 2003
ERR:
INVALID_UNOFFICIAL_PDF
MSG:
An unofficial PDF document (value) must follow an official ASCII or HTML
version associated with an official document.
DESCRIPTION
OF ERROR:
A PDF document is considered unofficial and may only be included as a
supplemental, duplicate attachment of another document within the filing. An
official ASCII or HTML version of the document must precede the PDF
version within the filing. A PDF document cannot be submitted without an
official ASCII or HTML version accompanying it.
SOLUTION:
You must include an official ASCII version of the document in the submitted
filing and attach it before the unofficial PDF version.
WRN:
LATE_SUBMISSION
MSG:
EDGAR did not receive the Submission (value) on-time. Accordingly, the
extension of time allowed by Rule 12b-25 is not available. The Submission
(value) has been accepted but re-classified as (value).
DESCRIPTION
OF ERROR:
The filing is of type NT 15D2, NT 10-K, NT 11-K, NT 10-Q, NT 20-F, or NT
NSAR. You must file each of these filing types within a certain time period
based on an associated registration statement's effectiveness date, fiscal year
end, quarter end, or reporting period. If you file late, the filing type will be reclassified as NTN15D2, NTN 10K, NTN 10Q, NTN 11K, NTN 20F, or
NTFNSAR as appropriate.
SOLUTION:
No action is required.
ERR:
MISSING_FILE_NUMBER
MSG:
No File Number provided for CIK (value).
DESCRIPTION
OF ERROR:
A mandatory File Number value was not provided.
SOLUTION:
Correct the filing and resubmit.
ERR:
MISSING_REQUIRED_FEE_DATA
MSG:
This filing has missing required fee data.
DESCRIPTION
OF ERROR:
Data on which the fee is calculated is incomplete.
SOLUTION:
Verify that all required information is present. This error message usually
occurs with other error messages. Correct all errors and resubmit.
ERR:
MISSING_XFDL_MIME_DOCUMENT
MSG:
Improperly constructed XFDL submission file. The document (value) does not
have a data node containing the MIME document.
DESCRIPTION
OF ERROR:
Your submission is missing the enclosed submission document.
SOLUTION:
Attach document and retransmit submission.
April 2003
A-15
Filer Manual Volume I
ERR:
MODULE_CCC_INVALID
MSG:
(Value) is inconsistent with (value) (value).
DESCRIPTION
OF ERROR:
The referenced module has an invalid CIK/CCC combination.
SOLUTION:
Correct the CIK/CCC combination for the module reference and retransmit
the submission.
ERR:
MODULE_CCC_INVALID
MSG:
In (value): reference to module (value) with CIK of (value) has an invalid
CCC value.
DESCRIPTION
OF ERROR:
A document contains a Type 1 module reference with an invalid CIK/CCC
combination.
SOLUTION:
Correct the CIK/CCC combination for the module reference in the attached
document and retransmit the submission.
ERR:
MODULE_CIK_INVALID
MSG:
(Value) value is inconsistent with (value) (value).
DESCRIPTION
OF ERROR:
The referenced module has an invalid CIK.
SOLUTION:
Correct the CIK for the module reference and retransmit and your submission.
ERR:
MODULE_CIK_INVALID
MSG:
In (value): reference to module (value) has an invalid CIK of (value).
DESCRIPTION
OF ERROR:
A document contains a Type 1 module reference with an invalid CIK.
SOLUTION:
Correct the CIK for the module reference in the attached document and
retransmit the submission.
ERR:
MODULE_DIR_LIMIT_EXCEEDED
MSG:
Adding (value) modules totaling (value) bytes to the (value) modules totaling
(value) bytes that already exist for CIK (value) would exceed directory limit
of (value) bytes per CIK.
DESCRIPTION
OF ERROR:
The size of your module exceeds the amount of storage you are allowed to
store in EDGAR, 1 MB.
SOLUTION:
Login to the Filing website, remove some of your old modules, and retransmit
your new modules.
ERR:
MODULE_DOCUMENT_TOO_BIG
MSG:
Module (value) is (value) bytes, which exceeds the module document size
limit of (value) bytes.
DESCRIPTION
OF ERROR:
The size of your module exceeds the amount of storage you are allowed to
store in EDGAR, 1 MB.
Filer Manual Volume I
A-16
April 2003
SOLUTION:
Edit the module document so that its size is less than 1 MB and retransmit
your new module.
ERR:
MODULE_NOT_FOUND
MSG:
Referenced module (value) does not exist for CIK (value).
DESCRIPTION
OF ERROR:
The referenced module is not in the database.
SOLUTION:
Verify that you entered the reference exactly as it was named when it was
submitted. Either correct the module name or resubmit the module.
ERR:
MODULE_NOT_FOUND
MSG:
In (value): referenced module (value) does not exist for CIK (value).
DESCRIPTION
OF ERROR:
The referenced module is not owned by the referenced CIK.
SOLUTION:
Correct the module and retransmit the module and your submission.
ERR:
MODULE_REF_DOC_TYPE_ERROR
MSG:
Module (value), which is really (value), is of the same type (value) as the
submission but is not a PDF document.
DESCRIPTION
OF ERROR:
A module reference, which is made via the module’s nickname, is actually to
a non-PDF file that is of the same type as the submission. That is, an attempt
was made to use a module as the submission’s primary document. EDGAR
does not support this capability.
SOLUTION:
Correct the module document and/or the submission and resubmit.
ERR:
MODULE_REFERENCE_ERROR
MSG:
In (value): illegal reference to module (value). This is really a reference to the
file (value), which is not a Type 1 ASCII module.
DESCRIPTION
OF ERROR:
The referenced module is not a Type 1 ASCII module.
SOLUTION:
Create and retransmit the Type 1 module and your submission.
ERR:
MODULE_REFERENCE_ERROR
MSG:
In (value): a MODULE reference is improperly specified. (value)
DESCRIPTION
OF ERROR:
Your submission document contains an improper Type 1 module reference.
SOLUTION:
Correct the module reference, re-enclose the document, and retransmit your
submission.
ERR:
MODULE_REFERENCE_TYPE_ERROR
MSG:
Type (value) module (value) is invalid in context. Type (value) is permissible.
April 2003
A-17
Filer Manual Volume I
DESCRIPTION
OF ERROR:
A module reference was encountered in the wrong context. Modules are of
two types: 1. Type 1 consists of a partial document. 2. Type 2 consists of one
whole document. Type 1 modules must be referenced only from within the
body portion of a document. Type 2 modules must be referenced on the
Module/Segment List Page.
SOLUTION:
Check the type of module being referenced and the location of the reference.
If necessary, correct the reference location.
ERR:
MULTIPLE_HTML_TAG_NESTS
MSG:
In (value): a single HTML document may not contain multiple <HTML> tags.
DESCRIPTION
OF ERROR:
Your submission document contains more than one <HTML> </HTML> tag
combination.
SOLUTION:
Remove the additional HTML tags, re-enclose the document, and retransmit
your submission.
ERR:
NESTED_TABLES_NOT_ALLOWED
MSG:
In (value): nested tables are not allowed.
DESCRIPTION
OF ERROR:
Your HTML submission document contains a nested table.
SOLUTION:
Correct the HTML submission document, re-enclose the document, and
retransmit your submission.
ERR:
NEW_COMPANY_NAME
MSG:
Filer (value) attempted to change the company name to (value).
DESCRIPTION
OF ERROR:
This message is associated with our processing of the filing and we will have
to intervene to ensure proper resolution.
SOLUTION:
This message indicates a need for us to take action to address the name
change. It is included as a message back to the filer that the name change was
not performed because other errors have been found.
ERR:
NO_FILE_NUM_WITH_CORRECT_PREFIX
MSG:
CIK (value) has no previous file number with a prefix of (value).
DESCRIPTION
OF ERROR:
The filing is being BLOCKED because the assignment of a file number to the
filing depends on the existence of a previous filing with a file number having
the specified prefix for the specified filer.
SOLUTION:
Correct the filing and resubmit.
ERR:
NO_REPORTING_FILE_NUMBER
MSG:
CIK (value) does not have a Reporting File Number, so a file number cannot
be assigned to the filing.
DESCRIPTION
OF ERROR:
The specified filer does not yet have a Reporting File Number.
SOLUTION:
Correct the filing and resubmit.
ERR:
NOT_WORLD_BANK_CIK
MSG:
CIK (value) is not a World Bank CIK.
Filer Manual Volume I
A-18
April 2003
DESCRIPTION
OF ERROR:
Only the World Bank may submit this submission type. We maintain the
specific list of CIKs that are valid for this submission type. Any CIKs that are
not on the list may not submit these submission types.
SOLUTION:
If the CIK you supplied is incorrect, correct it. Otherwise, do not file this
submission type. Contact us for additional information.
ERR:
NO_VALID_DOCUMENT
MSG:
(Value) submission does not include a valid document specification.
DESCRIPTION
OF ERROR:
Your submission is missing a valid document.
SOLUTION:
Check submission document's validity and retransmit.
ERR:
NO_VALID_PRIMARY_DOCUMENT
MSG:
Submission does not have a valid primary document.
DESCRIPTION
OF ERROR:
The primary submission document is not valid.
SOLUTION:
Correct the submission document and retransmit your submission.
ERR:
NSAR_ERROR_CHECK
MSG:
In (value): (value).
DESCRIPTION
OF ERROR:
Your submission contains an N-SAR document, answer.fil that contains
errors or has not been error checked.
SOLUTION:
Error check and correct if necessary, your N-SAR document, re-enclose the
document, and retransmit your submission.
ERR:
OFIS_MANUAL_FEE_REVIEW
MSG:
Submission has been blocked for manual fee review.
DESCRIPTION
OF ERROR:
This message is associated with our processing of the filing and will require
our intervention for proper resolution.
SOLUTION:
Contact us for additional information you may need to resolve this problem.
April 2003
A-19
Filer Manual Volume I
WRN:
ORPHAN_XFDL_MIME_DOCUMENT
MSG:
Improperly constructed XFDL submission file. The file has a MIME data node
(value) for document (value). However, this document is not included on
PAGE2 of the submission file.
DESCRIPTION
OF ERROR:
Your submission contains an extra document with no name or type
designation.
SOLUTION:
Enter document name and type or delete extra document.
ERR:
PREVIOUSLY_ACCEPTED_FILING_EXISTS
MSG:
Already have a previously accepted (value) filing for CIK (value).
DESCRIPTION
OF ERROR:
A filer of a 10-12B, 10SB12B, 18-12B, 20FR12B, 40FR12B, 8-A12B, 8K12B submission has already had a 40-8F variant submission accepted by
EDGAR. This submission is blocked for OFIS review.
SOLUTION:
OFIS will review this BLOCK situation to resolve the issue.
ERR:
REGULATED_ENTITY_CIK
MSG:
(value) CIK (value) belongs to a Regulated Entity. This entity cannot file
electronically.
DESCRIPTION
OF ERROR:
For an electronic submission, the primary filer or a coregistrant is a Regulated
Entity. This is not permitted.
SOLUTION:
Resubmit the electronic submission with CIKs that do not belong to Regulated
Entities.
ERR OR WRN
REQUIRED_TAG_MISSING
MSG:
Required <tag> tag is missing.
DESCRIPTION
OF ERROR OR
WARNING:
The indicated tag was not found, but is required for acceptance.
SOLUTION:
Add the required tag.
ERR:
SEGMENT_EXPIRED_ERROR
MSG:
Referenced segment (value) is expired for CIK (value).
DESCRIPTION
OF ERROR:
You must reference a segment within six days after you submit it. If you
attempt to reference the segment after six (6) days have elapsed, EDGAR will
issue this error.
SOLUTION:
Re-submit the segment and the filing, or remove the segment reference and resubmit the filing.
ERR:
SEGMENT_EXPIRED_ERROR
MSG:
In (value): referenced segment (value) for CIK (value) is expired.
DESCRIPTION
OF ERROR:
The referenced segment does not exist because it has been more than six (6)
business days since you transmitted it.
SOLUTION:
Retransmit the segment and your submission.
Filer Manual Volume I
A-20
April 2003
ERR:
SEGMENT_NOT_FOUND
MSG:
Referenced segment (value) does not exist for CIK (value).
DESCRIPTION
OF ERROR:
The filing contains a reference to a segment that does not presently exist in
EDGAR for the referencing CIK.
SOLUTION:
Check the name of the segment in reference for accuracy. Correct if necessary,
or submit the missing segment and re-submit the filing.
ERR:
SEGMENT_NOT_FOUND
MSG:
In (value): referenced segment (value) does not exist for CIK (value).
DESCRIPTION
OF ERROR:
The referenced segment is not owned by the referenced CIK.
SOLUTION:
Correct the segment and retransmit the segment and your submission.
ERR:
SEGMENT_REF_DOC_TYPE_ERROR
MSG:
Segment (value), which is really (value), is of the same type (value) as the
submission but is not a PDF document.
DESCRIPTION
OF ERROR:
A segment reference, which is made via the segment’s nickname, is actually
to a non-PDF file that is of the same type as the submission. That is, an
attempt was made to use a segment as the submission’s primary document.
EDGAR does not support this capability.
ERR:
SEGMENT_REFERENCE_ERROR
MSG:
In (value): illegal reference to segment (value). This is really a reference to the
file (value), which is not a Type 1 ASCII segment.
DESCRIPTION
OF ERROR:
The referenced segment is not a Type 1 ASCII segment.
SOLUTION:
Create and retransmit the Type 1 segment and your submission.
SOLUTION:
Correct the segment document and/or the submission and resubmit.
ERR:
SEGMENT_REFERENCE_ERROR
MSG:
In (value): a SEGMENT reference is improperly specified. (value)
DESCRIPTION
OF ERROR:
Your submission document contains an improper Type 1 segment reference.
SOLUTION:
Correct the segment reference, re-enclose the document, and retransmit your
submission.
April 2003
A-21
Filer Manual Volume I
ERR:
SEGMENT_REFERENCE_TYPE_ERROR
MSG:
Type (value) segment (value) is invalid in context. Type (value) is
permissible.
DESCRIPTION
OF ERROR:
A segment reference was encountered in the wrong context. Segments are of
two types: 1. Type 1 consists of a partial document. 2. Type 2 consists of one
whole document. You must reference Type 1 segments only from within the
body portion of a document. You must reference Type 2 segments on the
Module/Segment List Page.
SOLUTION:
Check the type of segment being referenced and the location of the reference.
If necessary, correct the reference location.
ERR:
SEGMENT_USED_ERROR
MSG:
In (value): referenced segment (value) for CIK (value) has already been used.
DESCRIPTION
OF ERROR:
You have referenced a segment twice.
SOLUTION:
Correct the segment reference and retransmit your submission.
ERR:
SEGMENT_USED_ERROR
MSG:
Referenced segment (value) previously used by CIK (value).
DESCRIPTION
OF ERROR:
The filing contains a reference to a segment that has already been used by the
referencing CIK. A segment may only be used once, even within a single
filing. Used segments are deleted from EDGAR.
SOLUTION:
Check the name of the referenced segment for accuracy. Correct if necessary
and re-submit. If the segment name is correct in the reference but the segment
was submitted and refused because of the duplicate name, either wait until the
next day to re-submit the segment and filing, or change the name of the
segment and submit the segment and the filing with the reference name
changed as well.
ERR:
SUBMISSION_SUSPEND
MSG:
The submission has been suspended due to previously encountered errors.
DESCRIPTION
OF ERROR:
An analyst is suspending this submission from the A&R Workstation.
SOLUTION:
N/A.
WRN:
TAG_NOT_REPEATABLE
MSG:
(Value) tag is duplicated.
DESCRIPTION The submission file has multiple data values in a field (XFDL tag) that is only
OF WARNING: permitted to have a single value.
SOLUTION:
The submission will not be suspended for this. To correct this, the filer needs
to delete all but one value for the field.
Filer Manual Volume I
A-22
April 2003
ERR or WRN:
TAG_VALUE_MISSING_OR_INVALID
MSG:
Value for (value) is missing or invalid (value).
DESCRIPTION
OF ERROR OR
WARNING:
The value for the (value) specified is incorrect or missing. Common occurrences of
this error include incorrect coding or omitting the value for the <TYPE>, <CIK>,
<FILE-NUMBER>, <PERIOD>, or <ACT> tags when these tags are required for the
filing. This error will appear as a warning when the value following an optional tag
is missing or invalid or when the value following a tag within a document is missing
or invalid.
SOLUTION:
Insert or correct the tag value. You must re-submit the corrected filing in its entirety.
ERR:
TEXT_EXCEEDS_80_CHARACTERS
MSG:
In (value): a text line exceeds 80 characters.
DESCRIPTION
OF ERROR:
Your submission document contains text that is wider than 80 characters.
SOLUTION:
Reduce the width of your document, re-enclose, and retransmit your submission.
ERR:
TEXT_EXCEEDS_132_CHARACTERS
MSG:
In (value): a text line exceeds 132 characters
DESCRIPTION
OF ERROR:
Your submission document contains a table wider than 132 characters.
SOLUTION:
Reduce the width of the table, re-enclose, and retransmit your submission.
ERR:
TOO_FEW_S_AND/OR_C_TAGS
MSG:
In (value): a TABLE section has less than two <S> and/or <C> tags.
DESCRIPTION
OF ERROR:
Your HTML submission document has a table that is incorrectly designed.
SOLUTION:
Correct the table structure, re-enclose the document, and retransmit your submission.
ERR:
TOO_MANY_DOCUMENTS
MSG:
(value) submission has (value) (value) documents exceeding the allowable limit of
(value).
DESCRIPTION
OF ERROR:
Submission contains too many documents of a particular type.
SOLUTION:
Remove the extra documents from the submission and resubmit.
ERR:
TOO_MANY_MODULES
MSG:
Module (value) cannot be accepted because (value) modules for CIK (value) already
exist. Prior to re-submitting module (value) delete at least one of the following
(value) modules (value).
DESCRIPTION
OF ERROR:
The number of modules already submitted by the filer, when combined with the
number of new modules coming in with this submission, exceeds the current
maximum of ten modules per CIK.
SOLUTION:
Delete existing modules or remove modules from the incoming submission to get the
total number below ten.
April 2003
A-23
Filer Manual Volume I
ERR:
TRAINING_CIK
MSG:
Value for (value) is assigned to Training Agent (value).
DESCRIPTION
OF ERROR:
The submission was designated as LIVE but one of the registrants is a
Training Agent.
SOLUTION:
Change the submission to TEST or remove the Training Agent as a registrant
and then resubmit.
ERR:
UNREADABLE_SUBMISSION_FILE
MSG:
Receipt Server cannot read submission file: (value).
DESCRIPTION
OF ERROR:
This error is generated for an unprocessable submission.
SOLUTION:
Check that you compiled your submission correctly and that you have the
latest EDGARLink software and templates.
ERR:
UNREFERENCED_GRAPHIC_DOCUMENT
MSG:
In (value): this graphic document must be referenced by an HTML <IMG>
link.
DESCRIPTION
OF ERROR:
A graphics (.jpg or .gif) document included in the submission as either a
document or a referenced module or segment must be referenced via an
HTML link.
SOLUTION:
Either reference the graphic document via an HTML link or remove the
graphics document from the submission and resubmit.
ERR:
UNRESOLVED_HTML_LINK
MSG:
In (value): contains an unresolved link to (value).
DESCRIPTION
OF ERROR:
All link references from within an HTML document must match the
designated Filenames of the referenced documents. Any link within an HTML
document that does not meet this standard will cause EDGAR to issue this
error.
SOLUTION:
Please name all of your attached documents that are referenced by links within
an HTML document. You must use only SEC-approved Filenames for your
referenced documents
WRN:
VALUE_IN_HIDDEN_FIELD
MSG:
Hidden field (value) contains a value.
DESCRIPTION
OF ERROR:
A hidden field in EDGARLink contains an entry.
SOLUTION:
Open the submission, remove text from the field, and retransmit.
Filer Manual Volume I
A-24
April 2003
APPENDIX E
A. Filing Fee Information
You must pay filing fees when you submit most registration statements under the Securities Act
of 1933 and transactional filings such as merger proxy statements under the Securities Exchange
Act of 1934. You do not pay an initial registration fee for mutual fund and unit investment trust
registration statements, but you pay fees each year when you file your Form 24F-2.
Note: When you transmit a test submission, EDGAR checks your Mellon Bank fee deposit and
informs you if you are lacking your fees.
You must follow the procedures outlined below to send fees electronically to Mellon Bank in
Pittsburgh, Pennsylvania.
E.1 Where to Pay Filing Fees
Paper Filers: If you are submitting a filing in paper, you may either send the fee by wire transfer
or check to Mellon Bank, or directly to the Commission at 450 Fifth Street, N.W., Washington
D.C. 20549. We cannot accept personal checks for payment of fees.
Electronic Filers: If you are submitting a filing electronically or in paper under a hardship
exemption, you MUST send the fee to Mellon Bank in Pittsburgh, Pennsylvania. You may make
the payment to Mellon by wire transfer, mail or hand delivery.
Mellon Bank is the U.S. Treasury designated depository of SEC filing fees. The hours of
operation at Mellon Bank are 8:30 a.m. to 6:00 p.m. Eastern time for wire transfers. Please allow
sufficient time to complete your fee transactions prior to submitting filings that require fees. We
will not accept your filing if we have not received sufficient funds when you file. We will,
however, accept a rule 462(b) filing submitted between 5:30 p.m. and 10:00 p.m. Eastern time if
the fee is received no later than the close of business on the next business day.
E.2 How to Send Filing Fees to Mellon Bank
Specific instructions on the various methods of making fee payments to Mellon Bank are as
follows:
(a) Wire Transfer: Any bank or wire transfer service may initiate wire transfers of filing fee
payments through the FEDWIRE system to Mellon Bank. You do not need to establish
an account at Mellon Bank in order to remit filing fee payments.
You must include the SEC’s account number at Mellon Bank (9108739); and the payor’s
SEC-assigned CIK (Central Index Key) number (also known as the SEC-assigned
registrant or payor account number) in the wire transfer. To ensure proper credit and
prompt filing acceptance you also must follow the FEDWIRE Instructions precisely and
provide the required information in the proper format. You may obtain a copy of the
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FEDWIRE Instructions at the following Internet address:
(www.sec.gov/info/edgar/fedwire.htm)
(b) Mail and Hand Delivery: For mail or hand delivery of fee payments, you should:
•
make checks and money orders payable to the Securities and Exchange Commission,
omitting the name or title of any official of the Commission; and
•
include on the front of the check or money order the SEC’s account number
(9108739) and CIK number of the account to which the fee is to be applied.
You must address fees you transmit by mail to the Securities and Exchange Commission,
Post Office Box 360055M, Pittsburgh, Pennsylvania 15252.
You hand deliver fee payments to Mellon Bank, 27th floor, Three Mellon Bank Center, Fifth
Avenue at William Penn Way, Pittsburgh, Pennsylvania on weekdays from 7:30 a.m. to 4:00
p.m. (Eastern time). You cannot hand deliver a fee payment on a federal holiday. You must
place all hand deliveries in a sealed envelope, with the Commission’s lockbox number,
360055M, and the Commission’s account number (9108739) written on the outside. You
must include with all cash payments a separate sheet of paper providing the same information
specified for checks and money orders.
E.3 Filings that Require Filing Fees
E.3.1 1933 Act Filings by Corporations
You must pay a filing fee with the following 1933 Act filings:
F-1
F-2D
F-4EF
F-8
S-1
S-3
S-8
F-10
F-3
F-6
F-80
S-11
S-3D
S-B
F-10EF
F-3D
F-6EF
F-9
S-2
S-4
SB-1
F-2
F-4
F-7
F-9EF
S-20
S-4EF
SB-2
You also must pay a fee with all rule 462(b) filings - submission types with a "MEF" suffix. You
will be required to pay a filing fee on pre-effective amendments to registration statements (e.g.,
S-1/A) if additional securities are being registered in the amendment. Since you cannot register
additional securities by post-effective amendment, no fee is required for these filings (e.g., S8POS).
E.3.2 1934 Act Filings
You must pay a filing fee with the following 1934 Act filings (however, investment companies
do not pay fees with their PREM14A, PREM14C, PRER14A, and PRER14C submissions):
PREM14A
SC TO-T
SC13E4F
PREM14C
SC TO-I
SC14D1F
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PRER14A
SC 13E1
PRER14C
SC 13E-3
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E.3.3 1933 and 1940 Act Filings by Investment Companies
You must pay a filing fee with the following EDGAR submissions made by investment
companies:
24F-2NT
N-2
N-5
N-14 8C
N-14MEF
E.4 How to Calculate a Filing Fee
E.4.1 1933 Act Filings
Filing fees under Section 6(b) of the Securities Act of 1933 Act for 1933 Act registration
statements, including fees paid by investment companies with their Form 24F-2 submissions
(24F2-NT), have been set at $92 per million for the fiscal year October 1, 2001 through
September 30, 2002. Five days after Congress passes the SEC Appropriations Bill, the filing fee
rate for the 2003 fiscal year will be set at $80.90 per million. In accordance with the "Investor
and Capital Markets Fee Relief Act" signed on January 16, 2002, fees for fiscal year 2004 and
subsequent fiscal years will be set no later than April 30 of the prior fiscal year. Fee rate changes
will be posted on our web site (www.sec.gov).
For a 1933 Act filing other than a 24F-2NT, the aggregate total dollar amount of securities
registered will appear in the pricing table on the cover page of the registration statement.
Example of a fee calculation for a registration statement and an amendment filing appears below.
E.4.1.1 1933 Act Filings Example 1
Company A files a registration statement on August 30, 2001 covering a proposed public
offering of one million shares of common stock and notes totaling $500 million. Company A's
common stock is trading on NASDAQ at $16 1/2 per share. The 1933 Act fee for the registration
statement would be $129,125 based on a fiscal year 2001 fee rate of $250 per million dollars.
The calculation is presented below.
header amount for common
stock
header amount for debt
total dollar amount registered
common stock fee
calculation
debt fee calculation
total fee calculation
April 2003
= 16500000 (1 million shares times the $16.5
market price)
= 500000000 (total debt dollar amount registered)
= 516500000
= 16500000 (1 million shares times the $16.5
market price)
= 500000000 times .00025 ($250 for each million
dollars registered)
= 516500000 times 0.00025 = 129,125
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E.4.1.2 1933 Act Filings Example 2
On January 17, 2002, Company A decides to amend its registration to add an additional 250,000
shares of common stock to the proposed offering. Company A's common stock is now trading on
NASDAQ at $15 per share. The additional 1933 Act fee required with the registration statement
amendment would be $345. The calculation is presented below.
header amount for common
stock
common stock fee basis
fee calculation
= 3750000 (250,000 shares times the $15 market
price)
= 3,750,000 times 0.000092 ($92 for each million
dollars registered)
= 3750000 times 0.000092 = $345
E.4.2 1934 Act Filings
The basis for calculating the filing fee under for transactional filings under sections 13(e) and
14(g) of the Securities Exchange Act of 1934 is set forth in Rule 0.11 under the Act. In general,
the fee is determined by multiplying the value of the transaction times the fee charge of $92 per
million dollars. The value of the transaction is equal to one of the following:
•
•
•
•
for going private transactions, the value of the securities to be acquired by the
acquiring company;
for proxy statements relating to a merger, acquisition or consolidation, the
proposed cash payment and value of securities and other property to be transferred
to the acquiring company;
for proxy statements relating to a proposed sale of assets, the aggregate of cash
and the value of securities and other property to be received by the registrant; or
for tender offers, the value of securities or other property offered by the bidder.
E.4.2.1 1934 Act Filings Example
Company A is making a $1 billion cash tender offer for the securities of Company B. The fee
required with the SC TO-T filing by Company A is $92,000. The fee was calculated by
multiplying the $1,000,000,000 bid amount times the fee charge of 0.000092.
E.4.3 1939 Act Filings
The "Investor and Capital Markets Fee Relief Act" eliminated the Form T-3 $100 filing fee
requirement under the 1939 Act.
E.5 Offsetting Fees
SEC regulations provide that only one fee is required for each transaction. In some instances,
more than one SEC filing may be made with respect to a single transaction. EDGAR permits the
issuer to offset the amount of fees due on a current filing with fees paid on a previous filing
relating to the same transaction. An example of where a fee offset may be used appears below.
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E.5.1 Offsetting Fees Example 1
Company A will issue 2 million shares of its common stock to acquire all the outstanding 3
million shares of Company B. Only Company B shareholders will vote on the acquisition.
Company A shares trade on the New York Stock Exchange at $23 per share and Company B
shares trade on NASDAQ at $7 1/2 per share. When Company B files its preliminary proxy
material (PREM14A) describing the proposed acquisition by Company A, Company B will need
to pay a filing fee of $2,070.
To calculate the fee, first you need to determine the value of the securities to be received by the
acquiring company, in this case, Company A. The value ($22,500,000) was calculated by
multiplying the outstanding shares of Company B (3,000,000 shares) by the market price of
Company B's stock ($7 1/2 per share). You then arrive at the amount of the required fee payment
($2,070) by multiplying the computed securities value amount by the fee rate of $92 per million
dollars (0.000092).
When Company A subsequently files its Form S-4 registration statement to register the securities
it intends to issue in the acquisition of Company B, it will be required to pay a fee also totaling
$2,070. The amount is the same because the basis for calculating the fee is the same under the
1933 and 1934 Acts. To ensure that only one fee is paid per transaction, when Company A files
the registration statement, it must include Offset Payment tags in the header of their document.
For the "AMOUNT" tag value, the company should indicate the dollar amount of the fees already
paid in the prior filing ($2,070). Also needed is the CIK of the filer/registrant (Company B) who
previously paid the offset amount, the Form type (PREM14A) where the offsetting amount was
paid, and the file number of the PREM14A filing.
Rule 457(p) of Regulation C also permits you to offset a fee paid with respect securities that
remain unsold after the completion, termination, or withdrawal of an offering. The total
aggregate dollar amount of the filing fee associated with the unsold securities may be offset
against the total filing fee due for a subsequent registration statement or registration statements
filed within five years of the initial filing date of the earlier registration statement. The
procedures for using the offset are the same as those discussed above.
For a 24F-2NT, the fee is computed as a percentage of net sales. An example of a fee calculation
for a 24F-2NT appears below.
E.5.2 Offsetting Fees Example 2
Fund F files a 24F-2NT on January 17, 2002, for the fiscal year ended October 31, 2001. Fund F
fills out the items of Form 24F-2. The aggregate sale price of securities sold during the fiscal
year pursuant to section 24(f) of the Investment Company Act of 1940 was $1,000,000. The total
available redemption credits were $600,000. The net sales were $400,000. The 1933 Act fee
payable with the 24F-2NT filing would be $36.80, based on the SEC’s fiscal year 2002 fee rate
of $92 per million dollars. The fee calculation is presented below.
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Header amount for Sale-Proceeds
Header amount for Redeemed Value
Fee calculation based on net sales
= $1,000,000
= $600,000
= $400,000 times 0.000092 = $36.80
If the fee is calculated separately for each series of a series fund or each class of a multi-class
fund, the EDGAR template should have a separate header line for Sales Proceeds and for
Redeemed Value for each series or class.
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APPENDIX F
A. Paper Forms for Electronic Filing
F.1
Form ID Notes
When applying for EDGAR access codes, you must indicate whether you are a filer, filing agent,
or training agent, as defined in Part I of the Form ID General Instructions. If you plan to file on
EDGAR in more than one capacity, you must complete and submit a separate Form ID for each
capacity. For example, if you want to make EDGAR submissions as a filer, a filing agent, and a
training agent, you must submit a separate Form ID for each filing capacity. You will then
receive three separate sets of CIKs and access codes.
If you are submitting a Form ID application as a registrant, you must have a manual signature of
an associated person or an authorized representative of the registrant as required by the form.
Acceptable positions or titles of an associated person are: president, partner, treasurer, secretary,
director, officer, or attorney.
You may submit filings on your own behalf or use a filing agent. Training agents may only
submit test filings.
F.2
Availability of Paper Forms
To obtain additional paper forms for electronic filing, call the SEC's Filer Support staff at (202)
942-8900, or the Publications Branch at (202) 942-4046. You can also download electronic
copies of EDGAR-related forms from the (www.sec.gov) website.
Note: Blank pages in this appendix are for paper form continuity, only.
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SEC 2084 (02Persons who potentially are to respond to the collection of information contained in this form
02)
Previous form are not required to respond unless the form displays a currently valid OMB control number.
obsolete
Applicant's CIK (if
known)
OMB APPROVAL
United States
Securities and Exchange Commission OMB Number: 3235-0328
Washington, D.C. 20549
Expires: January 31, 2005
FORM ID
Estimated average burden
hours per response: . .0.15
UNIFORM APPLICATION FOR ACCESS CODES TO FILE ON EDGAR
[ ]
Initial Application
[ ]
Amendment
PART I — APPLICATION FOR ACCESS CODES TO FILE ON EDGAR
Name of applicant (registrant's name as specified in its charter, individual's name for signature purposes;
company or individual name of filing agent or training agent)
Former Name (if changed since last application)
Mailing Address or Post Office Box No.
City
State
Zip
Telephone number:( )
E-Mail Address:
Applicant is a (see definitions in the General Instructions):
Filer
Filing Agent
Training Agent
Initial Application for EDGAR Access Codes.
Amended Application for (see definitions in the General Instructions):
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Filer Manual Volume I
CCC
Password
PMAC
Amended Application to change reported information only (Access codes to remain the same)
PART II — FILER INFORMATION (To be completed by filers only)
If you currently file with the SEC, check this box
known:
1934 Act No.
1933 Act No.
and provide at least one of your SEC file numbers, if
1935 Act No.
1940 Act No.
Other
____ - __________
2 - __________
0 - __________
70 - __________
811 - __________
33 - __________
1 - __________
69 - __________
814 - __________
333 - __________
28 - __________
Registrant's Tax Number or Federal Identification Number
Telephone Number (Include Area Code)
Primary Business Address or Post Office Box No. (if different from mailing address)
City
State
Zip
State of Incorporation/Organization
Fiscal Year End (mm/dd)
PART III — CONTACT INFORMATION (To be completed by applicants)
Person to receive EDGAR Information, Inquiries and Access Codes
Telephone Number (Include Area Code) (
)
Mailing Address or Post Office Box No. (if different from applicant's mailing address)
City
State
Zip
E-Mail Address:
If you are an EDGAR Private Mail subscriber, provide your User ID:
PART IV — ACCOUNT INFORMATION (To be completed by filers and filing agents only)
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Person to receive SEC Account Information and Billing Invoices
Telephone Number (Include Area Code)
( )
Mailing Address or Post Office Box No. (if different from applicant's mailing address)
City
State
Zip
PART V — SIGNATURE (To be Completed by all Applicants)
Signature:
Type or Print Name:
Position or Title:
Date:
Section 19 of the Securities Act of 1933 (15 U.S.C. 77s), sections 13(a) and 23 of the Securities
Exchange Act of 1934 (15 U.S.C. 78m(a) and 78w), section 319 of the Trust Indenture Act of 1939 (15
U.S.C. 77sss), section 20 of the Public Utility Holding Company Act of 1935 (15 U.S.C. 79t) and sections
30 and 38 of the Investment Company Act of 1940 (15 U.S.C. 80a-29 and 30a-37) authorize solicitation of
this information. This information will be used to assign system identification to filers, filing agents, and
training agents. This will allow the Commission to identify persons sending electronic submissions and
grant secure access to the EDGAR system.
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Filer Manual Volume I
Form ID
GENERAL INSTRUCTIONS
USING AND PREPARING FORM ID
Use Form ID to apply for or to amend the following EDGAR codes:
•
Central Index Key (CIK) - The CIK uniquely identifies each filer, filing agent, and training
agent. We assign the CIK at the time you make an initial application. You may not
change this code.
•
CIK Confirmation Code (CCC) - You will use the CCC in the header of your filings in
conjunction with your CIK to ensure that you authorized the filing.
•
Password (PW) - The PW allows you to log onto the EDGAR system, submit filings, and
change your CCC.
•
Password Modification Authorization Code (PMAC) - The PMAC allows you to change
your password.
Please see the EDGAR Filer Manual for instructions on how to file electronically, including how to use the
access codes.
You must complete all items in any parts which apply to you. If any item in any part does not
apply to you, please mark that part "NA." If your form is incomplete, it may take us longer to
assign your access codes.
PART I - APPLICANT INFORMATION (to be completed by all applicants)
Please check the appropriate box to indicate whether you will be sending electronic submissions as a filer,
filing agent, or training agent. Mark only one of these boxes per application. A "filer" is any person or
entity on whose behalf an electronic filing is made. A "filing agent" is a financial printer, law firm, or other
party which will be using these access codes to send a filing or portion of a filing on behalf of a filer. A
"training agent" is any person or entity which will be sending only test filings in conjunction with training
other persons.
If you do not already have access codes, please mark the "Initial application" box, and complete all other
items in Parts II through V that apply to you.
If you already have access codes, please provide your CIK in the upper left corner, and mark the boxes to
indicate the reason you are filing the amendment and any access codes you want to replace. You also
should complete Part V (signature) and those items in Parts II through IV which have changed from the
previous application. You may change your access codes (except your PMAC) and most other
information on Form ID electronically via EDGAR. See the EDGAR Filer Manual for details.
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April 2003
PART II - FILER INFORMATION (to be completed by filers only)
The registrant's tax or federal identification number is the number issued by the Internal Revenue Service.
Foreign private issuers should include all zeroes if they do not have a tax or federal identification number.
(We do not require this number for individuals.)
We do not require state of incorporation/organization or fiscal year end for individuals. We request that
foreign private issuers include their country of organization.
PART III - CONTACT INFORMATION (to be completed by all applicants)
In this section, identify the individual who should receive the access codes and EDGAR-related
information.
If you are or become an EDGAR Private Mail subscriber, you can receive acceptance and suspension
messages and any requested return copies of your filings via electronic mail at your expense. If you do
not subscribe to EDGAR Private Mail, you can receive your acceptance and suspension messages via
Internet E-Mail if you provide an address. We will not send return copies of filings to an Internet address.
PART IV - ACCOUNT INFORMATION (to be completed by filers and filing agents only)
Identify in this section the individual who should receive account information and/or billing invoices from
us. We will use this information to electronically process fee payments and billings.
PART V - SIGNATURE (to be completed by all applicants)
Send your manually signed and dated form to:
Branch of Filer Support
U.S. Securities and Exchange Commission
Operations Center, Stop 0-7
6432 General Green Way
Alexandria, VA 22312
http://www.sec.gov/divisions/corpfin/forms/id.htm
Last update: 02/11/2002
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SEC 2082 Potential persons who are to respond to the collection of information contained in this form are
(02-02)
not required to respond unless the form displays a currently valid OMB control number.
OMB APPROVAL
OMB Number: 3235-0327
Expires: January 31, 2005
Estimated average burden hours per response. . . 0.10
UNITED STATES
Securities and Exchange Commission
Washington, D. C. 20549
FORM SE
FORM FOR SUBMISSION OF PAPER FORMAT EXHIBITS BY ELECTRONIC FILERS
_____________________________________
Registrant CIK Number
_______________________________________
Exact name of registrant as specified in charter
_______________________________________ _________________________________
Electronic report, schedule or registration
SEC file number, if available
statement of which the documents are a part (give
period of report)
____________________________________________________________________________
Name of Person Filing the Document (If other than the Registrant)
SIGNATURES
Filings Made By the Registrant:
The Registrant has duly caused this form to be signed on its behalf by the undersigned, thereunto duly
authorized, in the City of ___________________________, State of
_______________________________, 20_____.
__________________________________________________
(Registrant)
By: ___________________________________________________
(Name and Title)
Filings Made by Person Other Than the Registrant:
After reasonable inquiry and to the best of my knowledge and belief, I certify on
_____________________, 20_____, that the information set forth in this statement is true and complete.
By: __________________________________________________
(Name)
___________________________________________________
(Title)
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GENERAL INSTRUCTIONS TO FORM SE
I.
Use of Form SE
A. This form shall be used by an electronic filer for the submission of any required paper format exhibit pursuant
to the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of
1935, the Trust Indenture Act of 1939, or the Investment Company Act of 1940, provided that submission of
such exhibit in paper format is permitted pursuant to Rule 201 or Rule 202 of Regulation S-T (§§232.201 and
232.202 of this chapter). It also may be used for the submission of any other paper format document permitted
by Rule 311 of Regulation S-T (§232.311 of this chapter).
B. Attention is directed to the General Rules and Regulations under the Securities Act of 1933, the Securities
Exchange Act of 1934, the Trust Indenture Act of 1939, the Public Utility Holding Company Act of 1935 and
the Investment Company Act of 1940. Requirements applicable to electronic submission are set forth in
Regulation S-T (Part 232 of this chapter) and the EDGAR Filer Manual.
II.
Preparation and Filing of the Form
A. Four complete copies of the Form SE and three complete copies of exhibits filed thereunder shall be submitted
in paper format.
B. The Form SE shall be submitted in the following manner:
1.
If the subject of a temporary hardship exemption is an exhibit only, the exhibit shall be filed under
cover of this form no later than one business day after the date on which the exhibit was to be filed
electronically.
2.
An exhibit filed pursuant to a continuing hardship exemption, or any other document filed in paper
under cover of Form SE (other than an exhibit filed pursuant to a temporary hardship exemption), as
allowed by Rule 311 of Regulation S-T, may be filed up to six business days prior to, or on the date of
filing of, the electronic format document to which it relates but shall not be filed after such filing date.
If a paper document is submitted in this manner, requirements that the document be filed with, provided
with or accompany the electronic filing shall be satisfied. Any requirements as to delivery or
furnishing the information to persons other than the Commission shall not be affected by this
Instruction.
C. The registrant, or person other than the registrant, shall identify the documents being filed. Attach any paper
format exhibit and an exhibit index as required by Item 601 of Regulation S-K (§229.601 of this chapter).
D. One copy of the form shall be manually signed by each person on whose behalf the form is submitted or by an
authorized representative. If the form is signed by the authorized representative of a person (other than an
executive officer or general partner), evidence of the authority of the representative to sign on behalf of such
person shall be filed with the form, provided, however, that a power of attorney for this purpose that is already
on file with the Commission may be incorporated by reference.
E. If the form is submitted in connection with a temporary hardship exemption, signatures may be in typed form
rather than manual format.
http://www.sec.gov/divisions/corpfin/forms/se.htm
Last update: 02/11/2002
Filer Manual Volume I
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April 2003
SEC 2348 Potential persons who are to respond to the collection of information contained in this form are
(02-02)
not required to respond unless the form displays a currently valid OMB control number.
OMB APPROVAL
OMB Number: 3235-0425
Expires: January 31, 2005
Estimated average burden hours per response: 0.33
United States
Securities and Exchange Commission
Washington, D.C. 20549
FORM TH
NOTIFICATION OF RELIANCE ON
TEMPORARY HARDSHIP EXEMPTION
_______________________________________ _______________________________________
Report, schedule or registration statement
SEC file number, if available
to which the hardship exemption relates
(give period of report if applicable)
________________________________________________________________
Name of Person Filing the Document
(If Other than the Registrant)
Part I — Registrant Information
____________________________________________________________________________
Full Name of Registrant
____________________________________________________________________________
Address of Principal Executive Office
____________________________________________________________________________
Street and Number
____________________________________________________________________________
City, State and Zip Code
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Part II — Information Relating to the Hardship
Furnish the following information:
1. A description of the nature and extent of the temporary technical difficulties experienced by
the electronic filer in attempting to submit the document in electronic format.
2. A description of the extent to which the electronic filer has successfully submitted
documents previously in electronic format with the same hardware and software, in test or
required filings.
3. A description of the burden and expense involved to employ alternative means to submit the
electronic submission in a timely manner.
Any other reasons why an exemption is warranted.
Part III — Representation of Intent to Submit Confirming Electronic Copy
The registrant shall include a representation that a confirming electronic copy of the document filed
in paper will be filed in accordance with Rule 201(b) of Regulation S-T (§232.201(b)).
Part IV — Contact Person
Name and telephone number of person to contact in regard to this notification;
_________________________________ (_____________) ______________________
Name
Area Code
Telephone No.
Part V — Signatures
____________________________________________________________________________
Name of registrant as appears in charter:
has caused this notification to be signed on its behalf by the undersigned, being duly authorized:
Date: _________________________
By: _______________________
Instruction: This form may be signed by an executive officer of the registrant or by any other duly
authorized representative. Signatures may be in typed form rather than in manual format.
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GENERAL INSTRUCTIONS
1. Rule 201(a) of Regulation S-T requires electronic filers relying on a temporary hardship
exemption to file this form in addition to filing a paper copy of a document otherwise
required to be filed in electronic format.
2. Four signed copies of this form shall accompany the paper format document and shall be
filed within one business day after the date upon which the document filed in paper
originally was to be filed electronically.
3. Signatures to the paper format document being filed pursuant to the exemption may be in
typed form rather than manual format. See Rule 302 of Regulation S-T (§232.302 of this
chapter). All other requirements relating to paper format filings, including number of
copies to be filed, shall be satisfied.
http://www.sec.gov/divisions/corpfin/forms/th.htm
Last update: 02/11/2002
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APPENDIX G
A. Glossary of Commonly Used Terms, Acronyms, and Abbreviations
ACCEPTANCE
MESSAGE
Notification from the SEC that an electronic submission has met the
minimum filing requirements and been accepted by EDGAR. If the
submitter or filer has an Internet electronic mail (e-mail) address, the
acceptance messages are sent by e-mail to that account. Acceptance
messages are also sent to all Internet e-mail addresses on the
Notification page.
ACCEPTANCE
REVIEW
Procedural checks performed by EDGAR to determine whether a
filing meets certain minimum filing requirements. The requirements
may relate to the composition and completeness of the submission
package, as well as to the particular type of filing being made.
ACCEPTED
The term that describes a filing that has successfully passed
acceptance review. A live filing is deemed public at this point.
ACCESSION
NUMBER
A unique number generated by the EDGAR system for each
electronic submission. Accession numbers are reported to submitters
and filers in the acceptance and suspense messages. Assignment of an
accession number does not mean that EDGAR has accepted your
submission.
ASCII
American Standard Code for Information Interchange. The ASCII
character code must be used for asynchronous transmissions.
ASYNCHRONOUS
A method of data transmission.
ATTACHED
DOCUMENTS LIST
EDGARLink page 2.
BROWSER
Commercially available software used in viewing on the Internet.
The most popular versions are Netscape and Internet Explorer.
CCC
CIK Confirmation Code.
CENTRAL INDEX
KEY (CIK)
A unique number assigned by the SEC, distinguishing the company or
individual to which it is assigned. Used by EDGAR to identify either
a submitter (LOGIN CIK) or filer.
CIK
Central Index Key
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CIK
CONFIRMATION
CODE (CCC)
An eight-character code that EDGAR uses in conjunction with the
CIK to authenticate a filer.
CONFIDENTIAL
Refers to portions of documents omitted from public filings pursuant
to SEC rules (e.g., Rule 406 under 1933 Act).
CONFIRMING COPY
An electronic copy of a paper filing. The paper filing being the
official copy and the confirming copy being an electronic duplicate.
COOKIE
A unique string of letters and numbers that the web server stores in a
file on your hard drive. This method is used by web designers to
track visitors to a web site so the visitors do not have to enter the
same information every time they visit a new page or revisit the site.
CORRESPONDENCE
SUBMISSION
A submission type EDGAR participants may use to submit nonpublic information, generally correspondence, to the SEC staff.
DATA FIELD
An identifier that labels specific information submitted to EDGAR.
Data fields are created by placing angle brackets on either side of a
term. An end data field is distinguishable from a begin data field by
the "/" (virgule/slash) immediately following the opening angle
bracket (<). For example, the beginning and end of a table would be
signified by <TABLE> and </TABLE>, respectively.
DIRECT
TRANSMISSION
An electronic submission sent via a modem and dial-up telephone or
leased line or Internet.
DOCUMENT
Document is a generic term for the various forms, reports, schedules,
exhibits, items of correspondence, etc., that comprise filings and other
submissions. An electronic document originating with a filer or agent
can only be sent as part of a submission. A document is a discrete
unit of text. One or more documents comprise an electronic
submission. Examples of documents include a 1933 Act registration
statement, a 1934 Act Form 10-Q, or a cover letter. Each exhibit is a
separate document within a submission.
DOCUMENT
HEADER
A header used within an EDGAR submission to indicate, by the
appropriate use of tags and tag values, the document type, and if
desired, the description of the document. EDGARLink constructs
document headers for each separate document contained within a
submission.
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DOCUMENT TYPE
Submissions received may consist of more than one document. For
example, a Form 10-K, an exhibit, and a cover letter constitute three
separate documents in one submission. Each document must begin
with a document header. A Form 10-K submission must contain at
least one document, which is the Form 10-K.
EDGAR
The SEC's Electronic Data Gathering, Analysis, and Retrieval system
for electronic filing.
EDGARLink for
Windows
Filer assistance, pre-validation, and communications software
package provided to registered EDGAR filers by the SEC. Designed
for use with MS Windows 95, 98, and NT. Referred to as
Modernized EDGARLink.
ELECTRONIC FILER A person or entity whose required filings must be submitted
electronically.
ELECTRONIC
FILING
A document or series of documents submitted in electronic format, at
least one of which is required to be filed with the SEC pursuant to the
federal securities laws.
A regulated electronic mail service in EDGAR that provides for the
delivery of acceptance and suspense messages from the SEC via the
Internet.
Note: EDGAR does not e-mail requested Return Copies. You can
download them from the Filing website; see Chapter 6.
FILE NUMBER
A number assigned by the SEC to registrations, applications, and
reports.
FILER
A person or entity on whose behalf an electronic filing is made.
FILING AGENT
A financial printer, law firm, or other party that will be sending
filings on behalf of a filer.
FILING TYPES
A distinct type of submission that must be filed pursuant to the
federal securities laws (e.g., 1934 Act Form 10-K or a preliminary
proxy statement).
FORM ID
The form used to apply for access codes needed to use EDGAR,
namely the CIK, Password, CCC, and PMAC.
FORM SE
A Form "Separate Exhibit" accompanies all exhibits to electronic
filings that are submitted in paper.
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FORM TH
The form used to notify the Commission that the filing is being made
in paper pursuant to a temporary hardship exemption, as specified by
Rule 201 of Regulation S-T.
FTP
File Transfer Protocol.
FWS
Filing website.
HTML
Hypertext Markup Language is a simple markup language you can
use to create documents that are portable from one platform to
another. It consists of tags that you use to describe data elements
within your submission.
INTERNET
An electronic network of computers that transmits data. The SEC
uses the Internet to provide access to its web site and to transmit
acceptance and suspense notification messages.
INTERNET
ADDRESS
Synonym for the e-mail address for filers with Internet addresses.
ISP
Internet Service Provider.
LDAP
Lightweight Directory Access Protocol.
LEGACY
All EDGAR Release versions prior to Release 7.0.
LOCKBOX
The term used to describe the arrangement with the U.S. Treasurydesignated depository to collect and deposit checks, money orders,
cash, and wire transfers to an SEC account at the depository.
MAIN PAGE
EDGARLink page 1.
MASTER SEGMENT
In EDGAR, a segment, referred to as a subordinate segment, is a
document (partial or whole) that is to be included into a submission
once it has been processed by EDGAR. The master segment is the
final submission you transmit to EDGAR that incorporates all the
previously submitted subordinate segments.
MODULAR
SUBMISSION
In EDGAR, a modular submission is a document intended to be
"included," i.e., physically incorporated, into another submission in a
future submission. You can include modular submissions in a filing
by using special tags.
MODULE/SEGMENT
LIST
EDGARLink page 4.
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NESTED
Certain data fields that must appear together are "nested". In the
tables beginning with Section 4.6, the lead fields are shown first in
nested groupings. The fields that must follow are shown with the
same number plus an alpha designation (e.g., 5, 5a, etc.) When you
use nested fields, not all of the possible nested fields may apply to
your situation. You should only use the fields that apply. Certain
nested field sets also require an end field.
NON-PUBLIC
Information that is not disseminated publicly. Correspondence is
non-public information.
NOTIFICATION
INFORMATION
EDGARLink page 3.
N-SAR
Investment Management Semiannual Report.
PASSWORD
A unique, confidential code assigned to EDGAR participants that
must be used in conjunction with the CIK number. You must enter
these two codes correctly to access EDGAR. You must use the Form
ID to apply for a password.
Portable Document Format.
PDN
Public Data Network.
PMAC
Password Modification Authorization Code. An eight-character code
that authenticates a request to change a password.
PPP
Point-to-Point Protocol.
REGISTRANT
The issuer of securities for which a registration statement, report,
proxy, or information statement is filed.
RETURN COPY
A copy of an accepted filing posted on the Filing website and
available to registrants and co-registrants only.
SCP
Secure Copy; see SSH.
SEC
U.S. Securities and Exchange Commission.
SEGMENTED
FILING
A submission comprised of segments submitted separately, and later
combined at the direction of the filer to make a single complete
submission.
SGML
Standard Generalized Mark-up Language.
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SROs
Self-Regulatory Organizations.
Example SROs are:
NYSE - New York Stock Exchange
BSE - Boston Stock Exchange
NASD - National Association of Securities Dealers
See Appendix C for a complete list.
SSH
Secure Shell Protocol; a transport layer protocol, which runs on top of
TCP/IP and provides a mechanism for secure file transfers (SCP). A
UNIX-based command interface and protocol for securely getting
access to a remote computer.
SUBMISSION
A submission is the fundamental unit of information that is
transmitted to EDGAR for receipt, validation, and acceptance. It is
the conveyance of a document or series of documents, in electronic
format, to the SEC via EDGAR.
SUBMISSION
MEDIUM
One of the following three methods that you may use to submit filings
via EDGAR: direct dial; Internet; or leased line connection.
SUSPENDED FILING
Filings that have not successfully passed EDGAR’s acceptance
review are placed in a suspended status indicating fatal flaws within
the submission. Suspended filings are deleted in six business days.
SUSPENSE
MESSAGE
Notification from the SEC that an electronic submission has not met
the minimum filing requirements and been suspended by EDGAR. If
the filer has an Internet address on file, the suspense messages are
sent electronically to that Internet address. Suspense messages are
also sent to all Internet addresses on the Notification page.
TEST FILING
A submission made to EDGAR to test the ability to create a filing in
an EDGAR-acceptable format. Such filings are neither publicly
available nor retained on the filing database. EDGAR sends the
results of a test filing acceptance review to the filer via acceptance or
suspense messages. A test filing cannot be changed to a live filing.
TRAINING AGENT
A person or entity which sends only testing filings in conjunction
with training other persons.
TYPE 1
A module or segment that contains a portion of a document that is
positioned within a submission using the <MODULE> or
<SEGMENT> tags.
TYPE 2
A module or segment that contains an entire document, or documents,
positioned at the end of a submission much like an appendix.
URL
Universal Resource Locator, also known as an Internet address.
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VALUE
Information that is supplied by the filer and inserted in a data field.
For example, the Name data field would indicate the name of the
person to be contacted who could answer questions about a particular
filing.
XFDL
Extended Forms Definition Language
XML
Extensible Markup Language
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APPENDIX H
A. Form 13F Special Electronic Filing Instructions
H.1
Submission Types 13F-HR(/A) AND 13F-NT(/A):
The following instructions relate solely to the requirements for preparing electronic filings of
reports on Form 13F sent to the SEC on EDGAR submission types 13F-HR and 13F-NT. For
additional requirements concerning content, please refer to the rules governing Form 13F,
Release No. 34-40934 (Jan. 12, 1999), and “Frequently Asked Questions About Form 13F” on
our website: (www.sec.gov/divisions/investment/13ffaq.htm). For additional help with the
preparation of the electronic submission, contact Filer Support at (202) 942-8900.
You must send submission types 13F-HR and 13F-NT in ASCII format. Do not submit the 13F
Information Table of Holdings in HTML or spreadsheet format that uses a commercial
spreadsheet program (i.e., EXCEL or LOTUS 1-2-3 formatted spreadsheets are not acceptable).
Use the following information to select the correct submission type:
If Form 13F Report Type is:
Select EDGAR Submission type:
13F HOLDINGS REPORT
Initial Filing
Amendments
13F-HR
13F-HR/A
13F NOTICE
Initial Filing
Amendments
13F-NT
13F-NT/A
13F COMBINATION REPORT
Initial Filing
Amendments
13F-HR
13F-HR/A
You should designate the Report Type on the cover page of the Form 13F report. Special
Instruction 6 of Form 13F explains how to select the correct report type.
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Structure of 13F-HR Electronic Submission
The 13F-HR submission consists of three parts combined into one file. This file is attached to
the
This text is long and has been trimmed here. Open the source document for the complete record.
This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.