# PREPARING AND TRANSMITTING EDGARLINK ONLINE SUBMISSIONS > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/agency%3Asec%3Ab17f116157086a5b ## Record - **Collection:** Agency decision - **Document type:** Agency decision ## Text 7. PREPARING AND TRANSMITTING EDGARLINK ONLINE SUBMISSIONS 7.1 Introduction EDGARLink Online allows you to prepare and submit a number of submission types. The main content of these submissions is made up of attached documents one of which is the form itself. Usually the filer creates these documents first and then “builds” the submission using the online interface. EDGARLink Online submissions are typically accessed from the ‘EDGARLink Online Form Submission’ link on the EDGAR Filing Website. However, Regulation A form types DOSLTR, 1-A-W, 1-A-W/A, 253G1, 253G2, 253G3, 253G4, 1-SA, 1-SA/A, 1-U, 1-U/A, 1-Z-W, and 1-Z-W/A which are EDGARLink Online submissions can also be accessed from the ‘Regulation A’ and the ‘Draft Offering Statement’ links on the EDGAR Filing Website. Additionally, a Draft Registration Statement which is also an EDGARLink Online submission is accessed from the ‘Draft Reg. Statement’ link on the EDGAR Filing Website. The process to create and submit these form types is identical to an EDGARLink Online submission. When you create your submission using EDGARLink Online, you must enter information into specified fields. Some fields are required, some fields are required when applicable, and some fields are optional. Required fields are indicated by a ‘*’ next to their labels. The EDGAR rules apply to both mandatory/required and optional fields. When you enter information into EDGAR-specified fields in the EDGARLink Online submission, headers are automatically created in XML. EDGARLink Online needs certain information to accurately process the submission you are filing. For example, basic submission information identifies the entity for whom the filing is being made, gives information on fees, and indicates the type of document you are filing. EDGARLink Online verifies that the information required for submission validation has been entered. For example, if the submission requires the time period for which you are filing the report, EDGARLink Online verifies that you have provided a date in the Period field. For more information on field, document, or submission validation; see Section 7.4, “Validating Your Submission.” You must enter information in all fields designated as “required” in the submission or EDGARLink Online will prevent you from making the submission. EDGARLink Online helps you prepare, submit, and correct submissions by: x Formatting your submission information using XML. This formatting is needed to process your submission in EDGAR. To manually create a submission in XML, see https://www.sec.gov/edgar/filer-information x Checking for formatting errors in the document and submission prior to submitting it. x Assisting you in troubleshooting errors. EDGARLink Online provides a screen text viewer that allows you to identify errors in the submission. Note: If there are errors in your submission document, you need to incorporate your changes, save the document, and reattach it to your submission. You can use the EDGAR Filing Website to submit EDGARLink Online Filings.The EDGAR Portal will also direct you to the EDGAR Filing Website. Note: Please remember to enter https when entering the URL. You will not be able to access the September 14, 2026 7-2 EDGAR Filer Manual (Volume II) EDGAR Filing Website without the “s” designation. The EDGAR Filing Website provides the following capabilities: x Accesses EDGAR’s features using the Internet. x Provides online submission preparation and transmission. x Provides editing capabilities for your company information. x Provides submission notification messages. x Allows you to select your login CIK to determine which CIK will be reflected in the accession numbers of your filings. You may select any CIK for which you have been authorized in the EDGAR Filer Management dashboard to submit filings. We require that your browser support JavaScript and we recommend that you accept browser “cookies” when accessing this website. The EDGAR Filing Website software contains functions that allow us to remind you if you need to update your software depending upon the last time you visited the EDGAR Filing Website. This information is recorded in your browser cookies. It is your decision as to the best means to access the Internet. EDGAR accepts transmissions from any Internet source, so you can decide which Internet Service Provider (ISP) best suits your needs. Most filers use the EDGAR Filing Website to submit EDGARLink Online filings. 7.1.1 Using the EDGAR Filing Website Later in this document there will be step-by-step instructions for accessing the EDGARLink Online submissions form types. To do this you will use the EDGAR Filing Website. Before you get started on this process, read this section to get general information about this website. It will cover the basics about using a browser and accessing the EDGAR Filing Website. Detailed information on the screens is also included. To access the EDGAR Filing Website, either use the EDGAR Gateway or follow the directions listed below to access it directly: 1. Go to the EDGAR Filing Website Login page (https://www.edgarfiling.sec.gov). 2. Enter your individual account credentials. Note: You must obtain individual account credentials from Login.gov to log in to the EDGAR Filing Website. For more information, please refer to Volume I of the Filer Manual, at Section 3(a). 3. If your individual account credentials are valid, the Welcome page appears. If you are already logged into EDGAR with a concurrent session, a message will appear indicating the number of concurrent sessions. 4. You will be able to choose your login CIK, which is the CIK that will be reflected in the accession number for each of your EDGAR submissions. You may change your login CIK at any time to any other CIK for which you are authorized to make filings. 5. After logging into the EDGAR Filing website, you may see one of the following messages: “Account Confirmation Due Soon” or “Account Confirmation Missed.” If your account confirmation is due soon or if your missed confirmation deadline was within the last three months, EDGAR allows you to perform an account confirmation in the EDGAR Filer Management dashboard. For more details, please refer to the September 14, 2026 7-3 EDGAR Filer Manual (Volume II) “How Do I Complete Annual Confirmation for an EDGAR Account” webpage on SEC.gov (https://www.sec.gov/submit-filings/filer-support-resources/how-do-iguides/complete-annual-confirmation-edgar-account). If it has been more than three months since the missed confirmation deadline, you will need to submit a new Form ID to regain access to the account. If you need assistance, contact our Filer Support Staff at (202) 551-8900 for help. We have placed information and menu links on the EDGAR Filing Website Home page, that connect you to websites concerning filing and submission types, help files, SEC Rulemaking, and fee information. Once you log in to EDGAR, you will be able to view the following Last Account Activity details: date, time, and whether the last login attempt was successful. Additionally, you can view the Recent Login Activity page by selecting the “Login History” link. This page contains information on the login history for the last 30 calendar days for both the EDGAR Filing and the EDGAR OnlineForms Management websites. The information displayed includes the date, time, and whether each login attempt was successful. Once you log in to EDGAR, an option menu appears on the left-hand side of the browser window. This menu allows you to navigate easily through EDGAR without having to return to a menu page. Two additional functions will help you use the EDGAR Filing Website. The [Logoff] button ends your EDGAR session. Clicking ‘Home’ brings you to the EDGAR Filing Website Welcome page. From this menu you can move back and forth between pages, find news, or get additional assistance. This menu is broken down into six sections: x Information Exchange x Draft Submissions x Regulation A x Regulation Crowdfunding x Online Forms x Support 7.1.1.1 Information Exchange In the Information Exchange section there are four links: x Transmit The ‘Transmit’ link allows you to transmit your filings to EDGAR. This function applies to filer-constructed submissions. x Retrieve/Edit Data By clicking the ‘Retrieve/Edit Data’ link, you can query company, filing, or module/segment information, retrieve your fee account information, or request return of unused funds. September 14, 2026 7-4 EDGAR Filer Manual (Volume II) x EDGARLink Online Form Submission By clicking the ‘EDGARLink Online Form Submission’ link, you can select a submission type to open it, and then enter the submission information, attach and validate documents and submit. Once submitted, the filing is processed by EDGAR. x Fee Rate Table Click the ‘Fee Rate Table’ link to view the latest fee rate information from the SEC. The fee rate information displayed is: x x x x x Form Type Fee Rate Validity Date Fee/Interest Fee Type EDGARLink Online automatically includes the fee rates for calculating submission fees. Details for using EDGARLink Online to calculate the fee rates are covered in Section 7.2.2, “Viewing the Fee Rate.” 7.1.1.2 Draft Submissions This menu section provides links that enable you to file Draft Registration Statements and Draft Offering Statements. Draft Registration Statements are EDGARLink Online submission form types which can be submitted via the following link: x Draft Reg.Statement This link allows you to prepare and submit a New Draft Registration Statement (Form DRS), an Amended Draft Registration Statement (Form DRS/A), or a Correspondence Related to Draft Registration Statement (DRSLTR) to EDGAR for processing. Companies that qualify to submit draft registration statements either under Section 6(e)(1) of the Securities Act or the Division of Corporation Finance’s Enhanced Accomodations for Issuers Submitting Draft Registration Statements or the Division of Corporation Finance’s Foreign Private Issuer policy must prepare and submit their confidential draft documents here. Special purpose acquisition companies (SPACs) can identify target companies (in cases where business combination transactions exist between SPACs and target companies i.e. de-SPAC) as co-registrants on submission types DRS and DRS/A. When completing a DRS or DRS/A, you must indicate whether you as a primary registrant are an “Emerging Growth Company.” If you answer “yes”, then you must provide a response for the “Elected not to use the extended transition period for complying with any new or revised financial accounting standards” field. If co-registrants are included, a response is required for the “Emerging Growth Company” field. If the response to the “Emerging Growth Company” field is “yes”, then you must provide a response for the “Elected not to use the extended transition period for complying with any new or revised financial accounting standards” field. Filers can disseminate previously accepted draft registration statements that are yet to be September 14, 2026 7-5 EDGAR Filer Manual (Volume II) disseminated to the public via the ‘Draft Reg. Statement’ link. x Draft Offering Statement Click the ‘Draft Offering Statement’ link to view the File Regulation A Forms page. This page displays links to Regulation A submission form types, including the following draft offering statements: x x x Non-public draft offering statement under Regulation A (DOS) Non-public draft pre-qualification amendment for offering statement under Regulation A (DOS/A) Draft Offering Statement Letter (DOSLTR) These links allow you to prepare and submit DOS, DOS/A, and DOSLTR submission form types to EDGAR for processing. You can also disseminate previously accepted draft offering statements via the ‘Disseminate Draft Offering Statement’ link on the File Regulation A Forms page. 7.1.1.3 Regulation A This menu section provides a link that enables you to file Regulation A submission form types and disseminate previously accepted draft offering statements. Click the ‘Regulation A’ link to view the File Regulation A Forms page. The Regulation A submission form types are: DOS, DOS/A, DOSLTR, 1-A, 1-A/A, 1-A POS, 1-A-W, 1-A-W/A, 253G1, 253G2, 253G3, 253G4, 1-K, 1-K/A, 1-SA, 1-SA/A, 1-U, 1-U/A, 1-Z, 1-Z/A, 1-Z-W, and 1-Z-W/A. If you select Regulation A submission form type DOSLTR, 1-A-W, 1-A-W/A, 253G1, 253G2, 253G3, 253G4, 1-SA, 1-SA/A, 1-U, 1-U/A, 1-Z-W, or 1-Z-W/A, then you will be directed to the Main tab of the selected form type on the EDGARLink Online application. Refer to Section 7.3, “Preparing your EDGARLink Online Submission,” for instructions on how to prepare these EDGARLink Online submissions: DOSLTR, 1-A-W, 1-A-W/A, 253G1, 253G2, 253G3, 253G4, 1-SA, 1-SA/A, 1-U, 1-U/A, 1-Z-W, and 1-Z-W/A. If you select Regulation A submission form type DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-Z, and 1-Z/A, then you will be directed to the Filer Information tab of the selected form type on the Online Form. Refer to Section 8.2.3, “File Regulation A Forms,” for instructions on how to prepare the following Regulation A form types: DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-Z, and 1-Z/A. 7.1.1.4 Regulation Crowdfunding This menu section provides a link that enables you to file Regulation Crowdfunding submission form types. The Regulation Crowdfunding form types are: C, C-W, C-U, C-U-W, C/A, C/A-W, C-AR, C-AR-W, C-AR/A, C-AR/A-W, C-TR, C-TR-W, CFPORTAL, CFPORTAL/A, and CFPORTAL-W. If you select Regulation Crowdfunding submission form type C, C-W, C-U, C-U-W, C/A, C/A-W, C-AR, C-AR-W, C-AR/A, C-AR/A-W, C-TR, or C-TR-W you will be directed to the Filer Information screen for the form. Refer to Section 8.2.5, “File Form C,” for instructions on how to prepare the following Regulation Crowdfunding form types: C, C-W, C-U, C-U-W, C/A, C/A-W, C-AR, C-AR-W, C-AR/A, C-AR/A-W, C-TR, and C-TR-W. September 14, 2026 7-6 EDGAR Filer Manual (Volume II) If you select Regulation Crowdfunding submission form type CFPORTAL, CFPORTAL/A, or CFPORTAL-W, then you will be directed to the Filer Information screen for the form. Refer to Section 8.2.7, “File Form Funding Portal,” for instructions on how to prepare the following Regulation Crowdfunding form types: CFPORTAL, CFPORTAL/A, and CFPORTAL-W. 7.1.1.5 Online Forms This menu section provides links that enable you to file online submissions of the following forms and submissions: [Effective March 2, 2027, the following bullet regarding Form 1 will be added to the EDGAR Filer Manual, pursuant to Extension of Compliance Dates for Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report, Securities Act Release No. 33-11386 (Dec. 8, 2025).] x Form 1 Allows you to prepare and submit Form 1 variants (1, 1AA, 1AC, 1/A 1/A-A 1/A-T, 1/SM, 1/S-R, 1W). x File 13H Allows you to prepare and submit Form 13H variants (13H, 13H-A, 13H-Q, 13H-I, 13H-T, and 13H-R) to EDGAR for processing. x File Form 13F Allows you to prepare and submit Form 13F variants (13F-HR, 13F-HR/A, 13F-NT, and 13F-NT/A) to EDGAR for processing. x File Form 13F Confidential Treatment Request (Form 13F-CTR) x Allows you to prepare and submit Form 13F Confidential Treatment Request (13F-CTR and 13F-CTR/A) to EDGAR for processing. [Effective January 1, 2027, the following bullet will be added to the EDGAR Filer Manual, pursuant to Extension of Compliance Dates for Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report, Securities Act Release No. 33-11386 (Dec. 8, 2025).] x File ANE Exception Notice Allows you to prepare and submit ANE Exception Notice variants (ANE EXCEP NOTICE and ANE EXCEP NOTICE-W) x File Form ATS-N Allows you to prepare and submit Form ATS-N (ATS-N, ATS-N/MA, ATS-N/UA, ATS-N/CA, ATS-N/OFA, ATS-N-C, and ATS-N-W) to EDGAR for processing. x File Municipal Advisor Forms Allows you to prepare and submit Municipal Advisor Forms (MA, MA-A, MA/A, MA-I, MA-I/A, and MA-W) to EDGAR for processing. x File SDR September 14, 2026 7-7 EDGAR Filer Manual (Volume II) Allows you to prepare and submit Form SDR variants (SDR, SDR/A, SDR-A, and SDR-W) to EDGAR for processing. x File SBSEF Allows you to prepare and submit Forms SBSEF, SBSEF-CCO-RPT, SBSEF-FIN-QTR, and SBSEF-FIN-REQ variants (SBSEF, SBSEF/A, SBSEF-W, SBSEF-V, SBSEF-CCORPT, SBSEF-CCO-RPT/A, SBSEF-FIN-QTR, SBSEF-FIN-QTR/A, SBSEF-FIN-REQ, and SBSEF-FIN-REQ/A) to EDGAR for processing. x File SBS Entity Forms Allows you to prepare and submit SBS Entity Forms (SBSE, SBSE/A, SBSE-A, SBSE-A/A, SBSE-BD, SBSE-BD/A, SBSE-C, SBSE-W, SBSE-CCO-RPT, and SBSE-CCO-RPT/A) to EDGAR for processing. x File X-17A-5 Part III Allows you to prepare and submit Form X-17A-5 variants (X-17A-5 and X-17A-5/A) to EDGAR for processing. x File 17-H Allows you to prepare and submit Form 17-H variants (17HACON, 17HACON/A, 17HQCON, and 17HQCON/A) to EDGAR for processing. x File Transfer Agent Forms x Allows you to prepare and submit TA Form variants (TA-1, TA-1/A, TA-2, TA-2/A, and TA-W) to EDGAR for processing. x File N-CEN x Allows you to prepare and submit Form N-CEN variants (N-CEN and N-CEN/A) to EDGAR for processing. x File Form 24F-2 x Allows you to prepare and submit Form 24F-2 variants (24F-2NT and 24F-2NT/A) to EDGAR for processing. x File Form N-PX x Allows you to prepare and submit Form N-PX variants (N-PX and N-PX /A) to EDGAR for processing. x File Form N-PX Confidential Treatment Request (Form N-PX CTR) x Allows you to prepare and submit Form N-PX Confidential Treatment Request (N-PX CTR and N-PX CTR/A) to EDGAR for processing. x File Form N-CR x Allows you to prepare and submit Form N-CR variants (N-CR and N-CR/A) to EDGAR for processing. September 14, 2026 7-8 EDGAR Filer Manual (Volume II) 7.1.1.6 Support This menu section provides links to a number of resources that will assist you in the filing process. In addition to general help, you can review topics like frequently asked questions, and rule making. x General Help If you need help while using EDGAR, click ‘General Help’ from the menu to bring up the General Support Menu page that displays a list of help topics.. When you click a topic, you are shown information or additional links to specify the type of assistance you need. x Frequently Asked Questions ‘Frequently Asked Questions’ (FAQ) opens the EDGAR Frequently Asked Questions page. The FAQ page includes different questions that have been asked most often. Click the hyperlink topic to display the answer in the lower portion of the window. x SEC Rulemaking The ‘SEC Rulemaking’ link leads you to an area of the SEC’s Public Website that gives you up-to-date rule information. You will get information about rules that have been proposed or adopted, as well as other bulletins and notices. x Fees The ‘Fees’ link in the EDGAR menu opens the EDGAR Filing Fees page. This page contains information on filings that require fees, offsetting fees, making fee payments, and bank wire transfers. x Company Search This link opens the Company Search page and redirects your browser to the EDGAR Company Database. From this website you can perform company searches through the EDGAR database that is updated daily. 7.1.2 Information on Headers Header information for your filing documents is still required in EDGAR, but you should not add them if you use EDGARLink Online. By using EDGARLink Online, your header tags and information are automatically placed in the correct nesting order and in the correct places within your submission. 7.2 Creating an EDGARLink Online Submission This section describes the general process for preparing an EDGARLink Online submission and transmitting it to EDGAR for processing. 7.2.1 Accessing the EDGARLink Online Submission You can access the different EDGARLink Online submissions on the EDGAR Filing Website using the EDGARLink Online Form Submission option from the left navigation menu. Note: Draft Registration Statements which are EDGARLink Online submissions can be September 14, 2026 7-9 EDGAR Filer Manual (Volume II) accessed from the ‘Draft Reg. Statement’ link displayed under the Draft Submissions section of the EDGAR Filing Website. Companies that qualify to submit draft registration statements either under under Section 6(e)(1) of the Securities Act, the Division of Corporation Finance’s Enhanced Accommodations for Issuers Submitting Draft Registration Statements or the Division of Corporation Finance’s Foreign Private Issuer policy must use this link to prepare and submit their confidential draft documents. Co-registrants are allowed on Draft Registration Statements. Once the draft registration statement is accepted, EDGAR will assign a file number to each co-registrant(s) on the DRS or DRS/A submission. Filers can also include new co-registrants on a DRS/A submission if they were not included on the initial DRS submission. If the DRS/A filing is accepted, EDGAR will assign a file number to the newly added co-registrants. The following sections of this chapter describe the steps for completing one submission form type. You can use these steps whether you are compiling a correspondence, filing a Draft Registration Statement, an annual 10-K, or submitting segments, as the Graphical User Interface for these form types are similar. Submissions consist of sets of fields and information designated for specific submission types. You will need to fill out the appropriate submission before you transmit it. To access an EDGARLink Online submission: 1. Access the EDGAR Filing Website and log in. 2. Click one of the following links on the left navigation menu, based on the form type you want to submit: ƒ Draft Reg.Statement The Draft Registration Statements page displays. Proceed to step 3 to access the form type you want to submit. ƒ Draft Offering Statement The File Regulation A Forms page displays. Proceed to step 4 to access the EDGARLink Online submission form type DOSLTR (Draft Offering Statement Letter). ƒ Regulation A The File Regulation A Forms page displays. Proceed to step 5 to access the EDGARLink Online submission form types for Regulation A that you want to submit. ƒ EDGARLink Online Form Submission The EDGARLink Online Type Selection page displays. Proceed to step 6 to access the form type you want to submit. 3. On the Draft Registration Statements page, click either the ‘New Draft Registration Statement’ or the ‘Amended Draft Registration Statement’ link to submit a draft registration statement. Click the ‘Correspondence Related to Draft Registration Statement’ link to submit a correspondence related to the draft registration statement. Note: All correspondence with the staff during the confidential or non-public portion September 14, 2026 7-10 EDGAR Filer Manual (Volume II) of the filing review process must be submitted using the ‘Correspondence Related to Draft Registration Statement’ link. This ensures that your communication with the staff during the confidential or non-public part of the review remains in the non-public status. Do not send correspondence relating to a draft registration statement as a separate submission (using the CORRESP submission type). Note that co-registrants are allowed on DRSLTR submissions. The selected draft registration statement page appears. Proceed to Section 7.3, “Preparing Your EDGARLink Online Submission” for details on how to prepare your draft registration statement. Note: If you want to disseminate a draft registration statement, click the ‘Disseminate Draft Registration Statement’ link. Refer to the steps outlined in Section 7.7.1, “Disseminating Draft Registration Statements,” for information on how to disseminate a previously submitted DRS or DRS/A submission. 4. On the File Regulation A Forms page that displays, select Draft Offering Statement Letter (DOSLTR) and click the [Next] button. The Draft Offering Statement Letter (DOSLTR) page displays. DOSLTR is an EDGARLink Online submission type and for instructions on how to prepare your draft offering statement letter, refer to Section 7.3, “Preparing your EDGARLink Online Submission.” 5. On the File Regulation A Forms page that displays, select the EDGARLink Online submission 1-A-W, 1-A-W/A, 253G1, 253G2, 253G3, 253G4, 1-SA, 1-SA/A, 1-U, 1-U/A, 1-Z-W, or 1-Z-W/A that you want to submit and click the [Next] button. The screen for the selected submission type appears. Refer to Section 7.3, “Preparing your EDGARLink Online Submission,” for instructions on how to complete these EDGARLink Online submissions. 6. On the EDGARLink Online Submission Type Selection page, click the submission form type link. Alternatively, scroll through the Submission Types list box and select a submission type, then click the [Go to Form] button. The selected submission type appears. Note: The ‘REG A’ link on the EDGARLink Online Submission Type Selection page allows you to access Regulation A submission form types and disseminate previously accepted draft offering statements. Refer to Section 7.3, “Preparing your EDGARLink Online Submission,” for instructions on how to prepare and submit these Regulation A EDGARLink Online submissions: DOSLTR, 1-A-W, 1-A-W/A, 253G1, 253G2, 253G3, 253G4, 1-SA, 1-SA/A, 1-U, 1-U/A, 1-Z-W, and 1-Z-W/A. Refer to Section 8.2.3, “File Regulation A Forms,” for instructions on how to prepare and submit the following Regulation A form types: DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-Z, and 1-Z/A. September 14, 2026 7-11 EDGAR Filer Manual (Volume II) 7.2.2 Viewing the Fee Rate EDGARLink Online contains the latest fee rates from the SEC and automatically inputs this information into the Offering & Fees page. When you begin working on your fee-bearing submission, EDGARLink Online uses this information to update the amount owed by automatically loading the rate into your submission. When the fee rates change, the latest rate is available in your submission. Check the EDGAR Filing Website for changes in fees. The changes in fee rate are noted on the EDGAR Welcome pages. 7.3 Preparing Your EDGARLink Online Submission 7.3.1 Submission This section outlines how to organize the EDGARLink Online submissions. Section 7.3.11, “Module and Segment Submissions,” provides support for preparing module and segment submission. Section 7.3.13, “Bulk Filing” provides support for transmission of bulk submissions. 7.3.1.1 Submission Structure To create a submission, EDGARLink Online provides you with a Graphical User Interface (GUI) screen that contains fields where you enter your values. Different forms have different fields that are rendered or do not render depending upon which submission you selected. Each submission is broken down into sections, called blocks. The top block contains a field that displays the filer’s submission type. This information automatically appears once you select the submission. This field is read-only which means you cannot edit the information displayed in it. In this block there are tabs that open the different pages you need to create your submission and also other buttons that allow you to SAVE, PRINT, SUBMIT, RESTORE and EXIT your submission. This block also provides you access to EDGARLink Online HELP. The lower block contains fields where you enter submission information. As discussed in Section 7.1.1, “Using the EDGAR Filing Website,” some of these fields are required, and some are optional. As you enter information in these fields, you are creating your submission. In this chapter we discuss in general terms the process of submission preparation which includes all the different types of documents you can submit: correspondence, cover letters, exhibits, forms, and reports. You may consult the “How Do I Understand EDGARLink Online Submission Types” webpage on SEC.govto find information regarding sample submission types (https://www.sec.gov/submitfilings/filer-support-resources/how-do-i-guides/understand-edgarlink-online-submission-types). 7.3.1.2 Menu Buttons The EDGARLink Online submissions are easily navigated using the tabs displayed in the upper block of the screen: x Main x Documents x Notifications x Module/Segment September 14, 2026 7-12 EDGAR Filer Manual (Volume II) x Series/Classes (appears only on S/C form types) x Fee Offsets (appears only on fee-bearing form types) x Offering & Fees (appears only on fee-bearing form types) The Documents, Notifications and Module/Segment tabs appear for every online submission, with the exception of submission form types CERT, NPORT-EX, and NPORT-EX/A. The Series/Classes, Fee Offsets and Offering & Fees tabs appear only if you have selected a series and classes or fee-bearing form type. In each EDGARLink Online submission, there are seven working pages: Main, Attached Documents List, Notification Information, Referenced Module/Segment List, Series/Classes (Contracts) Information, Offerings & Fees, and Fee Offset Information. The Documents, Notifications and Module/Segment tabs appear when you open any submission, with the exception of submission form types CERT, NPORT-EX, and NPORT-EX/A. The Series/Classes tab appears when the form type is chosen as a Series/Classes (Contracts) type and the filer indicates through a choice of Investment Company type that they must report series and classes. The Fee Offsets and Offering & Fees tabs appear only after you have selected a fee-bearing form type. The [Help] button activates the help functions. If you need help as you are completing your submission, you can access the help files to assist you in the process. 7.3.1.3 EDGARLink Online Tool Bar The tool bar located in the upper block of the screen helps you perform basic functions like save, restore, print, submit, exit and view EDGARLink Online help. The following list displays the buttons and explains what function the button performs: Button Function The [SAVE] button saves the current submission to your local drive. This will enable you to save a partially completed submission on your computer. If you click this button, your submission fields and attached documents are saved into one file. EDGARLink Online will add an .eis extension to the file name. You can retrieve this file using the [RESTORE] button. The [PRINT] button prints all the submission tabs, with and without information entered: x The visible text contained in the fields will print. x Submission documents will not be printed. For more information on printing submission documents; see Section 7.3.4.11, “Printing Documents.” The [SUBMIT] button transmits your submission to EDGAR for processing. When you click the [SUBMIT] button, EDGAR will automatically validate your submission information. If there are errors, EDGAR will provide the list of error messages for this validation. These error messages will be shown in red and display a “red x” icon next to the field names to indicate which fields contain invalid information. You must correct the errors on each page. September 14, 2026 7-13 EDGAR Filer Manual (Volume II) Button Function The [RESTORE] button allows you to retrieve a previously saved submission. When you click the [RESTORE] button it opens the Restore File window that lets you locate your previously saved submission. The [HELP] button opens a window displaying the EDGAR Filer Manual (Volumes I – II). The [EXIT] button exits the current submission and opens the EDGARLink Online Submission Type Selection page. Any data entered will be discarded. 7.3.1.4 Submission Fields When the fields in EDGARLink Online submissions are displayed, you will notice that some of these fields are mandatory (indicated by a “*” next to the fields label), and some are optional. If the mandatory fields are filled out incorrectly, EDGARLink Online will prevent you from transmitting your submission. You must correct the invalid values. Although the fields without a “*” next to their label are optional, we do ask that you provide any relevant information. As you are looking at the online submissions, there are certain fields that appear on all submissions and some fields that are not visible. Some of the fields common to all submissions are the Filer CIK, Filer CCC, Submission Contact, and SROs. To enter information in any field in the submission, click a field and enter the information by using your keyboard. Some fields have a pick list, so you do not need to enter information. You can scroll through the list and click the entry you want to appear in the field. EDGARLink Online checks the entry of each field for format and length. If you enter data incorrectly a “red x” icon is displayed next to the associated field. Some fields do not require input; they read information that has already been entered. For example, on the Attached Documents List page, there is a Document Count field that automatically updates when you attach submission documents. EDGARLink Online counts the number of documents and inserts that number in this field. Some information is provided via radio buttons and check boxes. These types of fields insert a condition. For example, when you attach documents in the Attached Documents List page, you can have EDGAR validate these documents by activating the check boxes next to the documents and clicking the [Doc Validation] button; see Section 7.4.2, “Document Validation.” Some fields require a date value. For example, the Fee Offset Information page contains an Offset Filing Date field. You can either enter a valid date in this field or use the calendar icon next to the field to select a valid date. Before EDGAR can receive, process, and disseminate submissions electronically, filers must include filer information in EDGARLink Online fields. We call the process of adding required information to a prepared submission EDGARizing. EDGARLink Online helps you format the values correctly. For instance, in the case of a pre-effective amendment to a Form S-1, where the correct value for the Submission Type field is “S-1/A” (not “S-1” or anything else), EDGARLink Online recognizes the correct combinations of required information and removes much of the submission preparation burden from you. September 14, 2026 7-14 EDGAR Filer Manual (Volume II) 7.3.2 EDGARLink Online Submission Preparation Map The online submission pages for electronic filing are outlined below. (1) EDGARLink Online Main Page Filer’s Access Identification Submission Header Information (2) EDGARLink Online Documents Page Document Header Information Attached Submission Documents (3) EDGARLink Online Notification Page Additional Notification E-Mail Addresses (4) Referenced Type 2 Module and Segment Page Referenced Type 2 Modules and Segments (5) *Series and Classes (Contracts) Information Page New, Existing, and Merger Series and Class (Contracts) Identifiers (6) **Fee Offset Page Offsetting Fees Information (7) ***Offerings and Fees Page Payment Methods, Fees Paid, Payor Information, and Shares Information Certain elements are common to all submissions. * (5) is used only on submissions that have series and classes (contracts). ** (6) and (7) are common only to fee-bearing submissions only. KEY: (1) EDGAR requires identification of the filer, regardless of the medium chosen for an electronic submission: For each submission, you must supply submission and filer information (basic information for one entire submission that includes the CIK, CCC, SROs, etc.) This submission information is automatically inserted into the correct EDGAR format from the fields on the Main page. Each submission may require specific information. If required information is missing, EDGARLink Online will not allow you to submit a filing. (2) You may attach multiple submission documents in ASCII, HTML, or PDF format in a single submission in addition to correspondence and cover letters. You can also attach referenced graphics, *.jpg or *.gif, as part of your submission. The maximum size of each HTML document attached within ABS-15G and ABS-15G/A submission must not exceed 25 MB. The documents attached to a submission are mimed by EDGARLink Online before transmission, September 14, 2026 7-15 EDGAR Filer Manual (Volume II) which increases the size of the documents by approximately one third of its original size. The maximum size of your submission, after the miming of the documents by EDGARLink Online, must not exceed 200 MB for all form types except form types ABS-EE, ABS-EE/A, NPORT-P, NPORT-P/A, NPORT-NP, and NPORT-NP/A, which may not exceed 600 MB. A Combined 10-D/ABS-EE submission must not exceed 800 MB, with 600 MB for the ABS-EE submission and 200 MB for the 10-D submission (and their respective amendments). (3) In addition to receiving submission notification messages to your primary company e-mail address, you may send submission notification messages to additional e-mail addresses listed on that page. 7.3.2.1 Tips for Submission Template Data Entry When you begin your submission using EDGARLink Online there are fields where you enter information that is recorded in your submission. Entering information in the fields is as easy as typing on a word processing application: 1. Click in the field using your mouse. 2. Use your keyboard to enter information. You can use your mouse to move from field to field. You can also use the [Tab] key to move your cursor to the next field. Note: In EDGARLink Online it does not matter in which order you enter your fields, or on which page you start, because you can save the partially completed submission and return to it later; however, all required fields must be filled out before you transmit the submission. EDGARLink Online allows you to enter any type of information via a keyboard: numbers, letters, or special characters. EDGARLink Online checks the validity of the value. For example, your CCC is eight characters long and must contain at least one number, one letter, and one special character, @, #, $, or *. If you enter your CCC incorrectly (does not conform to these rules), a “red x” icon is displayed next to the associated field and you cannot complete the processing of your submission until you correct the entry. The CCC will be listed in the EDGAR Filer Management dashboard for each CIK for which you are authorized to take action in EDGAR. Some fields contain pick lists that display when you click the down arrow on the right hand border. When the list appears, click the option you want to choose for that field. Other fields automatically format your entry. The Period field automatically converts dates to the correct EDGAR mm-dd-yyyy format. Check boxes allow you to tell EDGARLink Online that you want to activate a function. To turn a check box on, click it once. A check appears in the box. If you want to turn the check box off, click it again, and the check disappears. Radio buttons work similarly to check boxes, but a radio button informs EDGAR of a condition. When you use the “Is this a LIVE/TEST Filing” radio button, you are telling EDGAR what type of submission you are filing. The default for this button is “LIVE.” In order to submit a test filing, you need to change the “LIVE” radio button to the “TEST” radio button. To change the filing to a TEST filing, click once on the “TEST” radio button. September 14, 2026 7-16 EDGAR Filer Manual (Volume II) 7.3.3 The EDGARLink Online Main Page EDGAR needs certain information to accurately process the submission you are filing. For example, basic submission information identifies the entity for which the filing is being made, gives information on fees, and indicates the type of document you are filing. EDGARLink Online verifies that the information required for all submission validation has been entered. For example, if the submission requires the indication of a time period for which you are filing the report, EDGARLink Online verifies that you have provided a date in the Period field. You may consult the “How Do I Understand EDGARLink Online Submission Types” webpage on SEC.gov to find information regarding the submission header fields that apply to each form that you file electronically (https://www.sec.gov/submit-filings/filer-support-resources/how-do-iguides/understand-edgarlink-online-submission-types). You must enter information in all header fields designated as “required” in the submission or EDGARLink Online will prevent you from transmitting your submission to EDGAR. Fields are categorized in the following two ways for a particular submission: x Required – EDGARLink Online will not allow you to omit a required field. Fields that are required when applicable should be entered when your filing situation requires them. Required fields are indicated by a “*” next to the fields name. x Optional – Optional fields and their values provide important information but are not required for EDGAR to accept your submission. We encourage you to use such fields where applicable, but, if you do not, EDGAR will not suspend your submission. EDGARLink Online uses some of the information you have entered to process your submission and to create a “header” for your submission. Headers are automatically created in XML when you enter filer-supplied information (values) into EDGAR-specified fields in the EDGARLink Online submission. Header information is included when your submission is disseminated. 7.3.3.1 Entering Submission Information Once you open a submission, you can begin entering submission information. On the Main page, you are required to fill out the Filer CIK, Filer CCC, and SROs fields: 1. Click in the Filer CIK field and enter your CIK. You do not need to enter the leading zeros (0); EDGARLink Online automatically inserts them before the number you enter. 2. Click in the CCC field and enter your CCC. EDGARLink Online will validate the value you entered in the Filer CIK and CCC field to ensure that the combination is valid. The CCC will be listed in the EDGAR Filer Management dashboard for each CIK for which you are authorized to take action in EDGAR. Note: EDGARLink Online masks the CCC value entered by the user. 3. If there are any Co-Registrants, add their CIK and CCC. EDGARLink Online will validate each Co-Registrant CIK and CCC pair to ensure it is valid. The CCC will be listed in the EDGAR Filer Management dashboard for each CIK for which you are authorized to take action in EDGAR. If there is more than one co-registrant, click the [Add Co-Registrant] button. If there are more co-registrant CIK and CCC fields than you need, use only the number you need. When processing your submission, EDGAR September 14, 2026 7-17 EDGAR Filer Manual (Volume II) ignores all extra empty fields. You may remove one or more additional Co-Registrants by checking the box to the left of the Co-Registrant CIK field and then clicking the [Delete Co-Registrant] button. 4. Select value(s) for the SROs field by clicking the check boxes next to each SROs option. If none, select “none.” Depending upon the submission type you are preparing, you may have completed all the required fields for that submission. Some submissions require other fields. To find information regarding submission type samples, see the “How Do I Understand EDGARLink Online Submission Types” webpage on SEC.gov (https://www.sec.gov/submit-filings/filer-support-resources/howdo-i-guides/understand-edgarlink-online-submission-types). If you want to open a different submission type in EDGARLink Online, you would save your current work by clicking the [SAVE] button. Any data entered but not saved will be discarded. Then click the [EXIT] button, which will cause the EDGARLink Online Submission Type Selection page to appear, and you can select a new submission type. 7.3.3.2 Field Values and Definitions In this manual, the term “value” refers to the information that you need to supply. When EDGAR encounters a field, it determines if you have supplied the required information. In some cases, no value is required; however, in most cases, values are required. For EDGAR to process values, you must enter them in a specified format. The Period field automatically converts dates to the correct EDGAR mm-dd-yyyy format. EDGAR is programmed to verify if there is a specified number of characters for each value. This specified number of characters is the field length. For example: x The CIK field has a field length of up to 10 digits, 1234567890. In EDGARLink Online, the Main page field values will not allow you to exceed the specified number of characters. In some cases, as in CIK, EDGARLink Online inserts leading zeros before your input if the value is less than the field length. Table 7-1: Information Fields Available on Main Page contains a list of all the fields available on the Main page for all submission types. You may only see some of these fields depending upon the submission type you are preparing. Table 7-1: Information Fields Available on Main Page Field # 1 Field Name Is this a LIVE or TEST Filing? September 14, 2026 Example of Value to be Inserted Radio Button Definition (Limits of Field) Marks a submission to be treated as a TEST or LIVE filing. Unless the submission is marked as TEST, the filing will be treated by EDGAR as a LIVE filing and, if accepted, be disseminated. Submit live filings in live mode if using EDGARLink Online. We cannot change a test submission into a live submission, nor can we change a live submission into a test submission. 7-18 EDGAR Filer Manual (Volume II) Field # Field Name Example of Value to be Inserted Definition (Limits of Field) 2 SROs Check Box Identifies one or more stock exchanges or other self-regulatory organizations on which the issuer’s securities are listed or traded. The value “NONE” is selected by default. 3 Submission Contact Label Marks the area of the submission contact information. 3a Name A. Jones Identifies a person to contact if there are questions about the submission. This field allows up to 30 characters. This field is not required; however we recommend that you enter a value. 3b Phone 202-555-1111 This field is not required; however we recommend that you enter a value. Phone number of the contact person; you must include an area code. This field allows up to 20 characters. 3c E-mail Address Ajones@xyz.com E-mail address of the contact person. Value must be in standard Internet address format, including exactly one “@” character, at least one “.” After the “@”, one or more EDGAR acceptable characters before the “@”, and one or more acceptable EDGAR characters before and after each existing “.” 4 Filer CIK 1234567890 Your SEC-supplied CIK. This field allows up to 10 characters. In those instances where a single filing is being made on behalf of more than one person or entity, you must enter separate filer information for each such entity or fill in the Group Members field, depending upon the filing being made. See Section 7.3.3.1, “Entering Submission Information,” for more information on co-registrants. 5 Filer CCC September 14, 2026 X21234@1 Your CCC (8 characters, at least one of which must be a numeral and at least one must be @, #, $, or *). It is case-sensitive. 7-19 EDGAR Filer Manual (Volume II) Field # Field Name Example of Value to be Inserted Definition (Limits of Field) 6 File Number 333-00000-1111 SEC-supplied file number required for Confirming Copy submissions, some amendments, and other specific submission types. The field allows up to 17 characters. The prefix may contain 1-3 digits, the sequence number may contain 1-8 digits, the optional suffix may contain 1-4 characters, and the fields are separated with a hyphen. 7 Duty to File Reports Remains? Yes Select Yes or No to indicate if the registrant’s duty to file reports under section 13(a) or 15(d) remains. 8 Form Type Pick List** Form type for Filer or Co-Registrant used for combining filing form types in a single submission. 9 Is this filing by a successor company pursuant to Rule 257(b)(5) resulting from a merger or other business combination? Yes Select Yes or No to indicate that a successor company is filing because of a merger. 9a File Number 24R-00000-1 SEC-supplied file number. This field allows up to 17 characters, and only one file number for each registrant. The prefix may contain 1-3 digits, the sequence number may contain 1-8 digits, the optional suffix may contain 1-4 characters, and the fields are separated with a hyphen. 10 Is Filer a Registered Investment Company or a Business Development Company? Check Box This must be checked by Investment Companies to display fields specifically for Investment Companies. 11 Filer Investment Company Type Pick List*** Filers must indicate their type based on their last effective registration statement (except N-14). (See Rule 313(a) of regulation S-T.) 12 Please Provide a Brief Description of the Update Updated Item X and Exhibits X and Y Brief description of the NRSRO filing changes. This field is optional and allows up to 256 characters. 13 Co-Reg CIK 1234567890 The SEC-supplied CIK for a registrant associated with this submission. September 14, 2026 7-20 EDGAR Filer Manual (Volume II) Field # Field Name Example of Value to be Inserted Definition (Limits of Field) 14 Co-Reg CCC x21234@1 The CCC for a registrant associated with this submission. (8 characters, at least one of which must be a numeral and at least one must be @, #, $, or *). It is case-sensitive. 15 Co-Reg File Number 333-00000-1111 SEC-supplied file number. Required for amendments to 1933 Act registration statements and with specific form types. This field allows up to 17 characters. When adding a new co-registrant to an amendment, you must type “NEW” in the File Number field of the new co-registrant. 16 Co-Reg Duty File Reports Remains? Yes Select Yes or No to indicate if the co-registrant’s duty to file reports under section 13(a) or 15(d) remains. 17 Form Type S-3/A Used to specify a different form type for a co-registrant filing, or to indicate a combination filing. 18 Emerging Growth Company Pick List; Yes or No Select Yes or No to indicate if the co-registrant meets the emerging growth company criteria. 18a Elected not to use the extended transition period for complying with any new or revised financial accounting standards Pick List; Yes or No Select Yes or No to indicate if the co-registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards. If the co-registrant indicated “Yes” for “Emerging Growth Company” in Field 19, it must indicate “yes” or “no” in field 19a. 19 Reporting Owner Information Label Marks the beginning of reporting owner identification and must be followed by the CIK and CCC. Note: This group replaces the Filer CIK/CCC for Form 144. 19a CIK 1234567890 SEC-supplied reporting owner’s CIK. This field allows up to 10 characters. 19b CCC x21234@1 Reporting owner’s CCC (8 characters, at least one of which must be a numeral, and at least one must be @, #, $, or *; case-sensitive). 19c Relationship Pick List; DIRECTOR, OFFICER, OWNER,OTHER Identifies relationship of the reporting owner to the subject company. September 14, 2026 7-21 EDGAR Filer Manual (Volume II) Field # 20 Field Name Period Example of Value to be Inserted 12-31-2000 Definition (Limits of Field) End date of report or period of filing; preferred order is month, day, and year (i.e., mmddyyyy) and EDGAR will convert your input to this format. Months should be abbreviated using the first three letters only (i.e., Apr or JAN).This field is also used for proxy meeting dates (field up to 20 characters; use hyphen, slash, or space to separate numbers). Unless otherwise specified, future dates for most form types will be flagged as errors. Refer to SEC.gov | Automated Conformance Rules for EDGAR Data Fields for information regarding which forms will allow you to use future dates in the Period field. This field will allow you to either enter a date or select a date using the calendar icon. or 12 31 2000 or DEC 31 2000 or 31 DEC 2000 or Dec 31 2000 or 12/31/00 20a Start Period Date Picker; 01-01-1980 Start date of report or period of filing. Date value should be between 01-01-1980 and 12-31-2050. No future date is allowed. The Start Period cannot have the same value as the End Period. 20b End Period Date Picker; 12-31-2050 End date of report or period of filing. Date value should be between 01-01-1980 and 12-31-2050. No future date is allowed. The date entered has to be later than the date entered in Start Period field. 21 Please describe what information is being amended with this filing Updated compliance information in Financial Report Specifies the information that has changed on submission form types SDR-CCO or SDR-CCO/A since the previous compliance report or financial report, and is being updated in this filing. This field is optional if you are amending a previous report for the same period. The field allows up to 1000 characters. 22 Act Radio Button; 33 40 For certain filings by investment companies, the field identifies Act or Acts when the form type may be filed under more than one Act. Valid values when required are 33, 34, 40 or 33 40. If both apply, use the entry with both Acts. or 33 or 40 23 Delaying Amendment Check Box Indicates that submission includes a delaying amendment. 24 References-429 333-00000 Refers to 1933 Act Registration Statements updated pursuant to Rule 429. The value represents the file number of the prior registration statement. If more than one applies, repeat the field for each value. This field allows up to 17 characters. September 14, 2026 7-22 EDGAR Filer Manual (Volume II) Field # Field Name Example of Value to be Inserted Definition (Limits of Field) 25 Reference-462B 333-00000 Identifies the 1933 Act file number associated with the prior effective registration statement for the same offering pursuant to Securities Act Rule 462(b). This field allows up to 17 characters. 26 Subject Company Label Marks the area of subject company information fields. 26a CIK 1234567890 Identification of the subject company. This field allows up to 10 characters. 26b IRS Number 22-7777777 Subject company's IRS employer identification code. The IRS number usually appears on the cover page of a Form 10-K (nine characters plus an optional hyphen; EDGARLink Online displays a hyphen with this tag). 26c Name Small Co. Ltd. Name of the subject company. This field allows up to 150 characters. 26d File Number 005-00000 SEC file number used under subject company for confirming copies and other specific submission types. This field allows up to 17 characters. 27 Is Subject Company a Registered Investment Company or a Business Development Company? Check Box This must be checked when the subject company is an Investment Company to display fields specific to Investment Companies. 28 Investment Company Type Pick List*** Indicate the subject company’s type based on their last effective registration statement (except N-14). (See Rule 313(a) of Regulation S-T.) 29 Items Pick List 8-K and 1-U Items Identifies each reportable event declared in an 8-K or 1-U filing. If more than one applies, repeat the field for each event. See listing of item values and event definitions in Section 1, “8-K and 1-U Items,” of the “How Do I Understand Automated Conformance Rules for EDGAR Data Fields” webpage on SEC.gov (https://www.sec.gov/edgar/automatedconformance-rules). (field is one item selection for each entry). September 14, 2026 7-23 EDGAR Filer Manual (Volume II) Field # 29a Field Name Fiscal Year Example of Value to be Inserted 12/31 Identifies the new Company fiscal year end date mm/dd format. This field allows up to 5 characters. Item 5.03 Amendments to articles of Incorporation or Bylaws; Change in Fiscal Year requires you to enter the new Fiscal Year end date (mm/dd) in the Fiscal Year field. 05/31 29b Item Submission Type Definition (Limits of Field) Pick List; 425 Identifies an optional additional Submission Type that the 8-K submission simultaneously satisfies as an additional filing obligation under Rules 425, 14a-12, 14d-2(b), or 13e4(c). Items 1.01, 1.02, 2.01, 5.01, or 8.01 allow an optional field, Item Submission Type, to specify an additional Submission Type that the 8-K submission simultaneously satisfies as an additional filing obligation. DEFA14A DFAN14A SC TO-C 29c Depositor 33 File Number 333-12345 SEC-supplied file number. Required when an 8-K is the 1st filing for an Asset-Backed Security Issuing Entity and an Item 6.01 is specified. This field allows up to 17 characters. 30 Serial Check Box Used when an offering is made from an effective shelf registration statement and the offering relates to interests in a separate legal entity, such as a trust or partnership, that is distinct from the registrant. Used when applicable to submissions of form type 424B1, 424B2, 424B3, 424B4, 424B5, 424B7, 424B8, or 424H. This will initiate the generation of a new CIK for the serial company created by this filing. 30a Serial Company Name Small Co Ltd Name of the serial company. If more than one, repeat the field. This field allows up to 150 characters. The name should be in conformed format. See conformance definitions in Volume I of the Filer Manual. 31 Is this an electronic copy of an official filing submitted in paper format? Check Box A confirming copy is not an official filing. This tag should be used only when the official filing was previously made on paper. When a confirming copy is sent, the File Number field is visible and mandatory for non-subject company filings. For subject company filings, the File Number field is mandatory and is located under the Subject Company label. If you are using EDGARLink Online, the field automatically appears when you activate the “Confirming Copy” check box. September 14, 2026 7-24 EDGAR Filer Manual (Volume II) Field # 32 Field Name Group Members Example of Value to be Inserted John Smith Identifies list of group member names or joint filers. Used with Williams Act filings when there is more than one member of a Williams Act group or where there are joint filers. The list should exclude the entity identified in the filer tags (there is only one filer). Each name must appear in a separate field. Jane Doe 33 Effectiveness Date Definition (Limits of Field) 10-15-2000 Filer requested effectiveness date that applies to all co-registrants in a co-registrant filing for certain Investment Company filings. Preferred order is month, day, and year, i.e., mmddyyyy and EDGAR will convert your input. This field allows up to 20 characters. Use hyphen, slash, or space to separate numbers. This field will allow you to either enter a date or select a date using the calendar icon. or 10/15/2000 or 10 15 2000 or 15 Oct 2000 or 10/15/00 or OCT 15 2000 34 Depository International Financial Corporation Identifies the bank foreign filers deposited SEC filing fees. This field allows up to 50 characters. 35 Is Filer a Shell Company? Pick List; Yes or No Select Yes or No to indicate if company meets the shell company criteria: a company with no or nominal operations, and with no or nominal assets or assets consisting solely of cash and cash equivalents. 36 Is Filer a Well-Known Seasoned Issuer? Pick List; Yes or No Select Yes or No to indicate if primary registrant meets the well-known seasoned issuer criteria noted in Rule 405 of Regulation C under the Securities Act of 1933 [17 CFR 230.405]. 37 Is Filer a New Registrant? Pick List; Yes or No Select Yes or No to indicate if the primary registrant has been registered or regulated under the Investment Company Act for less than 12 calendar months preceding this filing. 38 Filed Pursuant to General Instruction A.2? Pick List; Yes or No Select Yes or No to indicate if this form is a filing pursuant to General Instruction A.2. 39 Is Fund 24F-2 Eligible? Pick List; Yes or No Select Yes or No to indicate if the fund is 24F-2 eligible. September 14, 2026 7-25 EDGAR Filer Manual (Volume II) Field # Field Name Example of Value to be Inserted Definition (Limits of Field) 40 Is Filer a Voluntary Filer? Pick List; Yes or No Select Yes or No to indicate if primary registrant (other than an investment company) is not required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934. 41 Accelerated Filer Status Pick List; Non-Accelerated Filer or Accelerated Filer or Large Accelerated Filer or Not Applicable Indicates whether the primary registrant is a Large Accelerated Filer, Accelerated Filer, Non-Accelerated Filer, or Not Applicable. Indicate Not Applicable where the accelerated filer status is unknown for the filing period. 42 Is Fee Table/Exhibit included? Pick List; Yes or No Indicates a prospectus that contains a fee exhibit. This field is applicable to all filings where attaching the EX-FILING FEES document is optional, as noted in the “How Do I Understand Automated Conformance Rules for EDGAR Data Fields” webpage on SEC.gov (https://www.sec.gov/edgar/automatedconformance-rules). 43 Is Filing Pursuant to Rule 163? Check Box Indicates that the communications are made under Rule 163. 44 Is Filing Pursuant to Rule 433? Check Box Indicates that the communications are made under Rule 433. 45 Is Filing First Filing of an Issuing Entity? Check Box Indicates that the Free Writing Prospectus is the first filing for an Asset-Backed Security Issuing Entity. 45a Depositor CIK 1234567890 SEC supplied Depositor’s CIK. Required when a Free Writing Prospectus is the 1st filing for an Asset-Backed Security Issuing Entity. This field allows up to 10 characters. 45b Depositor 33 File Number 333-12345 SEC-supplied file number. Required when a Free Writing Prospectus is the 1st filing for an Asset-Backed Security Issuing Entity. This field allows up to 17 characters. 46 Smaller Reporting Company (Investment Companies may not select this option) Check Box Indicates that the company is a smaller reporting company with both a public float and revenues of less than $75 million. September 14, 2026 7-26 EDGAR Filer Manual (Volume II) Field # 47 Field Name Rule 13p-1 Example of Value to be Inserted Check Box Definition (Limits of Field) Indicates that an SD or SD/A submission is being made under Rule 13p-1. The filer is required to select at least one item under which the submission is being made: Item 1.01 or 1.02. (If both Items apply, select Items 1.01 and 1.02). Fields displayed upon selection of Items: Item 1.01: • Period Item 1.02: • Period Note: If you selected Item 1.02 on an SD or SD/A submission form type, then you must attach an EX-1.01 document type (in ASCII or HTML format) using the Documents tab. 48 Rule 13q-1 Check Box Indicates that an SD or SD/A submission is being made under Rule 13q-1. The filer is required to also select Item 2.01. Fields displayed upon selection of Items: Item 2.01: • September 14, 2026 7-27 Period EDGAR Filer Manual (Volume II) Field # 48a Field Name Are you a resource extraction issuer controlled by another resource extraction issuer that has submitted a Form SD disclosing the information required by Item 2.01 for the controlled entity? If so, select “Yes.” If not, select “No.” If you select “No” you must include Exhibit 2.01. Example of Value to be Inserted Pick list; Yes or No Definition (Limits of Field) Select “Yes” if the controlling entity filed Form SD reporting resource extraction data for your organization already. Select “No” if you are a resource extraction issuer that is not controlled by another resource extraction issuer or if your controlling entity did not file a Form SD disclosing the information required by Item 2.01 for the controlled entity. Note: If you selected Item 2.01 on an SD or SD/A submission form type and answered “No” to the question, then you must attach an EX-2.01 document type (in XBRL format) using the Documents tab. If you answered “Yes” EX-2.01 is optional. The filing will be suspended if there are any XBRL validation errors, regardless whether the answer to the question is “Yes” or “No.” Exhibit 3.01 (Opinion of Counsel as required by Rule 13q-1(d)(1) or (2) (17 CFR 240.13q1(d)(1) or (2)) is optional and can be filed on an SD or SD/A submission form type when the filer is claiming an exemption from reporting. 49 Sponsor CIK September 14, 2026 1234567890 The CIK of the Sponsor who organizes and initiates an asset-backed securities transaction by selling or transferring assets to the issuing entity. This field allows up to 10 characters. 7-28 EDGAR Filer Manual (Volume II) Field # 50 51 Field Name ABS Asset Class ABS Sub Asset Class September 14, 2026 Example of Value to be Inserted Pick List Definition (Limits of Field) Asset class of the asset-backed securities. The values are: List Box • Residential mortgages – Prime • Residential mortgages – Non-Prime • Residential mortgages – HELOC • Residential mortgages – Reverse Mortgages • Residential mortgages – Manufactured Housing • Residential mortgages – Other/Combined • Commercial mortgages • Auto loans • Auto leases • Equipment leases • Equipment loans • Student loans • Floorplan financings • Debt Securities • Resecuritization • Credit card • Other Identifies the ABS sub asset class for the asset-backed security. 7-29 EDGAR Filer Manual (Volume II) Field # 52 Field Name Rule 15Ga-1 Example of Value to be Inserted Radio Button Definition (Limits of Field) Indicates a submission is being made under Rule 15Ga-1. The filer is required to select under which item the submission is being made:1.01,1.02, or 1.03 Fields displayed upon selection of Items: Item 1.01: x Securitizer has no activity to report for the initial period pursuant to Rule 15Ga-1(c)(1) Item 1.02: x Start Period x End Period x Has the Securitizer previously filed an ABS-15G under Item 1.01 for the same Asset Class as this report? x File Number x Securitizer has no activity to report for the quarterly period pursuant to Rule 15Ga-1(c)(2)(i) x Securitizer has no activity to report for the annual period pursuant to Rule 15Ga-1(c)(2)(ii) Item 1.03: x Not Applicable (N/A) 52a Securitizer has no activity to report for the initial period pursuant to Rule 15Ga-1(c)(1) Pick list; Yes or No Select Yes or No to indicate if the Securitizer has any activity to report for the initial period pursuant to Rule 15Ga-1(c)(1). 52b Has the Securitizer previously filed an ABS-15G under Item 1.01 for the same Asset Class as this report? Pick list; Yes or No Select Yes or No to indicate if the Securitizer has previously filed an ABS-15G under Item 1.01 for the same Asset Class as this report. September 14, 2026 7-30 EDGAR Filer Manual (Volume II) Field # 52c Field Name File Number Example of Value to be Inserted 025-00000-1 Definition (Limits of Field) If the answer to ‘Has the Securitizer previously filed an ABS-15G under Item 1.01 for the same Asset Class as this report?’ is ‘Yes’, you are required to enter the SEC supplied file number. This field allows up to 17 characters, and only one file number is allowed for each registrant. The valid prefix for the file number is 025-. If the answer to ‘Has the Securitizer previously filed an ABS-15G under Item 1.01 for the same Asset Class as this report?’ is ‘No’, then the system will generate a new “025-” file number, and assign that number to the filing. 52d Securitizer has no activity to report for the quarterly period pursuant to Rule 15Ga-1(c)(2)(i) Pick list; Yes or No Select Yes or No to indicate if the Securitizer has any activity to report for the quarterly period pursuant to Rule 15Ga-1(c)(2)(i). 52e Securitizer has no activity to report for the annual period pursuant to Rule 15Ga-1(c)(2)(ii) Pick list; Yes or No Select Yes or No to indicate if the Securitizer has any activity to report for the annual period pursuant to Rule 15Ga-1(c)(2)(ii). September 14, 2026 7-31 EDGAR Filer Manual (Volume II) Field # 53 Field Name Rule 15Ga-2 Example of Value to be Inserted Radio Button Definition (Limits of Field) Indicates a submission is being made under Rule 15Ga-2. The filer is required to select the item under which the submission is being made: 2.01 or 2.02. Fields displayed upon selection of Items: Item 2.01 - Registered Entity: • Period • Does Securitizer have a CIK? • Securitizer CIK • Has the Securitizer already been assigned a file number with a “025-” prefix? • File Number of Securitizer • Depositor CIK • Filer Number of Depositor • Issuing Entity CIK • Does the Issuing Entity have a file number for the Prospectus filing? • File Number of Issuing Entity Item 2.01 - Unregistered Entity: • Period • Does Securitizer have a CIK? • Securitizer CIK • Has the Securitizer already been assigned a file number with a “025-” prefix? • File Number of Securitizer • Depositor CIK • Issuing Entity Name Item 2.02 - Registered Entity: • Period • Does Securitizer have a CIK? • Securitizer CIK • Has the Securitizer already been assigned a file number with a “025-” prefix? • File Number of Securitizer • Depositor CIK • Filer Number of Depositor • Issuing Entity CIK September 14, 2026 7-32 EDGAR Filer Manual (Volume II) Field # Field Name Rule 15Ga-2 Example of Value to be Inserted Radio Button Definition (Limits of Field) • Does the Issuing Entity have a file number for the Prospectus filing? • File Number of Issuing Entity • Underwriter CIK Item 2.02 - Unregistered Entity: • Period • Does Securitizer have a CIK? • Securitizer CIK • Has the Securitizer already been assigned a file number with a “025-” prefix? • File Number of Securitizer • Depositor CIK • Issuing Entity Name • Underwriter CIK 53a Period 12-31-2000 End date of reporting or period of filing: date formats entered will be converted to the EDGAR preferred format mm-dd-yyyy. The date must be between 01-01-1980 and 12-31-2050 and a future date is not allowed for this field. Refer to Section 5, “Period,” of the “How Do I Understand Automated Conformance Rules for EDGAR Data Fields” webpage on SEC.gov for information regarding which forms will allow you to use future dates in the Period field (https://www.sec.gov/edgar/automatedconformance-rules). This field will allow you to either enter a date or select a date using the calendar icon. or Dec 31 2000 or 12/31/00 53b Does Securitizer have a CIK? Pick list; Yes or No Select Yes or No to indicate if the Securitizer has a CIK. 53c Securitizer CIK 1234567890 If the answer to ‘Does Securitizer have a CIK?’ is ‘Yes’, you are required to enter the SEC supplied CIK for the Securitizer. This field allows up to 10 characters. 53d Has the Securitizer already been assigned a file number with a “025-” prefix? Pick list; Yes or No Select Yes or No to indicate if the Securitizer already has already been assigned a file number. September 14, 2026 7-33 EDGAR Filer Manual (Volume II) Field # Field Name Example of Value to be Inserted Definition (Limits of Field) 53e File Number of Securitizer 025-12345 If the answer to ‘Has the Securitizer already been assigned a file number with a “025-” prefix?’ is ‘Yes’, you are required to enter the SEC supplied file number of the Securitizer. This field allows up to 17 characters. The prefix may contain 1-3 digits, the sequence number may contain 1-8 digits, the optional suffix may contain 1-4 characters, and fields are separated with a hyphen. Valid prefix for submission types ABS-15G and ABS-15G/A is 025-. 53f Depositor CIK 1234567890 SEC supplied CIK for the Depositor. This field allows up to 10 characters. 53g File Number of Depositor 333-12345, 001-12345 The SEC supplied file number of the Depositor. If registered (selected “Item 2.01 - Registered Entity” or “Item 2.02 - Registered Entity” for Rule 15Ga-2), include the file number of the Registration Statement to which this form relates. This field allows up to 17 characters. The prefix may contain 1-3 digits, the sequence number may contain 1-8 digits, the optional suffix may contain 1-4 characters, and fields are separated with a hyphen. Valid prefixes for submission types ABS-15G and ABS-15G/A are 001- and 333-. 53h Issuing Entity CIK 1234567890 SEC supplied CIK for the Issuing Entity. This field allows up to 10 characters. 53i Issuing Entity Name Small Ltd Name of the Issuing Entity associated with the filing. This field allows up to 150 characters. 53j Does the Issuing Entity have a file number for the Prospectus filing? Pick list; Yes or No Select Yes or No to indicate if the Issuing Entity has a file number for the Prospectus filing. September 14, 2026 7-34 EDGAR Filer Manual (Volume II) Field # Field Name Example of Value to be Inserted Definition (Limits of Field) 53k File Number of Issuing Entity 333-12345, 001-12345 If the answer to ‘Does the Issuing Entity have a file number for the Prospectus filing?’ is ‘Yes’, you are required to enter the SEC supplied file number of the Issuing Entity. If registered (selected “Item 2.01 - Registered Entity” or “Item 2.02 - Registered Entity” for Rule 15Ga-2), include the file number of the Prospectus filing to which this form relates. This field allows up to 17 characters. The prefix may contain 1-3 digits, the sequence number may contain 1-8 digits, the optional suffix may contain 1-4 characters, and fields are separated with a hyphen. Valid prefixes for submission types ABS-15G and ABS-15G/A are 001- and 333-. 53l Underwriter CIK 1234567890 If you selected “Item 2.02 - Registered Entity” or “Item 2.02 - Unregistered Entity” for Rule 15Ga-2), then you are required to enter the SEC supplied CIK of the Underwriter. This field allows up to 10 characters. 54 Accession Number 0000000000-12-000191 Refers to the Accession number of the submission type that the filer is amending or referencing. This field allows up to 20 characters. Submission form types NPORT-EX and NPORT-EX/A allow filers to provide multiple Accession numbers. 55 Emerging Growth Company Pick List; Yes or No Select Yes or No to indicate if primary registrant meets the emerging growth company criteria. 55a Elected not to use the extended transition period for complying with any new or revised financial accounting standards Pick List; Yes or No Select Yes or No to indicate if primary registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards. If the primary registrant indicated “Yes” for “Emerging Growth Company” in Field 52, it must indicate “yes” or “no” in field 52a. 56 Exchange CIK 1234567890 SEC-supplied CIK for an Exchange. This field allows up to 10 characters. This field is only applicable for submission form type CERT. 57 Exchange CCC x21234@1 SEC-supplied CCC for an Exchange (8 characters, at least one of which must be a numeral, and at least one must be @, #, $, or *; case-sensitive). This field is only applicable for submission form type CERT. September 14, 2026 7-35 EDGAR Filer Manual (Volume II) Field # Field Name Example of Value to be Inserted Definition (Limits of Field) 58 Registrant CIK 1234567890 SEC-supplied CIK for the registrant company being added to that Exchange. This field allows up to 10 characters. This field is only applicable for submission form type CERT. 59 Is this a Combined 10-D/ABS-EE filing? Pick List; Yes or No Select Yes or No to indicate if a Form 10-D filing will be combined with a Form ABS-EE in a single submission. If you indicate “Yes,” you must complete fields 56a through 56c. 59a ABS-EE Start Period Date Picker; 01-01-1980 Required if you select “Yes” for either the “Is this a Combined 10-D/ABS-EE filing?” field or the “Amending a previously filed Combined 10-D/ABS-EE filing?” field. Start date of report or period of filing. Date value should be between 01-01-1980 and 12-31-2050. No future date is allowed. The Start Period cannot have the same value as the End Period. 59b ABS-EE End Period Date Picker; 12-31-2050 Required if you select “Yes” for either the “Is this a Combined 10-D/ABS-EE filing?” field or the “Amending a previously filed Combined 10-D/ABS-EE filing?” field. End date of report or period of filing. Date value should be between 01-01-1980 and 12-31-2050. Future date is allowed. The date entered has to be later than the date entered in Start Period field. The value for the “ABS-EE End Period” will be shared with the 10-D submission as part of a combined submission. 59c ABS-EE File Number 005-00000 Required if you select “Yes” for either the “Is this a Combined 10-D/ABS-EE filing?” field or the “Amending a previously filed Combined 10-D/ABS-EE filing?” field. SEC file number used under subject company for confirming copies and other specific submission types. This field allows up to 17 characters. 59d ABS-EE Co-Reg CIK 1234567890 Appears only if you select “Yes” for either the “Is this a Combined 10-D/ABS-EE filing?” field or the “Amending a previously filed Combined 10-D/ABS-EE filing?” field. A Co-Reg CIK provided here is for the ABS-EE portion of the combined submission, and can be different from a Co-Reg CIK provided for the 10-D portion of a combined submission. If a value is provided, then you must complete fields 56e and 56f. September 14, 2026 7-36 EDGAR Filer Manual (Volume II) Field # Field Name Example of Value to be Inserted Definition (Limits of Field) 59e ABS-EE Co-Reg CCC x21234@1 Appears only if you select “Yes” for either the “Is this a Combined 10-D/ABS-EE filing?” field or the “Amending a previously filed Combined 10-D/ABS-EE filing?” field. The CCC for a registrant associated with the ABS-EE portion of the combined submission. (8 characters, at least one of which must be a numeral and at least one must be @, #, $, or *). It is case-sensitive. Required only if you provide a value for 56d. 59f ABS-EE Co-Reg File Number 333-00000-1111 Appears only if you select “Yes” for either the “Is this a Combined 10-D/ABS-EE filing?” field or the “Amending a previously filed Combined 10-D/ABS-EE filing?” field. SEC-supplied file number. Required for amendments to 1933 Act registration statements and with specific form types. This field allows up to 17 characters. When adding a new co-registrant to an amendment, you must type “NEW” in the ABS-EE File Number field of the new co-registrant. Required only if you provide a value for 56d. 60 Amending a previously filed Combined 10-D/ABS-EE filing? Pick List; Yes or No Select Yes or No to indicate if the Form 10-D/A filing will be combined with a Form ABS-EE/A in a single submission. If you indicate “Yes,” you must complete fields 56a through 56c, and 57a. 60a ABS-EE Accession Number 0000000000-12-000191 Required if you select “Yes” for the “Amending a previously filed Combined 10-D/ABS-EE filing?” field. Refers to the Accession number of the ABS-EE submission type that the filer is amending. This field allows up to 20 characters. *These fields are read-only. You do not need to enter information: EDGARLink Online automatically fills these fields. **The values on the Form Type pick list are: x S-1 x S-3 x S-1/A x S-3/A x S-1MEF x S-3MEF ***The values on the Investment Company Type pick list are: September 14, 2026 7-37 EDGAR Filer Manual (Volume II) x Form N-1A Filer (Mutual Fund) x Form N-1 Filer (Open-End Separate Account with No Variable Annuities) x Form N-2 Filer (Closed-End Investment Company) x Form N-3 Filer (Separate Account Registered as Open-End Management Investment Company) x Form N-4 Filer (Variable Annuity UIT Separate Account) x Form N-5 Filer (Small Business Investment Company) x Form N-6 Filer (Variable Life UIT Separate Account) x Form S-1 or S-3 Filer (Face Amount Certificate Company) x Form S-6 Filer (UIT, Non-Insurance Product) Note: “Form N-4 Filer” also includes registered non-variable annuities. 7.3.3.3 Test and Live Filings If you want to submit a test filing through EDGARLink Online, you have to set the “TEST” radio button on the Main page. EDGAR treats the submission as a test and it will not be disseminated. WARNING: (1) If you want your submission to be live, you must use the “LIVE” radio button: Acceptance processing and public dissemination is an automated process that takes place immediately upon receipt of live filings. Public portions of a live filing are immediately disseminated to the public. (2) If you use the “TEST” radio button, the filing is not an official filing. If you intended to submit a live filing, you must change the radio button to “LIVE” and transmit the submission. 7.3.3.4 Filing on Behalf of More than One Entity When a registration statement is made on behalf of more than one entity, you must include the co-registrant CIK and CCC for each entity in the Main page in the fields provided. The CCC will be listed in the EDGAR Filer Management dashboard for each CIK for which you are authorized to take action in EDGAR. Caution: All co-registrant filings must apply to the same Act(s). Only registrants identified in the Filer CIK field as the filer in the original registration can be part of the submission of an amendment. Note: A maximum of 999 co-registrants is acceptable per submission. Co-registrants in excess of this number must be split into multiple submissions. When a submission requires Series and Classes, EDGARLink Online will prevent you from transmitting the submission if the filing does not include at least one valid Series and Class ID: x For the registrant. x For each existing co-registrant. September 14, 2026 7-38 EDGAR Filer Manual (Volume II) When a filing involves a single registration statement under the 1933 Act filed on behalf of more than one registrant (co-registrants), you must add a CIK and CCC field for each registrant on the Main page. If the filing is an amendment to the registration statement, you must include the File Number for each registrant. If you are adding a new co-registrant to an amendment, you must type “NEW” in the File Number field of the new co-registrant. The following table lists form types that can be combined within a single filing for the primary registrant and co-registrant(s) when the submission type is S-1, S-3, S-1/A, S-3/A, S-1MEF, or S-3MEF. When the submission type is: Then the form type can only be used to refer to: S-1 S-1 or S-3 S-3 S-3 or S-1 S-1/A S-1/A or S-3/A S-3/A S-3/A or S-1/A S-1MEF S-1MEF or S-3MEF S-3MEF S-3MEF or S-1MEF See Section 7.4, “Validating Your Submission,” for details of all submission types that can be combined, either with multiple registrants or a single registrant. 7.3.4 The EDGARLink Online Attached Documents List Page The Attached Documents List page will list your documents after you attach them, and is designed similarly to the Main page, in that there are fields, check boxes, and buttons that assist you in entering descriptions about your documents, validating your documents, and navigating from one screen to another. 7.3.4.1 Attached Documents List Page Fields On the Attached Documents List page, the File Name field is automatically entered when you attach a document; see Section 7.3.4.4, “Attaching a Document.” The Type field provides you with a list of document types you can attach such as: Cover, Correspondence, Graphic, EU-1, and exhibits. The Description field (which is optional) is used to enter a description for the document up to 255 characters in length. You can attach as many documents as you would like; see Section 7.3.4.5, “Attaching Multiple Documents.” Clicking the check box next to the File Name field will automatically select all attachments for this submission. Corresponding to each attached document is a check box, which when selected indicates which attachment to process when one of the tab functions is chosen (for eg. Delete Document, View Document, etc). You can validate the attachment for errors by selecting the check box corresponding to the attachment and clicking the [Doc Validation] button; see Section 7.4.2, “Document Validation.” If errors are found after Doc validation is performed, EDGARLink Online displays the number of errors in the Errors field. Another field on the page is the Document Count field. This field automatically inserts the number of submission documents you attach to the submission. EDGARLink Online automatically calculates this number based on the number of submission documents you attach. September 14, 2026 7-39 EDGAR Filer Manual (Volume II) For more information on attaching submission documents; see Section 7.3.4.4, “Attaching a Document.” Filers can attach an exhibit of Type “EX-FILING FEES” in Inline XBRL format to the 72 fee- bearing submission types on the Documents tab. To construct the EX-FILING FEES within EDGAR using FEPT, filers must select the “Attach Inline XBRL Filing Fee exhibit?” check box displayed under the “Document Count” field. The “Fee Exhibit Preparation Tool” hyperlink and the “Payor Info” tab are displayed on the EDGARLink Online interface replacing the fee header tabs “Fee Offsets” and “Offerings & Fees.” Refer to the section “Accessing FEPT” in the EDGAR Filing Fee Interface Courtesy Guide available at (https://www.sec.gov/files/edgar/filing-fee-interface-guide.pdf) for further information. An additional field available on submission form types SDR-CCO, SDR-CCO/A, SBSEF, SBSEF/A, SBSEF-CCO-RPT, SBSEF-CCO-RPT/A, SBSEF-FIN-QTR, SBSEF-FIN-QTR/A, SBSEF-FIN-REQ, and SBSEF-FIN-REQ/A is the “Request Confidentiality” check box. The “Request Confidentiality” check box allows applicants to request confidential treatment for each attached document. By default, the “Request Confidentiality” check box will not be selected and confidential treatment is waived. Table 7-2: Information Fields Available on Documents Page lists all the fields available on the Documents List page. Table 7-2: Information Fields Available on Documents Page Field # Field Name Example of Value to be Inserted Definition (Limits of Field) 60 Document Count** 1 Number of documents included in the submission. 61 File Name** r10q99.txt The file name of the document you attach. The file name is automatically inserted from the Attach window. 62 Module or Segment Name* Opinion 1 The name of the module or segment currently stored on EDGAR. 63 Master Seg CIK* 1234567890 The CIK of the filer for the master segment, the submission you are attaching the segment to. 64 Related Form Pick List; 10-D Appears only if you select “Yes” for either the “Is this a Combined 10-D/ABS-EE filing?” field or the “Amending a previously filed Combined 10-D/ABS-EE filing?” field on the Main Page. On a combined submission, indicates to EDGAR whether an uploaded attachment belongs to the 10-D primary submission or the secondary ABS-EE submission. This holds true for a combined 10-D/A and ABS-EE/A submission. September 14, 2026 7-40 EDGAR Filer Manual (Volume II) Field # 65 Field Name Type Example of Value to be Inserted Pick List; 10-Q Definition (Limits of Field) Indicates to EDGAR the type of document being attached. This field assists EDGAR in keeping public and non-public documents separated. Optionally, you can click the Pen icon to add a decimal point (.) after the last character of the document type value and include up to 20 characters in the Type field. For example, 10-Q.primary 66 Description 2000 Quarterly Report Is not a required field. We do ask that you describe the document, graphic, or exhibit you are attaching. This field allows a maximum of 255 characters. 67 Errors** Link Displays the number of errors in the attached document. Filer can click the link to view the errors. 68*** Request Confidentiality Check Box Allows applicants to request confidential treatment for attached documents. * These fields appear in the Module/Segment submission only. ** These fields are read-only: you do not need to enter information. EDGARLink Online automatically fills these fields. *** This field appears only on submission form types SDR-CCO, SDR-CCO/A, SBSEF, SBSEF/A, SBSEF-CCO-RPT, SBSEF-CCO-RPT/A, SBSEF-FIN-QTR, SBSEF-FIN-QTR/A, SBSEF-FIN-REQ, and SBSEF-FIN-REQ/A. Type 1 and 2 modules and segments must have unique file names and unique module and segment names. Note: When you assemble a submission that includes multiple documents, i.e., correspondence, cover letter, etc., EDGARLink Online updates the File Name fields automatically when you attach additional documents. When you incorporate segments and modules, these values represent the number of documents that will be contained in the submission after final assembly. 7.3.4.2 Document Count Although this field is read-only and EDGARLink Online automatically fills in this field, there are limitations on its value. Please use the following guidelines when adding a document to a filing. A submission may include a maximum of 612 documents in the following combinations: x At least one (1) primary submission document* x Up to ten (10) cover letters (document type “COVER”) x Up to one hundred (100) correspondence documents (document type “CORRESP”) x Up to five hundred (500) exhibits/graphics files (document type “EX__”)** September 14, 2026 7-41 EDGAR Filer Manual (Volume II) x 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 the “How Do I Understand EDGARLink Online Subission Types” webpage on SEC.gov to find more information and/or the relevant rule or form requirements (https://www.sec.gov/submit-filings/filer-support-resources/how-do-iguides/understand-edgarlink-online-submission-types). 7.3.4.3 Submission Documents In previous sections, we discussed preparing the documents that you are including in your submission. The documents supported include: ASCII, HTML, PDF, XBRL, and *.jpg/*.gif graphics only. In text documents, lines cannot be more than 80 characters wide, unless in a table that is no more than 132 characters wide, and no special characters. When you prepare your documents using EDGARLink Online, you no longer include Header or Document tags. EDGARLink Online automatically takes care of that for you. 7.3.4.4 Attaching a Document Once you have prepared your submission document, correspondence, or cover letter, you can include it in your submission by using EDGARLink Online. This procedure assumes you have a submission open and a submission document prepared: 1. 2. 3. 4. Click the Documents tab. The Attached Documents List page appears. Click the [Add Document] button. EDGARLink Online displays the Attachment Selection and Upload window. To attach multiple documents to a submission you can select multiple files in the browser window before selecting the [Open] button. 5. Click the [Browse] button. The Choose file window appears. Open the location of your documents using the Look in: field. ƒ Click the down button in the right hand side of the field. ƒ Select the folder you want to open by clicking it. ƒ The folder structure appears in the window with the subdirectories and files. Double click the subdirectory folders until your submission file appears. 6. Click once on the file you want to attach; it could be a document, graphic, or PDF file. 7. Click the [Open] button. The file you selected appears in the Attached Documents List page. September 14, 2026 7-42 EDGAR Filer Manual (Volume II) 7.3.4.5 Attaching Multiple Documents While creating a submission, there are occasions where you will attach more than one document, for instance a cover letter, correspondence, a revised submission document, and a PDF version of your submission document. In order for EDGAR to divide documents into public and private documents, each of these documents should be listed individually on the Attached Documents List page rather than compiled into one document. To attach multiple documents, follow the same procedures as attaching a single document. This creates additional lines in the document list: x Press the [Shift] key to select a list of documents. x Press the [Ctrl] key to select more than one document in a list. 7.3.4.6 Requesting Confidential Treatment for Attached Documents Applicants can request confidential treatment for each attached document on submission form types SDR-CCO, SDR-CCO/A, SBSEF, SBSEF/A, SBSEF-CCO-RPT, SBSEF-CCO-RPT/A, SBSEF-FIN-QTR, SBSEF-FIN-QTR/A, SBSEF-FIN-REQ, and SBSEF-FIN-REQ/A. SEC staff will review the submission and make a determination of whether the document attachment for which confidential treatment is requested should be made public. EDGAR will disseminate only the attached documents of the SDR-CCO and SDR-CCO/A submission that SEC staff has determined to be public. See section 7.2.38.2 for information regarding Form SBSEF confidentiality requests. To request confidential treatment for attached document types: 1. Follow the steps 1 -7 described in Section 7.3.4.4 to attach a document. 2. Select the type of document from the “Type” drop down list. 3. Enter a description for the attached document in the Description field. This field is optional and allows a maximum of 255 characters. 4. Select the “Request Confidentiality,” or “Confidentiality Requested,” check box for the document you want to request confidential treatment. Note: By default, the check box will not be selected for each attached document. 7.3.4.7 Organizing Documents EDGARLink Online has added a new feature on the Attached Documents List page. After you attach your documents and the file names appear in the File Name field, you can organize the document names on the Attached Documents List page. EDGARLink Online has two additional buttons on this page: [Move Doc Up] and [Move Doc Down]. To move a document up the list: 1. Select the check box next to the File Name field for the document you want to move. 2. Click the [Move Doc Up] button. To move a document down the list: 1. Select the check box next to the File Name field for the document you want to move. September 14, 2026 7-43 EDGAR Filer Manual (Volume II) 2. Click the [Move Doc Down] button. Note: This organization function moves the documents only until they are either at the top or bottom of the list. 7.3.4.8 Correcting a Document If errors are found after validation is performed, EDGARLink Online displays the number of errors in the Errors field on the Attached Documents List page. You can click the value in the Errors field of each validated document to view the validation errors, if any. To ensure your changes are reflected in future submissions, you should use the original application (e.g., word processor) to correct the errors, save the document, and re-attach your submission documents. 7.3.4.9 Removing a Document As you are preparing your submission, you may need to detach or delete a document from your submission. The process to remove a document from your submission is as easy as attaching a document: 1. Select the check box next to the File Name field for the document you want to remove. 2. Click the [Delete Document] button. EDGARLink Online prompts you to confirm that you want to remove your document. If you click [Yes], then EDGAR removes the document from your submission. You can use this process if the file contains errors when you validate your document. 7.3.4.10 Replacing a Document Rather than removing an incorrect document, you can re-attach a corrected version of the document with the same name: 1. Click the [Add Document] button. 2. Click the [Attach] button. 3. Choose the corrected submission document and click the [Open] button. EDGARLink Online warns you that the file(s) is already attached, and asks if you would like to replace the selected file(s). 4. Click the [Yes] button if you want to replace it. EDGARLink Online then replaces the document in your submission. 7.3.4.11 Viewing a Document Once you have attached a document, you may want to view the document’s text: 1. Select the check box next to the File Name field for the document you want to view. 2. Click the [View Document] button. 3. The attached document appears. From here you can review your document by September 14, 2026 7-44 EDGAR Filer Manual (Volume II) scrolling through it or printing a copy. 4. To return to your submission close the viewer window. 5. If you have multiple documents attached in your submission, you will have to choose which documents you want to view. You can only view one document at a time. 7.3.4.12 Printing Documents Before you transmit your submission, you might want to print your submission document. You can do this using EDGARLink Online: 1. Display your submission document, as described above. 2. Use the browser’s print feature to send your document to your printer. 7.3.5 The EDGARLink Online Notification Information Page EDGARLink Online allows you to notify multiple e-mail addresses of the status of your EDGAR submission. You can add these additional addresses on the Notification Information page. They will receive acceptance/suspense messages for both Live and Test filings. If you need to change your default notification address, you can change it on the EDGAR Filing Website using the “Retrieve/Edit Data” option. Table 7-3 contains the fields available on the Notification page. September 14, 2026 7-45 EDGAR Filer Manual (Volume II) Table 7-3: Information Fields Available on Notification Information Page Example of Value to be Inserted Field # Field Name Definition (Limits of Field) 69 Internet Notification Address Jsmith@xyz.com Identifies Internet User IDs that are to receive submission acceptance or suspense messages. Cannot be used to request Return Copies. This field must be in standard Internet address format, including exactly one “@” character and all necessary “.” Characters; only EDGAR acceptable characters are allowed in the address; each address may be up to eighty (80) characters long. 70 Notify via Filing website Only Check Box For a filer who wants only to download their notifications from the EDGAR Filing Website. This is suggested if you are transmitting a filing after 5:30 P.M. 7.3.5.1 Adding Notification Addresses Place your additional notification e-mail addresses on the Notification Information page: 1. From your open submission, click the Notifications tab. 2. The Notification Information page appears. 3. Enter the additional Internet e-mail address in the Internet Notification Address field. Click the [Add] button. Note: If there are additional Internet e-mail addresses that you want to enter click the [Add] button. You are allowed to add as many e-mail addresses as you would like. 7.3.5.2 Removing Notification Addresses As you are preparing your submission, you may need to remove or delete an internet notification address from your submission. The process to remove an internet notification address from your submission is as easy as adding a notification address: 1. From your open submission, click the Notifications tab. 2. Select the check box next to the Internet Notification Address field for the notification addresses you want to remove. 3. Click the [Delete] button. EDGARLink Online prompts you to confirm that you want to remove your notification addresses. If you click [Yes], then EDGAR removes the Internet Notification Addresses from your submission. 7.3.6 The EDGARLink Online Module/Segment Page A module or segment is information that is stored on the non-public data storage area of EDGAR. Information about creating module and segment documents is covered in Section 5.3, “Preparing or Referencing Module and Segment Documents.” Also included in this section is September 14, 2026 7-46 EDGAR Filer Manual (Volume II) information on including references to Type 1 modules and segments in other filing documents. Before using either Type 1 or Type 2 modules/segments in a filing, you must submit them so that they reside on the non-public data storage. The submission of these documents is outlined in Section 7.3.11, “Module and Segment Submissions.” Information on managing your modules and segments while they are in the private storage area is covered in the “Retrieve Module/Segment Information” webpage on SEC.gov at (https://www.sec.gov/submit-filings/filersupport-resources/how-do-i-guides/determine-status-my-filing#section6). This section will tell you how to add Type 2 module and segment documents as you prepare your submission. When you add these documents, EDGARLink Online automatically inserts the reference in your submission, retrieves the document from the non-public storage area, and places the documents at the end of the submission. To add Type 2 module/segment documents to a submission on the EDGARLink Online Main Page, click the Module/Segment tab. The Referenced Module/Segment List Page will appear. You can use this screen to add the documents. Fields on the page will be based on whether the document you are adding is a module or segment. If you select the “M” check box, both the CIK and CCC fields are enabled. If you select the “S” check box the entry boxes under the CIK and CCC will disappear. Table 7-4: Information Fields Available on the Referenced Module/Segment List Page contains the fields available on the Referenced Module/Segment List page. It will help you correctly complete the fields on this page by defining the content of each field and giving an example. Table 7-4: Information Fields Available on the Referenced Module/Segment List Page Field # Field Name Example of Value to be Inserted Definition (Limits of Field) 71 M/S Check box Identifies the reference as a (M)odule or (S)egment. 72 Module/Segment Name OPINION 1 Identifies the name of the Type 2 module or segment currently residing on EDGAR that you are including in your submission. 73 CIK 12345687890 Identifies the primary owner of the Type 2 module you reference in your submission. 74 CCC x21234@1 Identifies the CCC of the primary owner of the Type 2 module you reference in your submission. 75 Type Pick List; EX-1 Identifies the document type of module or segment you are referencing. 7.3.6.1 Referencing Your Module or Segment Document When you reference Type 1 modules and segments (partial documents) in your submission, you should make reference inside your submission document to a Type 1 module or segment currently residing on the EDGAR system. Type 1 and 2 modules and segments should have unique file names and module and segment names. You reference your Type 2 modules in EDGARLink Online on the Referenced Module/Segment September 14, 2026 7-47 EDGAR Filer Manual (Volume II) List page. When EDGAR processes your submission, the module (or segment) residing on the system is automatically attached to the bottom of the submission. When you reference Type 2 modules and segments (one complete document), EDGARLink Online automatically inserts the reference in your submission. The following sections describe how to reference Type 2 modules and segments. 7.3.6.2 Including Type 2 Modules in Your Submission These instructions assume that EDGAR has previously accepted your module: 1. 2. 3. 4. Click the Module/Segment tab. The Referenced Module/Segment List page appears. Select the “M” check box. The CIK and CCC fields are enabled. Enter the module name (not the module file name) in the Module/Segment field. Enter the CIK and CCC of the filer whose module you are placing within your submission. EDGARLink Online will validate the CIK and CCC pair to ensure it is correct. 5. Select the document type of your module in the Type field: ƒ Click the down button. ƒ Scroll until you see the module document type. ƒ Click the document type to enter it in to this field. If the referenced module does not exist on EDGAR, your submission will be suspended. 7.3.6.3 Including Type 2 Segments in Your Submission These instructions assume that EDGAR has previously accepted your segment: 1. Click the Module/Segment tab. The Referenced Module/Segment List page appears. 2. Select “S” for the M S field. 3. Enter the segment name (not the segment file name) in the Module/Segment Name field. 4. Select the document type of your segment in the Type field: ƒ Click the down button. ƒ Scroll until you see the segment document type. If your document is a cover letter or correspondence, be sure it is correctly marked. ƒ Click the document type to enter it in to this field. IMPORTANT: If your document is a cover letter or correspondence, be sure to give it the correct type. Otherwise it will be disseminated immediately to the public. If the referenced segment does not exist on EDGAR, your submission will be suspended. 7.3.6.4 Errors in Segments EDGAR validates segments at the time you submit them. If a segment contains errors, EDGAR reports those errors to you and/or your filing agent. September 14, 2026 7-48 EDGAR Filer Manual (Volume II) If a transmitted Type 1 or 2 segment contains only white space (is blank), EDGAR will suspend the entire submission. If an error arises when the EDGAR system attempts to combine segments, or if EDGAR detects an error in the master segment, EDGAR will suspend the filing. The expiration dates of subordinate segments referenced in the master segment are extended six business days from the day of suspension of the master segment. When EDGAR detects an error in a subordinate segment, the segment is not accepted and you must re-submit the corrected subordinate segment. Note: EDGARLink Online will raise an error when it is error-checking a master segment with Type 2 segment references and it cannot find the segment referenced. This error will not occur if all subordinate segments are present on EDGAR when the master segment is filed and the document count accounts for all documents in the assembled filing. 7.3.7 The EDGARLink Online Series/Classes (Contracts) Information Page Refer to Rule 313 of Regulation S-T [17 CFR 232.313] for the substantive rule requirements underlying the functions of this page. The Series/Classes tab will appear on the Main Page based on responses to information on the Main Page. The answers that trigger the display of the Series/Classes tab may include the following: x When the form type can includes series and class (contract) information, x When the filer has selected an option from the Filer Investment Company Type pick list on the Main page. x When the Filer Investment Company type selected is an S/C type, listed below: x x x x Form N-1A (Mutual Fund) Form N-3 (Separate Account registered as Open-End Management Investment Company) Form N-4 (Variable Annuity UIT Separate Account) Form N-6 (Variable Life UIT Separate Account) Note: “Form N-4 Filer” also includes registered non-variable annuities. The filer may click the Series/Classes tab on the Main Page to access the Series /Classes (Contracts) Information Page. This page is used to add series and class (contract) information to a filing. This page is used for three purposes: x Indicating existing series and class (contract) identifiers on behalf of which a filing is being made (“Existing” radio button) x Adding new series and class (contract) names on behalf of which a filing is being made (“Adding New” radio button) x Provide identifying information on series and classes (contracts) that are parties to a merger (“Merging” radio button) September 14, 2026 7-49 EDGAR Filer Manual (Volume II) The page is first displayed with the “Adding New” radio button selected. Selecting the “Existing” radio button will change the fields displayed on the form. The submission form type will determine which of the fields and buttons are available. For example, the N-14 submission form type will display the “Merging” radio button, while the 485APOS form type will display the “Existing” and “Adding New” radio buttons. In addition to the radio buttons being dependant on the form type, the fields available will depend on the Investment Company Type. For example, an N-1A filer will be asked for both series and class (contract) information, while the N-6 filer will not enter series information but will be asked instead for class (contract) information. Filers have a duty to update and keep current existing series and class (contract) information. See Rule 313(a) (1) and (2) of Regulation S-T. Filers can update information via the Series and Classes (Contracts) Information page accessible on the EDGAR Filing Website. See EDGAR Filer Manual, Volume I for more information. Use the Series and Classes (Contracts) Information page for the following: x Series and class (contract) name changes and adding ticker information after the ticker has been received from the exchange. x In the case of a merger, the filer must use the page to set the status of series and classes (contracts) to Merge after a merger becomes effective. x Set the status of series and classes (contracts) to Inactive after all required filings have been made for the series or class (contract). 7.3.7.1 EDGAR Submission Form Types with Investment Company Type and the Series/Classes (Contracts) Information Page For those EDGAR submission types identified in this filer manual, filers must include all series and/or class (or contract) identifiers of each series and or class (or contract) on behalf of which a filing is made. See Rule 313(a)(3) of Regulation S-T. EDGARLink Online is programmed to help the filer by asking questions only when appropriate. Questions on the Investment Company Type and/or series and classes (contracts) information will be based on the form type. On registration statements and certain amendments, the Investment Company Type of the primary registrant is determined based on the EDGAR submission form type. Thus on the Main Page for registrations and certain amendments, the pick-list for Investment Company Type shows the IC type and all other values are grayed-out. Filers may not change the IC type on these form types: N-1A, N-1A/A, N-2, N-2/A, N-2MEF, N-2ASR, N-2 POSASR, N-3, N-3/A, N-4, N-4/A, N-5, N-5/A, N-6, N-6/A, S-1, S-1/A, S-3, S-3/A, S-6, S-6/A. Other form types for Investment Companies are filed by the primary registrant but are not registrations and pre-effective amendments. These include: 485APOS, 485BPOS, 485BXT, 497, 497AD, 497J, 497K, 497VPI, 497VPSUB, 497VPU, N-VP, N-VP/A, N-VPFS, N-VPFS/A, DEF 14A, DEF 14C, DEFA14A, DEFA14C, DEFM14A, DEFM14C, DEFR14A, DEFR14C, N-14, N-14/A, N-30B-2, N-30D, N-30D/A, N-CSR, N-CSR/A, N-CSRS, N-CSRS/A, N-RN, N-RN/A, NT-NCSR/A, POS AMI, PRE 14A, PRE 14C, PREM14A, PREM14C, PRER14A, and PRER14C. On these EDGAR submission form types, a pick-list is provided for the Investment Company September 14, 2026 7-50 EDGAR Filer Manual (Volume II) Type of the primary registrant. On most of these form types, Series and classes (contracts) identifiers might also be required in the submission. These EDGAR submission form types are for registrant and non-registrant third party filers making proxy filings with respect to subject investment companies. On these EDGAR submission form types, an Investment Company type pick-list defines the IC type of the subject company. Series and classes (contracts) identifiers might be required, depending on the (subject company) Investment Company Type and the form type: DEFC14A, DEFC14C, DEFN14A, DFAN14A, DFRN14A, 425, PREC14A, PREC14C, PREN14A, PRRN14A, PX14A6G, and PX14A6N. EDGAR may also require filers to include series and class (or contract) identifiers in the headers of certain online forms and filer-constructed submissions. These include: 24F-2NT, 24F-2NT/A, N-CEN, N-CEN/A, N-CR, N-CR/A, N-PX, N-PX/A, NPORT-P, NPORT-P/A, NPORT-NP, and NPORT-NP/A. 7.3.7.1.1 Series and Class (Contract) Information based on EDGAR Submission Form Type Some of the EDGAR submission form types listed above in Section 7.3.7.1 can be used by filers to identify merged and new series and classes (contracts). New series and classes (contracts) identifiers may be obtained by the filing of most registration statements, pre-effective and post-effective amendments. There are a few exceptions to the general rule however. Form N-4 and N-6 filers get an automatically generated single series. The name of the series is identical to the filer name when the first class (contract) is defined. The second exception is that the 485BPOS may only be used to obtain identifiers for new classes (contracts), but not for new series. The form types in this group are as follows: N-1A, N-1A/A, N-3, N-3/A, N-4, N-4/A, 485APOS, 485BPOS, POS AMI, N-6, N-6/A. A few submission form types can be used to identify series and classes (contracts) merger data. These form types are as follows: 425, DEFM14A, DEFM14C, N-14, N-14/A, PREM14A, and PREM14C. Some submission form types are used by both registered investment companies and other filer types. The submission helps distinguish between the two types of filers by asking whether the filer is a registered investment company or a business development company before the fields for investment companies are displayed. These form types are as follows: DEF 14A, DEF 14C, DEFA14A, DEFA14C, DEFC14A, DEFC14C,DEFM14A, DEFM14C, DEFN14A, DEFR14A, DEFR14C,DFAN14A, DEFR14C, 425,PRE 14A, PRE 14C,PREC14A, PREC14C, PREM14A, PREM14C, PREN14A, PRER14A, PRER14C, PRRN14A PX14A6G, PX14A6N, S-1, S-1/A S-3, S-3/A. 7.3.7.1.2 Non-Registrant Third Party Filings Registrant and non-registrant third party filers making proxy filings with respect to subject investment companies may file using the EDGAR submission form types as previously mentioned in Section 7.3.7.1. See Rule 313(d) of Regulation S-T. In these cases, the investment company type specified is that of the subject company. The filer will also include series and/or class (contract) identifiers on whose behalf the filing is being made. The series and class (contract) identifiers for the subject company can be found in the SEC-EDGAR Company September 14, 2026 7-51 EDGAR Filer Manual (Volume II) Database at https://www.edgarcompany.sec.gov. 7.3.7.2 Existing Series and Classes (Contracts) Identifiers When the “Existing” radio button is selected for Form N-1A or Form N-3 filers, the series and class fields will be displayed. For filers with an Investment Company Type of N-4 or N-6, only the classes (contracts) fields will be displayed because these filers have only a single series. Enter the Existing Series ID and Class (Contract) ID associated with the filing. Use the “All?” Series ID box to indicate that you are making the filing on behalf of all your series and classes (contracts) with a status of Active. Use the “All?” Class (Contract) ID box to indicate that you are making the filing on behalf of all the classes of a series with a status of Active. If you are not using either of the “All?” boxes and you are identifying individual classes, clicking the [Add] button for Class (Contract) ID will display a field to add another Class (Contract) ID to the series on whose behalf the filing is being made. Clicking the [Add Another Series/Class] button will display fields to indicate another set of series and classes (contracts) on whose behalf the filing is being made. Clicking the [Delete Series/Class] button will remove the selected set of series and classes (contracts). Caution: If you enter a number of Series IDs and then later select the “All?” button, the entered Series ID fields will be eliminated. The class “All?” button works identically to that of the Series. Be careful before selecting the button if you have entered either series or class (contracts) identifiers. 7.3.7.3 Adding New Series and Classes (Contracts) For those form types that allow the filer to add new series and classes (contracts), selecting the “Adding New” radio button displays the fields to enter new series and classes (contracts). The fields displayed depend on the Investment Company Type of the primary registrant or the subject company and the EDGAR submission form type being used. Forms N-1A and N-3 EDGAR submission form types display the series and class fields. When the Investment Company Type is N-4 or N-6, the series fields are not displayed since these types of companies have only a single series. Enter a series name and the name for its first class (contract). Each series must have at least one class (contract). For the first series you may use your company name as the Series Name by clicking the “Use Company Name as Series Name?” check box. The series for a “stand alone fund” without separate series will have the same name as the fund itself. If the series does not have separate classes, the filer should use the series name as the class name. To do this, click the “Use Series Name as Class (Contract) Name?” check box. The class for a series without separate classes will have the same name as the series itself. This is the only case where the class name should use the series name. You may enter additional classes (contracts) for the series by clicking the [Add] button. Multiple series may be added by clicking the [Add Another Series/Class] button. Multiple series may be removed by clicking the [Delete Series/Class] button. You must enter a unique name for each series, i.e., you may not enter duplicate series names for your investment company (although its series might have the same name(s) as the series of other investment companies). For each series, you should enter the name by which that series is most commonly known. For example, if the “Acme Trust” complex has a series named the “Bond September 14, 2026 7-52 EDGAR Filer Manual (Volume II) Fund” which is known and marketed as “the Acme Bond Fund,” the fund should enter the name “Acme Bond Fund” as the name of the series. For a series, you must enter a unique name for each of its classes (contracts), i.e., you may not enter duplicate class (contract) names for classes (contracts) of the same series. Most class names are letters (e.g., A or B) or names such as “Institutional” or “Retail.” Insurance company separate accounts and registered non-variable annuities must enter unique names for their contracts. Note: For the N-1A EDGAR submission form type, registrants can register using their Existing Series/Existing Classes (Contracts) without having to enter “dummy” New Series/New Classes (Contracts). N-4 and N-6 filers have one “dummy” series which is automatically created when their first class (contract) is created and has the same name as their company. These filers enter the information for their contracts, and receive their contract identifiers, at the class level. To add an additional class to an existing series of an investment company of type N-1A or N-3, click the “Existing Series?” check box and enter the existing Series ID and a new class name. September 14, 2026 7-53 EDGAR Filer Manual (Volume II) 7.3.7.4 Mergers When a registered investment company with series and classes (contracts) is involved in a merger, the filer must identify merger information. See Rule 313 (c) of Regulation S-T. The filer may be the primary registrant or could be filing with respect to a subject company. In either case, the filer must supply series and classes (contracts) information about the acquiring fu [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/agency%3Asec%3Ab17f116157086a5b. Public record. Not legal advice.