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Filer Manual – Volume II
EDGAR Filing
VERSION 17
August 2011
Notice
Use this EDGAR® Filer Manual when making electronic filings with the United States
Securities and Exchange Commission (SEC or "Commission"). See Rule 301 of Regulation S-T.
The EDGAR Filer Manual consists of three volumes. EDGAR Filer Manual (Volume I) General
Information introduces the requirements for becoming an EDGAR Filer and maintaining
EDGAR company information. EDGAR Filer Manual (Volume II) EDGAR Filing illustrates the
process to submit an online filing. EDGAR Filer Manual (Volume III) N-SAR Supplement is a
guide for preparing electronic submissions of Form N-SAR.
For up-to-date information regarding filing-related topics, consult the following
EDGAR websites:
Information for EDGAR Filers (http://www.sec.gov/info/edgar.shtml)
EDGAR Gateway to submit filings
http://www.portal.edgarfiling.sec.gov)
EDGAR Company Database (http://www.edgarcompany.sec.gov)
®
®
EDGAR and EDGARLink are registered trademarks of the Securities and Exchange
Commission. EDGARLite™ is a trademark of the Securities and Exchange Commission. All
other product brand names mentioned in this Filer Manual are trademarks or registered
trademarks of their respective holders.
To protect the privacy of our filing community, filers are asked not to include social security
numbers in filings submitted to the Commission.
August 2011
EDGAR Filer Manual (Volume II)
Updates
On August 1, 2011, EDGAR Release 11.2 will introduce the following changes:
The offline EDGARLink tool and the associated templates have been retired and will no
longer be available. XFDL submissions created by the offline EDGARLink tool or those
constructed by filers according to the EDGAR XFDL Technical Specification will no
longer be accepted. The EDGARLink Online Application, available from the EDGAR
Filing Website (https://www.edgarfiling.sec.gov/), must be used to file all submissions
previously supported by the offline EDGARLink tool.
Those filers that use the EDGAR XFDL Technical Specification to create filerconstructed submissions without the use of the EDGARLink tool, and wish to do the
same outside of the EDGARLink Online Application, can do so by following the
EDGARLink Online XML Technical Specification, available from the Information for
EDGAR Filers web page (http://www.sec.gov/info/edgar.shtml).
New submission form types 13H, 13H-A, 13H-Q, 13H-I, 13H-T, and 13H-R will be
added to the EDGAR Filing Website and will be available for use if the Commission
adopts a final rule associated with Proposing Release No.34-61908. If adopted by the
Commission, the submission form types will be accessed by selecting the “File 13H” link
on the EDGAR Filing Website. These non-public submissions will not be disseminated
by EDGAR.
New submission form types N-PX-CR, N-PX-FM, N-PX-NT, N-PX-VR and their
amendments will be available on EDGARLink Online. These submission types will be
available for live filings November 1, 2011, or later, pending additional Commission rule
making related to the amendments to Form N-PX.
EDGARLink Online submission form types N-PX and N-PX/A, will no longer support
co-registrants. The N-PX and N-PX/A submissions will be suspended unless the filer's
reporting file number is an 811- file number.
Appendix G has been revised to give clearer guidance to Form 13F filers to facilitate the
correct preparation, assembling, and submission of these filings.
Submission form type N-MFP and its variants have been updated as follows:
o “Item 5” (Name/Identity of Administrator) and “Item 6” (Name/Identity of
Transfer Agent) will now be required, allowing “None” as an acceptable value.
o The “Report Date” can be the last business day of the month or any calendar day
of the month after the last business day of the month; previously, the “Report
Date” had to be the last business day of the month.
o Form N-MFP submissions will be disseminated 60 calendar days after the last
calendar day of the Report Date month; previously, they were disseminated 60
calendar days after the Report Date listed in the submission.
The maximum size of an EDGARLink Online submission, including all attached
documents, has been increased to 200 MB.
August 2011
EDGAR Filer Manual (Volume II)
The OMB expiration date on Forms 3, 4, 5, and 25-NSE will be updated. The OMB
expiration dates on Forms 3 and 4 will be updated to November 30, 2011; Form 5 will be
updated to January 31, 2014; Form 25-NSE will be updated to January 31, 2012.
The direct dial (Point-to-Point Protocol) transmission method will be terminated. Filers
will not be able to use the Point-to-Point Protocol to transmit submissions to the EDGAR
Filing Website.
Filers may now select additional applicant types when completing the Form ID to apply
for EDGAR access codes. The new applicant types are:
o Institutional Investment Manager (Form 13F Filer)
o Investment Company (or insurance product separate account) or Business
Development Company
o Large Trader
o Non-Investment Company Applicant under the 1940 Act
On March 28, 2011, EDGAR Release 11.1 introduced the following changes:
New 8-K Item 1.04 (Mine Safety – Reporting of Shutdowns and Patterns of Violations)
was added to EDGARLink Online for submission form types 8-K, 8-K/A, 8-K 12B, 8-K
12B/A, 8-K 12G3, 8-K 12G3/A, 8-K 15D5, and 8-K 15D5/A. See Proposing Release No.
34-63548.
New Exhibit Type EX-95 (Mine Safety Disclosure Exhibit) was added to EDGARLink
Online for submission form types 10-K, 10-K/A, 10-KT, 10-KT/A, 10-Q, 10-Q/A, 10QT, 10-QT/A, 20-F, 20-F/A, 40-F, and 40-F/A. See Proposing Release No.34-63548.
Filers may upload the required notarized authentication document in Portable Document
Format (PDF) when completing the process to “Convert Paper Only Filer to Electronic
Filer” from the EDGAR Filer Management Website (https://www.filer
management.edgarfiling.sec.gov).
Because the Commission establishes a company record on EDGAR for approved BrokerDealer Registration Applications and creates a Central Index Key (CIK) for that
company, Broker-dealers, who may be required to file certain forms electronically on
EDGAR, should complete the process to “Convert Paper Only Filer to Electronic Filer,”
from the EDGAR Filer Management website, instead of completing the Form ID (see
EDGAR Filer Manual, Volume I, General Information for details). This is because the
Form ID should be completed by those for which a CIK has not already been established
on EDGAR. Once a Broker-Dealer has completed this process and received the necessary
access codes, they will be able to file electronically on EDGAR.
On February 28, 2011, EDGAR Release 11.0 introduced the following changes:
EDGAR was updated to support the US GAAP 2011 Taxonomy. Please refer to
http://sec.gov/info/edgar/edgartaxonomies.shtml for the complete listing of supported
standard taxonomies.
EDGAR Filer Manual (Volume II)
August 2011
Table of Contents
1.
INTRODUCTION TO VOLUME II ............................................................................. 1-1
1.1 Organization of this Manual .............................................................................................. 1-1
1.1.1 Conventions Used in the Filer Manual ............................................................................ 1-2
2.
QUICK GUIDE TO EDGAR FILING .......................................................................... 2-1
2.1 EDGAR Filing Process ..................................................................................................... 2-1
2.1.1 Using EDGARLink Online .............................................................................................. 2-2
2.1.2 EDGAR OnlineForms/XML Website.............................................................................. 2-3
2.1.3 After a Submission is Filed .............................................................................................. 2-3
2.2 Filing Checklist ................................................................................................................. 2-4
2.3 General Information for Filers .......................................................................................... 2-5
2.3.1 Hours of Operation .......................................................................................................... 2-5
2.3.2 Introduction to Web Browsers ......................................................................................... 2-6
2.3.3 Browser Differences ........................................................................................................ 2-6
2.3.4 Accessing EDGAR .......................................................................................................... 2-7
2.3.5 Getting Help with EDGAR .............................................................................................. 2-7
2.4 EDGAR Gateway and Websites........................................................................................ 2-8
3.
3.1
3.2
INDEX TO FORMS ........................................................................................................ 3-1
Alpha/Numeric .................................................................................................................. 3-2
Electronic Form Types by Act ........................................................................................ 3-25
4.
FILING FEE INFORMATION ..................................................................................... 4-1
4.1 Where to Pay Filing Fees .................................................................................................. 4-1
4.2 How to Send Filing Fees to U.S. Bank.............................................................................. 4-1
4.3 Filings that Require Filing Fees ........................................................................................ 4-2
4.3.1 1933 Act Filings by Corporations .................................................................................... 4-2
4.3.2 1934 Act Filings ............................................................................................................... 4-3
4.3.3 1933 and 1940 Act Filings by Investment Companies .................................................... 4-3
4.4 How to Calculate a Filing Fee ........................................................................................... 4-3
4.4.1 1933 Act Filings ............................................................................................................... 4-3
4.4.2 1934 Act Filings ............................................................................................................... 4-4
4.4.3 1939 Act Filings ............................................................................................................... 4-4
4.5 Offsetting Fees .................................................................................................................. 4-4
4.5.1 Offsetting Fees Example .................................................................................................. 4-5
4.5.2 Example of Fee Calculation for 24F-2NT ....................................................................... 4-5
4.6 Common Problems ............................................................................................................ 4-6
5.
CONSTRUCTING ATTACHED DOCUMENTS AND DOCUMENT TYPES ....... 5-1
5.1 Introduction ....................................................................................................................... 5-1
5.1.1 File Naming Standards ..................................................................................................... 5-1
5.1.2 Statutory Signatures ......................................................................................................... 5-1
5.2 Document Formats ............................................................................................................ 5-2
5.2.1 ASCII Documents ............................................................................................................ 5-2
5.2.2 HTML ............................................................................................................................ 5-11
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5.2.3 Unofficial PDF ............................................................................................................... 5-24
5.2.4 Unofficial XBRL ........................................................................................................... 5-27
5.3 Preparing or Referencing Module and Segment Documents .......................................... 5-34
5.3.1 Module and Segment Naming ....................................................................................... 5-35
5.3.2 Types of Modules and Segments ................................................................................... 5-35
5.3.3 Maintaining Modules and Segments .............................................................................. 5-38
5.4 Document Types in EDGAR ........................................................................................... 5-42
5.4.1 Non-Public and Confidential ......................................................................................... 5-42
5.4.2 Exhibits .......................................................................................................................... 5-43
5.5 Common Problems .......................................................................................................... 5-43
6.
INTERACTIVE DATA .................................................................................................. 6-1
6.1 XBRL Overview................................................................................................................ 6-2
6.2 Supported Versions of XBRL Standard Taxonomies ....................................................... 6-3
6.3 Submission Syntax ............................................................................................................ 6-4
6.3.1 Use EDGARLink Online Submission Templates 1, 2, and 3 to attach XBRL Document
Types. ............................................................................................................................... 6-4
6.3.2 XBRL instance, schema, and linkbase documents must be attached to an EDGAR
submission using the EX-100.* or EX-101.* document types. ....................................... 6-5
6.3.3 XBRL document names must match {base}-{date}[_{suffix}].{extension}.................. 6-5
6.3.4 An XBRL document must not contain HTML character name references. .................... 6-6
6.3.5 The ampersand character must begin a valid XML predefined entity or numeric character
reference. .......................................................................................................................... 6-6
6.3.6 The URI content of the xlink:href attribute, the xsi:schemaLocation attribute and the
schemaLocation attribute must be relative and contain no forward slashes, or a
recognized external location of a standard taxonomy schema file, or a “#” followed by a
shorthand xpointer. .......................................................................................................... 6-6
6.3.7 XBRL document names are case sensitive. ..................................................................... 6-7
6.3.8 A submission must contain exactly one EX-100.INS or EX-101.INS. ........................... 6-7
6.3.9 Filers must use one of the taxonomies as specified on the SEC website as their standard
taxonomy.......................................................................................................................... 6-7
6.3.10 A submission must contain at least one company extension schema EX-100.SCH or
EX-101.SCH. ................................................................................................................... 6-7
6.3.11 Attribute xml:base must not appear in any Interactive Data document. .......................... 6-7
6.4 Semantics of Filings .......................................................................................................... 6-7
6.4.1 Since XBRL documents must be contained in an official SEC submission, EDGAR will
suspend any submission that contains only XBRL documents. ...................................... 6-7
6.4.2 EDGAR may truncate a submission if any rule in this manual is violated...................... 6-7
6.4.3 The XBRL instance documents in a submission must be XBRL 2.1 valid. Each instance
document in the filing is tested separately for XBRL 2.1 validity. In order to increase the
likelihood that XBRL documents within an EDGAR submission pass validation, filers are
encouraged to validate their XBRL documents for compliance with the XBRL 2.1
Specification prior to submission..................................................................................... 6-8
6.5 Syntax of Instances ............................................................................................................ 6-8
6.5.1 The scheme attribute of the xbrli:identifier element must be http://www.sec.gov/CIK. . 6-8
6.5.2 An xbrli:identifier element must have the CIK of the registrant as its content. .............. 6-8
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6.5.3 All xbrli:identifier elements in an instance must have identical content. ........................ 6-8
6.5.4 The xbrli:scenario element must not appear in any xbrli:context. ................................... 6-8
6.5.5 If an xbrli:segment element appears in a context, then its children must be one or more
xbrldi:explicitMember elements. ..................................................................................... 6-9
6.5.6 The content of xbrldi:explicitMember and xbrldi:measure is a QName. ........................ 6-9
6.5.7 An instance must not contain duplicate xbrli:context elements....................................... 6-9
6.5.8 Every xbrli:context element must appear in at least one contextRef attribute in the same
instance. ........................................................................................................................... 6-9
6.5.9 If the original HTML/ASCII document represents a reporting period of one quarter or
longer, then the same date must not appear as the content of both an xbrli:startDate and
an xbrli:endDate in an instance. ....................................................................................... 6-9
6.5.10 If the original HTML/ASCII document represents a reporting period of one quarter or
longer, then the same date must not appear in the content of an xbrli:startDate and an
xbrli:instant in the same instance. .................................................................................. 6-10
6.5.11 Element xbrli:xbrl must not have duplicate child xbrli:unit elements. .......................... 6-10
6.5.12 An instance must not have more than one fact having the same element name, equal
contextRef attributes, and if they are present, equal unitRef attributes and xml:lang
attributes, respectively. .................................................................................................. 6-10
6.5.13 The default value of the xml:lang attribute on non-numeric facts and on link:footnote is
„en-US‟. .......................................................................................................................... 6-11
6.5.14 An instance having a fact with non-nil content and the xml:lang attribute not starting with
“en” must also contain a fact using the same element and all other attributes with an
xml:lang attribute that begins with “en”. ....................................................................... 6-11
6.5.15 If the un-escaped content of a fact with base type us-types:textBlockItemType or a type
equal to or derived by restriction of the type „escapedItemType‟ in a standard taxonomy
schema namespace contains the “<” character followed by a QName and whitespace,
“/>” or “>”, then the un-escaped content must contain only a sequence of text and XML
nodes. ............................................................................................................................. 6-11
6.5.16 Facts of type “text block” whose un-escaped content contains markup must satisfy the
content model of the BODY tag as defined in 5.2.2. ..................................................... 6-12
6.5.17 The xbrli:xbrl element must not have any facts with the precision attribute. ................ 6-12
6.5.18 A fact is defined to have a footnote if it has an id attribute and a link:footnoteArc to a
nonempty link:footnote in the same instance................................................................. 6-12
6.5.19 An instance covering a reporting period must contain a Required Context that is an
xbrli:context having xbrli:startDate equal to 00:00:00 on the first day of the reporting
period and xbrli:endDate equal to 24:00:00 on its last day. .......................................... 6-13
6.5.20 For each required Document Information element, an instance must contain a fact with
that element and a contextRef attribute referring to its Required Context. ................... 6-13
6.5.21 An instance must contain one non-empty fact for each required Entity Information
element, each with a contextRef attribute referring to a Required Context. The value of
an EntityPublicFloat fact in an instance will be 0 for an entity that has only public debt. 614
6.5.22 All other elements in the dei namespace are optional.................................................... 6-16
6.5.23 The contents of the dei:EntityCentralIndexKey fact in the Required Context must equal
the content of the xbrli:identifier element in that context. ............................................. 6-16
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6.5.24 The official Registrant Name that corresponds to the CIK of the xbrli:identifier text
content must be a case-insensitive prefix of the dei:EntityRegistrantName fact in the
Required Context. .......................................................................................................... 6-16
6.5.25 Elements with a type attribute equal to or a restriction of „domainItemType‟ in a standard
taxonomy schema target namespace must not appear as facts in an instance. .............. 6-16
6.5.26 An instance with dei:DocumentType of 10-K, 10-Q, 20-F, or 40-F must have at least one
dei:EntityCommonStockSharesOutstanding fact for each class of stock outstanding. . 6-17
6.5.27 A link:footnoteLink element must have no children other than link:loc, link:footnote, and
link:footnoteArc. ............................................................................................................ 6-17
6.5.28 The xlink:role attribute of a link:footnote element must be defined in the XBRL
Specification 2.1. ........................................................................................................... 6-17
6.5.29 The xlink:role attribute of a link:loc element must be empty, or defined in the XBRL
Specification 2.1. ........................................................................................................... 6-17
6.5.30 The xlink:arcrole attribute of a link:footnoteArc element must be defined in the XBRL
Specification 2.1 or a standard taxonomy schema. ........................................................ 6-17
6.5.31 Reserved. ........................................................................................................................ 6-17
6.5.32 A link:footnoteLink link:loc xlink:href attribute must start with the sharp sign “#”..... 6-17
6.5.33 Every nonempty link:footnote element must be linked to at least one fact. .................. 6-17
6.5.34 The content of a link:footnote element must satisfy the content model of the BODY tag
as defined in 5.2.2. ......................................................................................................... 6-18
6.5.35 If a standard numeric data type registry namespace is in the DTS of an instance, then the
value of each „unitRef‟ attribute on each fact of a type in that registry must refer to a unit
declaration consistent with the data type of that fact, where consistency is defined by that
registry. .......................................................................................................................... 6-18
6.6 Semantics of Instances .................................................................................................... 6-19
6.6.1 In an instance reporting a fiscal year, non-numeric facts containing text about any portion
of that or a prior year must have a contextRef attribute to an xbrli:context for the
reporting period year. ..................................................................................................... 6-19
6.6.2 In an instance reporting a fiscal year-to-date, the non-numeric facts containing text about
any portion of the year-to-date or prior year must have a contextRef attribute to an
xbrli:context representing the year-to-date. ................................................................... 6-19
6.6.3 Facts about a registrant must have an xbrli:context element in the default legal entity,
except for facts that apply only to a reportable segment or a subsidiary with separate
reporting obligations to the Commission. ...................................................................... 6-19
6.6.4 If facts about a Consolidated Entity and one or more of its subsidiaries, each with
separate reporting obligations to the Commission, appear in a single instance, it is a
consolidating instance. ................................................................................................... 6-19
6.6.5 The contexts for facts about entities other than the Consolidated Entity must have
xbrli:explicit Member with a dimension attribute equal to dei:LegalEntityAxis and
distinct values................................................................................................................. 6-20
6.6.6 Facts in a consolidating instance with a context that names an entity with subsidiaries,
applies collectively to subsidiaries within that subset. .................................................. 6-21
6.6.7 In a consolidating instance, facts that apply only to the parent company and not to any
specific subsidiaries must have contexts whose xbrldi:explicitMember elements have a
dimension attribute of dei:LegalEntityAxis and value us-gaap:ParentCompanyMember. 622
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6.6.8 In a consolidating instance, facts that apply only to eliminations between subsidiaries
must have contexts whose xbrldi:explicitMember elements have a dimension attribute of
dei:LegalEntityAxis and value us-gaap:ConsolidationEliminationsMember. ............... 6-22
6.6.9 Facts that apply to all classes of stock in a submission must have an xbrli:context element
without a dimension attribute equal to us-gaap:StatementClassOfStockAxis. .............. 6-22
6.6.10 An instance containing facts that are only specific to distinct stock classes in a statement
must distinguish those facts using xbrli:context elements whose xbrldi:explicitMember
elements have a dimension attribute of us-gaap:StatementClassOfStockAxis.............. 6-22
6.6.11 An instance containing multiple reports about the same entity for the same periods under
different reporting assumptions must distinguish the facts in different reports using
xbrli:context elements whose xbrldi:explicitMember elements have a dimension attribute
of us-gaap:StatementScenarioAxis. ............................................................................... 6-23
6.6.12 An instance must contain a fact for each combination of line item and period that appears
on the face of the financial statements of the corresponding official HTML/ASCII
document. ....................................................................................................................... 6-23
6.6.13 The facts representing a line item that appears on the face of the financial statements of
the corresponding official HTML/ASCII document must use the same element in
different periods. ............................................................................................................ 6-23
6.6.14 An instance must contain a fact for each amount disclosed parenthetically in line items
that appears on the face of the financial statements of the corresponding official
HTML/ASCII document. ............................................................................................... 6-23
6.6.15 The xsi:nil="true" attribute must be used only to convey a value that is different from
both “zero” and different from not reporting the fact at all, or to identify a fact detailed
only by a link:footnote. .................................................................................................. 6-24
6.6.16 An instance must contain facts containing each complete footnote and each required
schedule (as set forth in Article 12 of Regulation S-X) of the corresponding official
HTML/ASCII document, as a single block of text. ....................................................... 6-24
6.6.17 An instance must not contain facts that do not appear in the corresponding official
HTML/ASCII document. ............................................................................................... 6-25
6.6.18 Page headers and footers appearing in an official HTML/ASCII document must not
appear in any of the facts or link:footnote elements of an instance. .............................. 6-25
6.6.19 For each significant accounting policy within the accounting policies footnote of the
corresponding official HTML/ASCII document, an instance must contain a “level 2” fact
containing the policy as a block of text. ........................................................................ 6-26
6.6.20 An instance must contain each table within each footnote in the corresponding official
HTML/ASCII document as a separate “level 3” fact block of text. .............................. 6-26
6.6.21 Reserved. ........................................................................................................................ 6-26
6.6.22 An instance must contain separately each monetary value, percentage, and number in
each footnote in the corresponding official HTML/ASCII document, as a “level 4” fact. 626
6.6.23 An element used in numeric facts representing amounts must have an xbrli:periodType
attribute that is the same as the amounts reported. ........................................................ 6-27
6.6.24 If an element used in numeric facts representing amounts in one or more periods has a
definition, then the scope of that definition must include the material amounts reported
for that line item in the corresponding official HTML/ASCII document. ..................... 6-27
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6.6.25 An element must not be used in numeric facts representing amounts of a line item in
different periods if it has a definition that explicitly excludes one or more of the material
amounts in the corresponding official HTML/ASCII document. .................................. 6-27
6.6.26 When there is a choice among different elements that have definitions consistent with a
set of facts in one or more periods, use the element with the narrowest definition. ...... 6-28
6.6.27 If there is a choice among different elements whose type attribute is consistent with a set
of facts in one or more periods, use the element with the most specific type attribute. 6-28
6.6.28 When there is a choice among different elements having distinct link:reference elements
in a standard taxonomy, use the element with the most specific reference. .................. 6-28
6.6.29 When choosing the most appropriate element for facts in one or more periods, the
element‟s xbrli:periodType attribute takes precedence over the type attribute, which takes
precedence over the element‟s documentation string if present, which in turn takes
precedence over the label string, which in turn takes precedence over link:reference
elements. ........................................................................................................................ 6-28
6.6.30 Invert the sign of a numeric fact whose element has an xbrli:balance value that is
inconsistent with the reporting concept being reported. ................................................ 6-29
6.6.31 The content of a numeric fact never has a scale factor. ................................................. 6-29
6.6.32 The value of the decimals attribute of a fact must correspond to the accuracy of the
corresponding amount as reported in the official HTML/ASCII document. ................. 6-29
6.6.33 Do not resolve calculation inconsistencies by inserting digits that do not appear in the
official HTML/ASCII document. .................................................................................. 6-30
6.6.34 Do not define or use units that imply a scale factor on a currency. ............................... 6-30
6.6.35 Each unit must appear with only one implicit scale factor per instance. ....................... 6-31
6.6.36 If a fact whose element type attribute equals „us-types:dateString‟ or a restriction of it
refers to a specific date, then it must be an ISO 8601 format date. ............................... 6-31
6.6.37 If a fact whose element type attribute is „us-types:durationString‟ or a restriction of it
refers to a specific length of time, then it must be an ISO 8601 format duration. ......... 6-32
6.6.38 If a fact whose element type attribute is „us-types:periodString‟ or a restriction of it refers
to a specific calendar period, then it must be an ISO 8601 format period. .................... 6-32
6.6.39 Text that is shown in the official HTML/ASCII document at the bottom of a page on the
face of the financials preceded by a superscript must appear in the corresponding instance
as the text of a link:footnote element. ............................................................................ 6-32
6.6.40 Distinct texts that are shown in the official HTML/ASCII document at the bottom of a
page on the face of the financials preceded by distinct superscripts must appear in the
corresponding instance as the text of distinct link:footnote elements. .......................... 6-32
6.7 Syntax of Company Extension Schemas ......................................................................... 6-32
6.7.1 The xsd:schema must not have an xsd:include element. ............................................... 6-32
6.7.2 If an xsd:import element has a namespace attribute equal to a standard taxonomy schema,
then its schemaLocation attribute must be the standard taxonomy assigned to that
namespace. ..................................................................................................................... 6-33
6.7.3 The authority part of an xsd:schema targetNamespace attribute must not equal the
authority part of a targetNamespace attribute of any standard taxonomy schema. ....... 6-33
6.7.4 The targetNamespace attribute must match http://{authority}/{versionDate} with
versionDate matching CCYYMMDD. .......................................................................... 6-33
6.7.5 The targetNamespace attribute must be a valid URI with an {authority} that is either a
domain name controlled by the publisher of the schema, a domain name controlled by the
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registrant, or if neither exists, then a mnemonic name for the registrant such as its ticker
symbol. ........................................................................................................................... 6-33
6.7.6 The targetNamespace attribute must be a valid URI with a {versionDate} matching
CCYYMMDD that identifies the release date of the schema. ....................................... 6-33
6.7.7 Element xsd:schema must bind a Recommended Namespace Prefix for the
targetNamespace attribute that does not contain the underscore character. .................. 6-34
6.7.8 Element xsd:schema must not contain any occurrences of “embedded” linkbases. ...... 6-34
6.7.9 The roleURI attribute of a link:roleType element must begin with the same {scheme} and
{authority} as the targetNamespace attribute. ............................................................... 6-34
6.7.10 A DTS must not contain more than one link:roleType element with equal values of the
roleURI attribute. ........................................................................................................... 6-34
6.7.11 A link:roleType declaration with link:usedOn containing link:presentationLink,
link:definitionLink or link:calculationLink must also have a link:usedOn for the other
two.................................................................................................................................. 6-34
6.7.12 A link:roleType element must contain a link:definition child element whose content will
communicate the title of the financial statement section, the level of facts in the instance
that a presentation relationship in the base set of that role would display, and sort
alphanumerically into the order that statements and footnotes appear in the official
HTML/ASCII document. ............................................................................................... 6-35
6.7.13 The arcroleURI attribute of a link:arcroleType element must begin with the same
{scheme} and {authority} parts as the targetNamespace attribute. ............................... 6-37
6.7.14 A DTS must not contain more than one link:arcroleType element with equal values of the
arcroleURI attribute. ...................................................................................................... 6-37
6.7.15 A link:arcroleType element must have a nonempty link:definition. ............................. 6-37
6.7.16 The name attribute of an xsd:element must not equal any xsd:element name attribute in a
standard taxonomy schema that appears in the same instance DTS. ............................. 6-37
6.7.17 The id attribute of an xsd:element must consist of the Recommended Namespace Prefix
of the element namespace, followed by one underscore, followed by its name attribute. . 637
6.7.18 The nillable attribute value of an xsd:element must equal „true‟................................... 6-37
6.7.19 The xsd:element substitutionGroup attribute must not be a member of a substitution
group with head „xbrli:tuple‟. ........................................................................................ 6-37
6.7.20 An xsd:element must not have an xbrldt:typedDomainRef attribute............................. 6-37
6.7.21 If the abstract attribute of xsd:element is „true‟, then the xbrli:periodType attribute must
be „duration‟. .................................................................................................................. 6-37
6.7.22 Reserved. ........................................................................................................................ 6-37
6.7.23 The xsd:element substitutionGroup attribute must equal „xbrldt:dimensionItem‟ if and
only if the name attribute ends with „Axis‟. .................................................................. 6-38
6.7.24 The xsd:element name attribute must end with „Table‟ if and only if substitutionGroup
attribute equals „xbrldt:hypercubeItem‟. ........................................................................ 6-38
6.7.25 If the xsd:element substitutionGroup attribute is not equal to „xbrldt:dimensionItem‟ or
equal to „xbrldt:hypercubeItem‟ then it must equal „xbrli:item‟. .................................. 6-38
6.7.26 If xsd:element name attribute ends with „LineItems‟ then the abstract attribute must equal
„true‟. .............................................................................................................................. 6-38
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6.7.27 The xsd:element name attribute must end with „Domain‟ or „Member‟ if and only if the
type attribute equals or is derived from „domainItemType‟ in a standard taxonomy
schema target namespace. .............................................................................................. 6-38
6.7.28 If xsd:element type attribute equals or is derived from „domainItemType‟ in a standard
taxonomy schema target namespace then the xbrli:periodType attribute must equal
„duration‟........................................................................................................................ 6-38
6.8 Semantics of Company Extension Schemas ................................................................... 6-38
6.8.1 A schema that changes any xsd:element or type declarations or changes any relationships
in its DTS from an earlier version of itself in such a way as to invalidate earlier instances
must use only the {versionDate} portion of its targetNamespace attribute to identify the
new version. ................................................................................................................... 6-38
6.8.2 A schema must contain at least one link:linkbaseRef element for each of the linkbases
that are required for the submission to be valid. ............................................................ 6-39
6.8.3 Do not define link:arcroleType (or link:roleType for a resource-type element) that means
the same as arc roles or resource roles that are already defined in the XBRL 2.1
specification or in a standard taxonomy. ....................................................................... 6-39
6.8.4 Wherever possible, registrants should assign a standard and other labels for an element
defined in a standard taxonomy schema in preference to declaring a new element in a
company schema. ........................................................................................................... 6-40
6.8.5 The name attribute of an xsd:element should consist of capitalized words corresponding
to the standard label, a convention called LC3. ............................................................. 6-40
6.8.6 Do not include company-specific or period-specific information in an xsd:element name
attribute for elements having other than type „domainItem Type‟. ............................... 6-41
6.8.7 An xsd:element name attribute should be consistent with its standard label and follow a
style similar to the convention used in standard taxonomies. ........................................ 6-41
6.8.8 Declare an xsd:element with an abstract attribute equal to „true‟ if an appropriate abstract
element does not exist, and use the presentation linkbase to have facts rendered
sequentially. ................................................................................................................... 6-42
6.8.9 Declare an xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ if the
standard taxonomy schema contains only monetary type elements that, in the judgment of
the registrant, are too broadly defined for a given line item. ......................................... 6-42
6.8.10 Do not declare different elements for different values of the same underlying line item. 642
6.8.11 An xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ must have an
xbrli:balance attribute if it appears on a statement of income or balance sheet. ........... 6-43
6.8.12 An xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ has an
xbrli:periodType attribute equal to „instant‟ if and only if it represents beginning and end
of period balances, as distinct to balances defined over a period of time. ..................... 6-43
6.8.13 An xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ that represents
an adjustment must have a xbrli:periodType attribute equal to „duration‟. ................... 6-43
6.8.14 A ratio of values that would have the same unitRef attribute must be declared as an
xsd:element with a type attribute equal to or derived from „percentItemType‟ in a
standard taxonomy schema target namespace, even though its value is not scaled by 100.
........................................................................................................................................ 6-43
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6.8.15 A ratio of values for which its facts would have different values for the unitRef attribute
and a denominator other than xbrli:shares must be declared as an xsd:element with a type
attribute equal to xbrli:pureItemType. ........................................................................... 6-44
6.8.16 If facts in an instance are dates, but no xsd:element in a standard taxonomy with a type
attribute equal to „xbrli:dateItemType‟ is appropriate, declare an xsd:element with a type
attribute equal to „xbrli:dateItemType‟. ......................................................................... 6-44
6.8.17 If facts in an instance are a mixture of text, date, numbers or other values, and no
xsd:element in a standard taxonomy with a type attribute equal to „xbrli:stringItemType‟
is appropriate, then declare an xsd:element with a type attribute equal to
„xbrli:stringItemType‟.................................................................................................... 6-44
6.8.18 If no standard taxonomy schema contains domain member elements specific enough to
distinguish between facts needing distinct values of „xbrldi:explicitMember‟, then declare
an xsd:element with a type attribute equal to or derived from „domainItemType‟ in a
standard taxonomy schema target namespace. .............................................................. 6-44
6.8.19 Do not declare an xsd:element with a type attribute equal to or derived from
„domainItemType‟ in a standard taxonomy schema target namespace as an explicit
“total” domain member. ................................................................................................. 6-45
6.8.20 For value and narrative facts, declare an xsd:element with a substitutionGroup attribute
equal to „xbrldt:dimensionItem‟ if a standard taxonomy schema contains no Axis element
for a reporting axis appearing in the original HTML/ASCII document. ....................... 6-45
6.8.21 Declare an xsd:element with a substitutionGroup attribute equal to
„xbrldt:hypercubeItem‟ if a standard taxonomy schema contains no Table elements
appropriate to the reporting axis needed. ....................................................................... 6-46
6.8.22 Reserved. ........................................................................................................................ 6-46
6.8.23 Define an xsd:element with a type attribute equal to „us-types:textBlockItemType‟ or a
type equal to or derived by restriction from the type „escapedItemType‟ in a standard
taxonomy schema namespace if the standard taxonomy schema contains only text block
type elements that, in the judgment of the registrant, are too broadly defined for a
footnote or table. ............................................................................................................ 6-46
6.9 Syntax of all Linkbases ................................................................................................... 6-46
6.9.1 A link:linkbase must be XML Linking Language (XLink) 1.0 valid. ........................... 6-46
6.9.2 An effective relationship exists between a target and source element when there is an
element with an xlink:type attribute of 'arc' and a use attribute of “optional" that has a
higher value of the priority attribute than any equivalent relationship in its base set. .. 6-47
6.9.3 A link:linkbase in a submission must have no ineffectual relationships. ...................... 6-47
6.9.4 The xlink:role attribute of an element with a type='extended' attribute or a type='resource'
attribute must be present and must not be empty. .......................................................... 6-47
6.9.5 The xlink:role attribute of an element with an xlink:type attribute of „resource‟ must be
present and must be defined in XBRL 2.1 or a standard taxonomy. ............................. 6-47
6.9.6 The text preceding a sharp sign „#‟ in an xlink:href attribute of link:arcroleRef must be a
standard taxonomy. ........................................................................................................ 6-47
6.9.7 All extended link elements in a single linkbase must have the same namespace and local
name. .............................................................................................................................. 6-47
6.9.8 Arcs that are defined as equivalent in XBRL 2.1 and having the same value for the use
attribute are duplicate relationships. .............................................................................. 6-47
6.9.9 The value of the priority attribute must be strictly less than 10..................................... 6-48
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6.10 Syntax of Label Linkbases .............................................................................................. 6-48
6.10.1 An element used in a fact or xbrldi:explicitMember in an instance must have an English
standard label in the DTS of that instance. .................................................................... 6-48
6.10.2 An element used in a fact or xbrldi:explicitMember in an instance must have at most one
label for any combination of the xlink:role attribute and the xml:lang attribute in the DTS
of that instance. .............................................................................................................. 6-48
6.10.3 If an element used in an instance is assigned a label in the DTS whose xml:lang attribute
is not “en-US”, then the DTS must also contain a link:label for the same element and all
other attributes with an xml:lang attribute equal to “en-US”. ....................................... 6-48
6.10.4 The DTS of an instance must have no distinct elements having the same English standard
label (xml:lang attribute equal to “en-US”). .................................................................. 6-48
6.10.5 A label linkbase must not have a definition for an element defined in a standard
taxonomy........................................................................................................................ 6-49
6.10.6 The ASCII text of link:label must be a string of fewer than 511 characters with no
consecutive XML whitespace characters and no occurrences of „<‟ unless its xlink:role
attribute is „http://www.xbrl.org/2003/label/documentation‟. ....................................... 6-49
6.10.7 Reserved. ........................................................................................................................ 6-49
6.10.8 The text of link:label must not have leading or trailing XML whitespace. ................... 6-49
6.11 Semantics of Label Linkbases ......................................................................................... 6-49
6.11.1 Assign a label of an element used in an instance the same text as the corresponding line
item in the original HTML/ASCII document. ............................................................... 6-49
6.11.2 Assign a label of a parenthetical element the same text as the corresponding text in the
original HTML/ASCII document. ................................................................................. 6-50
6.11.3 If an numeric element is in presentation relationships in a relationship group with other
numeric elements, and its units differ from the other elements and in the minority, then
the suffix of its label must specify those units. .............................................................. 6-50
6.11.4 An xsd:element should be assigned a total label if the element will be presented with
different labels depending on whether it is shown as a line item or as a summation of
other line items. .............................................................................................................. 6-51
6.11.5 An xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ that does not
have an xbrli:balance attribute must have a definition that disambiguates its sign. ...... 6-51
6.11.6 Assign a “negating” label to an xsd:element with an xbrli:balanceType attribute that is
inconsistent with the presentation in the official HTML/ASCII document. .................. 6-51
6.11.7 If an xsd:element with an xbrli:periodType attribute equal to „instant‟ could be presented
as either a beginning or end of period value in a roll forward, assign period start labels or
period end labels. ........................................................................................................... 6-52
6.11.8 Assign an xsd:element different terse or verbose labels if the same element will appear
with different labels depending on the presentation relationships that have it as a target. 652
6.11.9 A label linkbase of a standard taxonomy should not be included in the DTS of an
instance. ......................................................................................................................... 6-53
6.12 Syntax of Presentation Linkbases.................................................................................... 6-53
6.12.1 The link:presentationArc element requires an order attribute. ...................................... 6-53
6.12.2 All effective presentation relationships in the same base set with the same source element
must have distinct values of the order attribute. ............................................................ 6-53
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6.12.3 An element used in an instance must participate in at least one effective presentation
relationship in the DTS of that instance. ........................................................................ 6-53
6.12.4 Reserved. ........................................................................................................................ 6-53
6.12.5 If an element used in an instance is the target in the instance DTS of more than one
effective presentation relationship in a base set with the same source element, then the
presentation relationships must have distinct values of the preferredLabel attribute. ... 6-53
6.13 Semantics of Presentation Linkbases .............................................................................. 6-54
6.13.1 A presentation linkbase of a standard taxonomy should not be included in the DTS of an
instance. ......................................................................................................................... 6-54
6.13.2 The element of every fact in an instance must participate in an effective presentation
relationship in a base set whose xlink:role attribute corresponds to the locations where the
fact appears in the original HTML/ASCII document. ................................................... 6-54
6.13.3 Organize the effective presentation relationships in a base set using the ordering and
indentation of the facts in the original HTML/ASCII document. .................................. 6-54
6.13.4 All elements of facts corresponding to parentheticals in the original HTML/ASCII
document must be the targets only of effective presentation relationships in one base set
and all having the same source abstract element. .......................................................... 6-54
6.14 Syntax of Calculation Linkbases ..................................................................................... 6-55
6.14.1 Element link:calculationArc requires an order attribute. ............................................... 6-55
6.14.2 Element link:calculationArc requires a weight attribute value equal to 1 or -1. ........... 6-55
6.14.3 The source and target of an effective calculation relationship must have equal values of
the xbrli:periodType attribute. ....................................................................................... 6-55
6.14.4 There must be no directed cycles in effective relationships having arc role
http://www.xbrl.org/2003/role/summation-item. ........................................................... 6-55
6.14.5 If an instance contains non-empty facts for the source and target of an effective
calculation relationship, then at least one effective presentation relationship that the
source and target appear in (because of 6.12.3) must be either (a) a relationship with each
other or (b) two relationships with any other elements that share a single extended link
role. ................................................................................................................................ 6-55
6.15 Semantics of Calculation Linkbases................................................................................ 6-55
6.15.1 A calculation linkbase of a standard taxonomy should not be included in the DTS of an
instance. ......................................................................................................................... 6-55
6.15.2 If the original HTML/ASCII document shows two or more line items along with their net
or total during or at the end of the Required Context period, and the instance contains
corresponding numeric facts, then the DTS of the instance must have an
effectivecalculation relationship from the total element to each of the contributing line
items. .............................................................................................................................. 6-55
6.15.3 If a footnote in the original HTML/ASCII document contains alternate line items that
sum to the same total amount, then the XBRL instance document for that footnote must
have calculation relationships for the original and alternate line items in distinct base sets.
........................................................................................................................................ 6-56
6.15.4 A fact in an instance whose element is the source of an effective calculation relationship
in the instance DTS should not have the same calculation relationship target in more than
one base set. ................................................................................................................... 6-57
6.16 Syntax of Definition Linkbases ....................................................................................... 6-57
6.16.1 Element link:definitionArc requires an order attribute. ................................................. 6-57
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6.16.2 Reserved. ........................................................................................................................ 6-57
6.16.3 The target of an effective relationship with an xlink:arcrole attribute equal to
„http://xbrl.org/int/dim/arcrole/dimension-domain‟ or
„http://xbrl.org/int/dim/arcrole/dimension-default‟ must be a Domain or Member. ..... 6-57
6.16.4 The xlink:arcrole attributes „http://xbrl.org/int/dim/arcrole/domain-member‟ and
„http://xbrl.org/int/dim/arcrole/dimension-domain‟ must have no undirected cycles in any
Directed Relationship Set as defined in XBRL Dimensions 1.0. .................................. 6-58
6.16.5 The DTS of an instance must contain in each base set, for each source element, at most
one effective relationship with an xlink:arcrole attribute equal to
„http://xbrl.org/int/dim/arcrole/all‟................................................................................. 6-58
6.16.6 An effective relationship with an xlink:arcrole attribute equal to
„http://xbrl.org/int/dim/arcrole/notAll‟ must have an xbrldt:closed attribute equal to
„false‟. ............................................................................................................................ 6-58
6.16.7 An axis of a negative table must appear in a positive table in a definitionLink having an
equal value of xlink:role. ............................................................................................... 6-58
6.16.8 The target of an effective relationship with an xlink:arcrole attribute equal to
„http://xbrl.org/int/dim/arcrole/notAll‟ must not be the target of an effective arc with an
xlink:arcrole attribute equal to „http://xbrl.org/int/dim/arcrole/all‟ in link:definitionLink
elements having equal values of xlink:role.................................................................... 6-59
6.16.9 If the value of attribute xbrldt:targetRole on an effective definition relationship is not
empty, then that relationship must have at least one effective consecutive relationship (as
defined by the XBRL Dimensions specification). ......................................................... 6-59
6.17 Semantics of Definition Linkbases.................................................................................. 6-59
6.17.1 A definition linkbase of a standard taxonomy should not be included in the DTS of an
instance. ......................................................................................................................... 6-59
6.18 Syntax of Reference Linkbases ....................................................................................... 6-59
6.18.1 An element that has a company specific namespace must not have a reference. .......... 6-59
6.18.2 A company extension reference linkbase must not add, remove, or change references for
any element declared in a standard taxonomy schema. ................................................. 6-60
6.19 Semantics of Reference Linkbases .................................................................................. 6-60
6.19.1 A reference linkbase of a standard taxonomy should not be included in the DTS of an
instance. ......................................................................................................................... 6-60
6.20 EDGAR Module Processing with XBRL Taxonomy Extensions ................................... 6-60
6.21 Segment Functionality Not Supported for XBRL Documents ........................................ 6-60
6.22 Supported Versions of XBRL Standard Taxonomies ..................................................... 6-61
7.
PREPARING AND TRANSMITTING SUBMISSIONS USING EDGARLINK
ONLINE ........................................................................................................................... 7-1
7.1 Introduction ....................................................................................................................... 7-1
7.1.1 Using the EDGAR Filing Website................................................................................... 7-2
7.1.2 Information on Headers ................................................................................................... 7-5
7.2 Creating an EDGARLink Online Submission................................................................... 7-5
7.2.1 Step 1 - Accessing the Submission .................................................................................. 7-6
7.2.2 Step 2 - Viewing the Fee Rate ......................................................................................... 7-7
7.3 Preparing Your EDGARLink Online Submission ............................................................ 7-8
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7.3.1 Submission ....................................................................................................................... 7-8
7.3.2 EDGARLink Online Submission Preparation Map ....................................................... 7-11
7.3.3 The EDGARLink Online Main Page ............................................................................. 7-13
7.3.4 The EDGARLink Online Attached Documents List Page ............................................ 7-24
7.3.5 The EDGARLink Online Notification Information Page .............................................. 7-31
7.3.6 The EDGARLink Online Module/Segment Page .......................................................... 7-33
7.3.7 The EDGARLink Online Series/Classes (Contracts) Information Page ....................... 7-36
7.3.8 The EDGARLink Online Fee Offset Information Page ................................................ 7-47
7.3.9 The EDGARLink Online Offerings & Fees Page.......................................................... 7-49
7.3.10 Combining Form Types in a Single Submission ........................................................... 7-57
7.3.11 Module and Segment Submissions ................................................................................ 7-60
7.3.12 Correspondence Submissions and Documents .............................................................. 7-62
7.3.13 N-SAR Documents ........................................................................................................ 7-63
7.3.14 Bulk Filing ..................................................................................................................... 7-63
7.4 Validating Your Submission ........................................................................................... 7-64
7.4.1 Field Validation ............................................................................................................. 7-65
7.4.2 Document Validation ..................................................................................................... 7-65
7.4.3 Submission Validation ................................................................................................... 7-67
7.4.4 Editing Your Submission ............................................................................................... 7-68
7.4.5 Submission Errors .......................................................................................................... 7-69
7.4.6 Document Errors ............................................................................................................ 7-69
7.5 Saving Your Submission ................................................................................................. 7-69
7.6 Transmissions to EDGAR ............................................................................................... 7-69
7.6.1 Transmitting Single Submissions .................................................................................. 7-69
7.6.2 Transmitting Modules and Segments............................................................................. 7-70
7.6.3 Transmitting Bulk Filings .............................................................................................. 7-70
7.6.4 Test Submissions ........................................................................................................... 7-71
7.7 EDGAR Filing Website Help .......................................................................................... 7-71
7.7.1 EDGARLink Online Help.............................................................................................. 7-71
7.8 Common Problems .......................................................................................................... 7-72
8.
PREPARING AND TRANSMITTING EDGARLITE SUBMISSIONS ................... 8-1
8.1 Purpose .............................................................................................................................. 8-1
8.2 What is Microsoft InfoPath ............................................................................................... 8-1
8.2.1 Minimum InfoPath Requirements.................................................................................... 8-1
8.2.2 Getting Help with Installation .......................................................................................... 8-2
8.3 Downloading and Installing Templates ............................................................................. 8-2
8.4 Preparing your EDGARLite Submission .......................................................................... 8-5
8.4.1 Retrieving a Partially Completed Filing ........................................................................ 8-14
8.5 Saving and Printing Your Filing ..................................................................................... 8-14
8.6 Transmitting XML Submissions ..................................................................................... 8-15
8.6.1 Transmit XML as a Test Submission............................................................................. 8-16
8.6.2 Transmit XML as a Live Submission ............................................................................ 8-17
8.6.3 Transmission Status ....................................................................................................... 8-18
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9.
PREPARING AND TRANSMITTING ONLINE SUBMISSIONS ............................ 9-1
9.1 EDGAR OnlineForms/XML Website – Online Filing Preparation .................................. 9-1
9.1.1 OnlineForms Data Gathering Model ............................................................................... 9-1
9.1.2 Navigating EDGAR – Logging into EDGAR OnlineForms/XML Website ................... 9-2
9.1.3 EDGAR OnlineForms/XML Menu Options .................................................................... 9-5
9.1.4 Creating an Online Section 16 Ownership Submission ................................................... 9-7
9.1.5 File Form D Submission ................................................................................................ 9-28
9.1.6 Basic Information for Form D Submission.................................................................... 9-28
9.1.7 Completing an Online Form D Submission ................................................................... 9-33
9.1.8 Common Ownership Problems ...................................................................................... 9-55
10. FILER-CONSTRUCTED XML SUBMISSIONS ...................................................... 10-1
10.1 Filer-Constructed XML Technical Specifications .......................................................... 10-1
11. DETERMINING THE STATUS OF YOUR FILING ............................................... 11-1
11.1 Filing Date of Electronically Transmitted Submissions.................................................. 11-1
11.2 Receiving E-Mail Status of Filings from the SEC .......................................................... 11-1
11.2.1 How EDGAR Uses the Internet for E-Mail ................................................................... 11-1
11.2.2 How Mail Is Addressed to the Internet Address ............................................................ 11-2
11.3 Accessing Submission Information ................................................................................. 11-2
11.4 Return Copy Support ....................................................................................................... 11-4
11.4.1 Requesting a Return Copy via EDGARLink Online ..................................................... 11-4
11.4.2 Requesting a Return Copy via an Ownership Submission ............................................ 11-5
11.4.3 Who Can Access Return Copies .................................................................................... 11-5
11.4.4 Retrieve Return Copies .................................................................................................. 11-6
11.5 Submission Information .................................................................................................. 11-7
11.5.1 Retrieving Submission Notification ............................................................................... 11-8
11.5.2 Retrieve Module/Segment Information ....................................................................... 11-10
11.5.3 Module Information ..................................................................................................... 11-10
11.5.4 Segment Information ................................................................................................... 11-13
11.6 Getting Help with the Content of Filings or Exemptions/Adjustments ........................ 11-14
APPENDIX A. MESSAGES REPORTED BY EDGAR ....................................................... A-1
APPENDIX B. FREQUENTLY ASKED QUESTIONS ........................................................B-1
APPENDIX C. EDGAR SUBMISSION TYPES ................................................................... C-1
APPENDIX D. PAPER FORMS ............................................................................................. D-1
APPENDIX E. AUTOMATED CONFORMANCE RULES FOR EDGAR DATA FIELDSE-1
APPENDIX F. GLOSSARY OF COMMONLY USED TERMS, ACRONYMS AND
ABBREVIATIONS ......................................................................................................... F-1
APPENDIX G. FORM 13F SPECIAL ELECTRONIC FILING INSTRUCTIONS ......... G-1
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PREFACE
Welcome to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system of the U.S.
Securities and Exchange Commission (SEC). EDGAR provides an electronic filing process for
filers and filing agents submitting documents under the Securities Act of 1933, the Securities
Exchange Act of 1934, the Trust Indenture Act of 1939, and the Investment Company Act of
1940 (collectively, "Acts"). This manual explains how you can file electronically with the SEC.
The SEC accepts electronic submissions through the Internet. EDGAR will disseminate that
information and you may view electronically submitted filings in the SEC's Public Reference
Room in Washington, DC, through commercial dissemination services, or by using the SEC's
Public Website.
Do you need to file through EDGAR?
Whether or not you need to submit filings on EDGAR will depend on the form type(s) you are
required to submit. For those requirements, refer to Regulation S-T, Rule 101 [Mandated
Electronic Submissions and Exceptions].
Rules Governing Forms and Filing Information
EDGAR provides you with an electronic way to submit information to us. It does not change
the content of what you submit. Regulation S-T mandates electronic submissions of filings by
all domestic and foreign registrants. Regulation S-T also provides the general requirements and
procedures for electronic filing. You may find copies of Regulation S-T in the Federal Register
and the Code of Federal Regulations (17 CFR Part 232) in our Public Reference Rooms. You
will also find Regulation S-T under the Division of Corporation Finance area on the SEC's
Public Website under Forms and Associated Regulations, EDGAR.
We have identified the following other laws and releases that affect electronic filing. You may
obtain copies of this material from the SEC‟s Public Website.
Securities and Exchange Commission Authorization Act of 1987 -- Public Law 100-181
(December 4, 1987). (Section 35A of Securities Exchange Act of 1934.)
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Releases
34-61908
Issued: 04/14/10
Proposing Release
Large Trader Reporting System
33-9164, 34-63548
Issued: 12/15/10
Proposing Release
Mine Safety Disclosure
33-9148
Issued: 10/04/2010
Proposing Release
Disclosure for Asset-Backed Securities Required by Section 943
of the Dodd-Frank Wall Street Reform and Consumer Protection
Act
IC-29384
Issued: 08/25/2010
Effective: 11/15/2010
(75 FR 56668)
Facilitating Shareholder Director Nominations
IC-29132
Issued: 02/23/2010
Effective: 05/05/2010
(75 FR 10060)
Money Market Fund Reform
33-9089A
Issued: 02/23/2010
Effective: 02/28/2010
(75 FR 9100)
Proxy Disclosure and Solicitation Enhancements; Correction
33-9089
Issued: 12/16/09
Effective: 02/28/2010
(74 FR 68334)
Proxy Disclosure Enhancements
33-9006A
Issued: 05/01/09
Effective: 07/15/09
Interactive Data For Mutual Fund Risk/Return Summary
(Correction)
(74 FR 21255)
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August 2011
33-9002A
Issued: 04/01/09
Effective 04/13/09
(74 FR 15666)
Interactive Data to Improve Financial Reporting (Correction)
33-9002
Issued: 01/30/09
Effective: 04/13/09
(74 FR 6776)
Interactive Data to Improve Financial Reporting (adopting
release)
33-9006
Issued: 02/11/09
Effective: 07/15/09
(74 FR 7748)
Interactive Data For Mutual Fund Risk/Return Summary
34-58785
Issued 10/15/2008
Effective 10/18/2008
(73 FR 61678)
Disclosure of Short Sales and Short Positions by Institutional
Investment Managers
33-8891
Issued 02/06/08
Effective 09/15/08
(73 FR 10592)
Electronic Filing and Revision of Form D
33-8876
Issued 12/19/07
Effective 02/04/08
(73 FR 934)
Smaller Reporting Company Regulatory Relief and
Simplification
33-8919
Issued 10/29/08
Effective 01/01/2009
(73 FR 65516)
Mandatory Electronic Submission of Applications for Orders
under the Investment Company Act and Filings Made Pursuant
to Regulation E
33-8823
Issued 07/11/07
Effective 08/20/07
(72 FR 39290)
Extension of the Interactive Data Voluntary Program on the
EDGAR System to Include Mutual Fund Risk/Return Summary
Information
34-55540
Issued 03/27/07
Effective 06/04/07
(72 FR 16934)
Termination of a Foreign Private Issuer‟s Registration of a Class
of Securities under Section 12(G) and Duty to File Reports
under Section 13(A) or 15(D) of the Securities Exchange Act of
1934
August 2011
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EDGAR Filer Manual (Volume II)
34-54356
Issued 12/04/06
Effective 01/11/07
(71 FR 74698)
Electronic Filing of Transfer Agent Forms
33-8644
Issued 12/21/05
Effective 12/27/05
(70 FR 76626)
Revisions to Accelerated Filer Definition and Accelerated
Deadlines for Filing Periodic Reports
33-8591
Issued 7/19/05
Effective 12/1/05
(70 FR 44722)
Securities Offering Reform
33-8590
Issued 07/18/05
Rulemaking for EDGAR System
Effective 09/19/2005
Effective 02/06/2006
Effective 6/12/2006
(70 FR 43558)
Technical amendments to Reg S-T Series and class requirements
Additional mandatory electronic filings for investment
companies
33-8587
Issued 7/15/05
Effective 8/22/05
(70 FR 42234)
Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies
34-52029
Issued 7/14/05
Effective 8/22/05
Compliance 4/24/06
(70 FR 42456)
Removal From Listing and Registration of Securities Pursuant to
Section 12(d) of the Securities Exchange Act of 1934
33-8529
Issued 02/03/05
Effective 03/16/05
(70 FR 6556)
XBRL Voluntary Financial Reporting Program on the EDGAR
System
33-8518
Issued 12/22/04
Effective 3/08/05
(70 FR 1506)
Asset-Backed Securities
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August 2011
34-50486
Issued 10/04/04
Effective 11/08/04
(69 FR 60287)
Proposed Rule Changes of Self-Regulatory Organizations
33-8400A
Issued 8/04/04
Effective 8/23/04
(69 FR 48370)
Additional Form 8-K Disclosure Requirements and Acceleration
of Filing Date; Correction
33-8410
Issued 4/21/04
Effective 4/26/04
(69 FR 22704)
Mandated Electronic Filing for Form ID
33-8170
34-47069
35-27627
Issued 12/27/02
Mandated Electronic Filing and Website Posting for Forms 3, 4,
and 5
33-8009
Issued 5/14/02
Effective 5/24/02
and 11/4/02
(67 FR 36677)
Mandated EDGAR Filing for Foreign Issuers
33-8007
Issued 9/17/01
(66 FR 49829)
Updated version of the EDGARLink software
33-7999
Issued 7/30/01
(66 FR 42941)
Next stage of EDGAR Modernization
33-7933
Issued 1/16/01
Effective 2/02/01
(66 FR 8764)
Next stage of EDGAR Modernization
33-7855
Issued 4/24/00
Effective 5/30/00
Rules for the next stage of EDGAR Modernization
Effective 7/10/00
Effective 1/1/01
(65 FR 24788)
Diskette submissions not accepted
Financial Data Schedule requirement removed
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EDGAR Filer Manual (Volume II)
33-7789
Issued 1/20/00
Effective 1/24/00
(65 FR 3123)
Adopted updated filing form types in Filer Manual
33-7755
Issued 10/07/99
Effective 10/16/99
(64 FR 56430)
CompuServe discontinued electronic mail service
33-7684
Issued 5/17/99
Effective 6/28/99
(64 FR 27888)
Rules for the first stage of EDGAR modernization adopted
34-40934
Issued 1/12/99
Compliance date 4/1/99
(64 FR 2834)
Electronic filing of Form 13F made mandatory
33-7472
Issued 10/24/97
Effective 1/1/98
(62 FR 58647)
Commission will no longer accept, in paper, filings required to
be submitted electronically, except in a hardship situation
33-7427
Issued 7/1/97
(62 FR 36450)
Minor and technical rule amendments, including the elimination
of transition rules applicable to the phase-in period
33-7122
Issued 12/19/94
(59 FR 67752)
Rules and phase-in schedule made final. Final phase-in lists
published. Minor rule amendments adopted
33-6977
Issued 2/23/93
(58 FR 14628)
Interim rules applicable to electronic filing in general, and
specifically to the Division of Corporation Finance filers
IC-19284
Issued 2/23/93
(58 FR 14848)
Interim rules specific to investment companies
35-25746
Issued 2/23/93
(58 FR 14999)
Interim rules specific to public utility holding companies
33-6980
Issued 2/23/93
(58 FR 15009)
Rules relating to payment of filing fees to the SEC's lockbox in
Pittsburgh, Pennsylvania
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1.
INTRODUCTION TO VOLUME II
1.1
Organization of this Manual
This volume is divided into chapters and appendices. The paragraph and subparagraphs are
numbered for easy reference (e.g., 1.2, 5.6.1).
The chapters of this volume primarily refer to the preparation of EDGAR submissions. From this
point forward, when we reference EDGARLite, we are referencing the custom templates created
for some SEC Forms. When we reference EDGARLink Online, we are referencing the online
application used to assemble EDGAR submissions online through EDGAR Filing Website.
The following outline shows you where to find information in this volume. An index is also
provided at the end of this document.
CHAPTER 1 – Introduction
CHAPTER 2 – Quick Guide to EDGAR Filing
CHAPTER 3 – Index to Forms
CHAPTER 4 – Filing Fee Information
CHAPTER 5 – Constructing Attached Documents and Document Types
CHAPTER 6 – Interactive Data
CHAPTER 7 – Preparing and Transmitting Submissions Using EDGARLink Online
CHAPTER 8 – Preparing and Transmitting EDGARLite Submissions
CHAPTER 9 – Preparing and Transmitting Online Submissions
CHAPTER 10 – Filer-Constructed XML Submissions
CHAPTER 11 – Determining the Status of your Filing
APPENDICES:
A
Messages Reported by EDGAR
This appendix provides information on acceptance, suspension, and EDGAR error messages,
including all HTML/PDF error messages.
B
Frequently Asked Questions
Answers to some of the questions asked most frequently by EDGAR filers.
C
EDGAR Submission Types
This appendix provides a list of submission templates and the submission types within each
submission template. It also contains sample submission template information.
D
Paper Forms
Form SE
Form for Submission of Paper Format Exhibits by Electronic Filers
Form TH
Notification of Reliance on Temporary Hardship Exemption
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E
Automated Conformance Rules for EDGAR Data Fields
EDGAR recognizes specific values for certain fields in each submission template. This appendix
lists the values you must provide in the specified format.
F
Glossary of Commonly Used Terms, Acronyms, and Abbreviations
This glossary contains terms, acronyms, and abbreviations used in the Filer Manual.
G
Form 13F Special Electronic Filing Instructions
This glossary contains instructions specifically for preparing electronic filings of reports on Form
13F sent to the SEC on EDGAR submission types 13F-HR and 13F-NT.
1.1.1 Conventions Used in the Filer Manual
As you read in this volume you should notice attributes assigned to certain types of text:
Instructions to press a key on a keyboard or click a button or tab on the screen
appear in square brackets and in title case:
Press [Enter]
Click [Module/Segment]
Titles of check, dialog, and list boxes, fields, functions, options, processes,
queries, reports, pages, tables, and windows appear in title case:
Submission Type list box
Name field
Company Information query
Return Copy check box
Menus, menu options, radio buttons, and statuses appear in title case and have
double quotation marks around them:
“Test Filing” radio button
From the “Edit” menu, select “Copy”
“Busy” status
Directories and file names appear bolded:
The C:\temp directory
r10q-630.txt (the file saved in ASCII)
Keystroke combinations appear between less-than and greater-than brackets
and in upper case:
<ALT-TAB>
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<CTRL-C>
Internet Hyperlinks appear underlined:
Home
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2.
QUICK GUIDE TO EDGAR FILING
2.1
EDGAR Filing Process
This section is designed for the novice filer to explain the filing process and some of the terms
that we will use throughout this manual. If you are familiar with EDGAR, then proceed to the
index to find your submission type.
A filer must use the EDGAR system when they have a filing obligation that requires an
electronic form. They can also choose to use an electronic form for certain form types that may
also be prepared in paper format. Increasingly, fewer forms are permitted via paper filing. All
rules regarding which forms must be submitted electronically are found in Regulation S-T,
General Rules and Regulations for Electronic Filings. A copy of this rule is available on the
SEC‟s Public Website at http://www.sec.gov/about/forms/regs-t.pdf.
The EDGAR system is comprised of a number of large computers that receive filings submitted
by entities. An entity is one that files with the SEC. Entities may be unique companies that make
Securities Act filings or individuals who make filings like Form 3 or 4. There are thousands of
filings submitted to the EDGAR system each day. The system processes the filings according to
rules defined by the SEC. Finally, if the documents are public, it transmits them to parties
outside the SEC. Since there is a single internal SEC system processing these filings, filers must
follow certain rules in preparing their filings so that they can be processed correctly.
Once you know the Code of Federal Regulations (CFR) Form Type/Schedule/Rule that you must
submit electronically as determined by the SEC Rules, you must determine the electronic
submission type. On the EDGAR system, the submission is the envelope for all of the content
you are sending in a single transmission. The submission type may tell the SEC and others
viewing the filing something about the filing itself. For example, a Form 15 can have submission
types of 15-12B, 15-12G, and 15-15D. The different submission types are used by filers who
have a filing obligation under different sections of the act. For example, the 15-12B filer would
have registered a class of securities under Section 12(b).
EDGAR filings may consist of a number of documents, both primary and secondary. The
primary document is the document that contains the information required by the SEC for the
CFR Form Type/Schedule/Rule being submitted. Examples of the primary document include
documents like the 10-Q, 8-K, S-1, N-8A, or POS AMI. Many times filers want or need to
supplement their primary document with other documents. These are called secondary
documents. Secondary documents most commonly include cover letters or correspondence,
although correspondence documents may be sent in as primary documents in a correspondence
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submission type. Sometimes filings can also include exhibits which have a number and/or letter
designator, whose content is defined by the SEC. These exhibits can include things like a
company charter, power of attorney, or underwriting agreements.
All primary and secondary documents must be in certain standard electronic formats to be
accepted by the EDGAR system. The EDGAR system accepts ASCII, HTML, or XML primary
documents. If you include graphics in your HTML document, then you must also include the .jpg
and .gif files that contain your graphics. Two other document formats can be used as unofficial
copies: PDF and XBRL. You must follow all of the rules outlined in this manual with regard to
formatting these documents regardless of the tool you use to prepare and transmit your
submission. Keep in mind that not all document formats are permitted for each tool.
2.1.1 Using EDGARLink Online
EDGARLink Online is an internet based online application. Filers can create a submission by
entering header data and attaching filing documents in a single session. You must login to the
EDGAR Filing Website and indicate which form you would like to complete.
Once you have all of your documents prepared, you can assemble your EDGARLink Online
submission. Select the submission form type that you would like to file and you will be presented
with questions and fields that need to be completed. This data will be added to your submission
content and is commonly called the header or supplemental data.
EDGARLink Online allows you to indicate whether the submission should be considered a live
or test filing. A TEST filing allows you to make sure that the submission is correct by checking
all of the assembled documents and applying host processing steps like determining the fee and
checking your security codes. For a test submission, fees will not be deducted, the filing will not
be disseminated, and your filing will not count towards your requirement to file with the SEC.
Test filings are routinely removed from the internal system after a short period, generally six
calendar days.
EDGARLink Online allows you to indicate whether you want to receive an exact copy of your
filing after processing is complete. Return copies can be retrieved from the EDGAR Filing
Website and the EDGAR OnlineForms/XML Website. Submission contact information may be
used by the Filer Support Branches or the SEC divisions if there is an issue with your filing.
Including this information allows us to get in touch with you quickly. Using the Notification
Information page of the submission, you may add multiple e-mail addresses where you would
When certain specific criteria are met, a PDF attachment may qualify as an official document. Please refer to
section 5.2.3 – Unofficial PDF for more information.
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like a notification message sent. Using other pages of the submissions, you may add secondary
documents and provide fee information. You may save your filing to your local computer. As a
final step, you must transmit the submission in the same Internet session.
2.1.2 EDGAR OnlineForms/XML Website
The EDGAR OnlineForms/XML Website tool is an Internet based online application. Filers can
create an Ownership form by entering primary document data and the header data in a single
session. You do not have to worry about the differences between the types of data or how it is
translated into the resulting XML document. You must login to the EDGAR OnlineForms/XML
Website and indicate which form you would like to complete. Answer all of the questions. All
filings assembled on this site are considered live, so please be careful as you enter information.
You will be given a number of chances to review and correct information before you send it to
the host system. Similar to EDGARLink Online submissions, you may include a number of email addresses for filing notifications. You may also request a return copy which provides you
with an exact copy of the submission after it has been processed. You can save the document
locally, you will not be able to retrieve the document to make corrections. As a final step, you
must transmit the submission in the same Internet session.
2.1.3 After a Submission is Filed
No matter what tool you use to transmit your submission, the EDGAR system will provide you
with an accession number after transmission. The accession number is a unique number that
identifies your submission. The first ten digits are the CIK of the entity that logged in to submit
the filing. The next two digits define the current year. The final digits are assigned sequentially
by CIK starting with one on the first business day of each year. It is important to use this number
when reviewing the status of your filing or consulting with SEC divisions.
After transmitting your submission, you may check on its status, review e-mail notifications, and
examine your return copy via the Internet using the EDGAR Websites. In addition, if requested,
you will receive messages via e-mail. The notification messages, which are identical to those you
can retrieve via the Internet, include both the status of the submission and detailed error
messages. EDGAR will either accept or suspend your filing. Acceptance means that the filing
meets all of the host processing rules and, if live, the filing will be disseminated. Suspended
means that the filing contains serious errors that you must correct. You can correct the errors and
resubmit the filing. A suspended filing will not be disseminated nor will fees be deducted from
your account.
When the EDGAR system has completed the processing of your submission, if it is live and
public, it will be transmitted electronically to a number of third parties. (There are some
individual documents that are considered non-public which will not be immediately
disseminated. They may be subsequently disseminated by the SEC if they meet certain criteria.)
Dissemination can often occur within seconds of your transmission. Private companies may post
your filing on their websites for public use of their subscribers. The filings are also posted on the
SEC‟s Public Website.
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2.2
Filing Checklist
This section is a quick start guide to the filing process. It is not intended to explain all you need
to know about filing, but should get you started in the right direction. Although the filing process
is different based on the submission type transmitted, the tools used, and the needs of the filer,
some general steps need to be followed for most filings. They are listed in checklist form for you
in Table 2-1: Filing Checklist, and then described in detail in the following sections.
Table 2-1: Filing Checklist
Step
Activity
1
Check that you have access codes for the
EDGAR system. If not, follow procedures in
the EDGAR Filer Manual, Volume I, General
Information, to obtain codes.
No info blank cell
2
Review your company data on EDGAR to
determine that it is up-to-date. If you are an
Investment Company with existing series and
classes (contracts), review your series and
class information to insure that names, status
and ticker symbols are up-to-date before you
submit a filing. New series and classes
(contracts) are to be added via a filing.
Details are in the EDGAR Filer Manual,
Volume I, General Information.
Note: This data is used in creating header
data in some filings and filing data in other
types of filings. It is your responsibility to
keep your company information current.
No info blank cell
3
Determine the submission type you need to
file and then find it in the indexes in Chapter
3, INDEX TO FORMS.
No info blank cell
4
If your filing requires a fee, ensure that the
funds are available in your account. See
Chapter 4, FILING FEE INFORMATION.
No info blank cell
5
Create documents that will be attached to the
submission. See Chapter 5,
CONSTRUCTING ATTACHED
DOCUMENTS AND DOCUMENT TYPES.
Note: If you are using the EDGAR
OnlineForms/XML Website, you do not need
to create the primary document.
No info blank cell
EDGARLite
6
If you are using EDGARLite to assemble your
submission, download and/or install the tool
that you will need to assemble the
submission. (Note you do not need to
perform this step for OnlineForms or
No info blank cell
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Step
Activity
Completion
EDGARLink Online.) See Sections 8.2 What
is Microsoft InfoPath 2003, and 8.3,
Downloading and Installing Templates for
EDGARLite.
2.3
EDGARLite
7
Use the tool to create or assemble the
submission. (Note you do not need to
perform this step for OnlineForms or
EDGARLink Online.) See Sections 8.4,
Preparing your EDGARLite Submission,
through 8.5, Saving Your Filing for
EDGARLite.
REMEMBER TO ALWAYS VALIDATE
YOUR SUBMISSION!
No info blank cell
EDGARLink
Online 6 & 7
Access the EDGAR Filing Website, and
select EDGARLink Online Form Submission.
See Chapter 7 for completing an EDGARLink
Online Submission. Skip to step 11.
No info blank cell
OnlineForms
6&7
Access the EDGAR OnlineForms/XML
Website and enter your form data. See
Chapter 9 for details. Transmit after data
entry and verification. Skip to step 11.
No info blank cell
8
Transmit a test submission to the EDGAR
system. See Section 8.6, Transmitting XML
Submissions.
No info blank cell
9
Review your acceptance/suspense message
or return copy to determine if changes are
required. See Section 11.5, Submission
Information for instructions.
No info blank cell
10
Transmit a live submission to the EDGAR
system. Make sure that a live file is created
by having the live button clicked. See Section
8.6 Transmitting XML Submissions.
No info blank cell
11
Review your acceptance/suspense message.
If necessary, correct errors and file again.
See Section 11.5, Submission Information for
instructions on reviewing your
acceptance/suspense message.
No info blank cell
General Information for Filers
2.3.1 Hours of Operation
EDGAR accepts filings and changes to company information each business day, Monday
through Friday, from 6:00 a.m. to 10:00 p.m., Eastern Time. Transmissions started but not
completed by 10:00 p.m. Eastern Time may be canceled, and you may have to re-submit on the
next business day.
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2.3.2 Introduction to Web Browsers
The EDGAR system uses web-based technology to make submitting filings easier and faster.
Web browsers read code called Hypertext Mark-up Language (HTML). Many people have
become familiar with HTML since they have used the Internet. We use a browser as an integral
part of EDGAR, providing our interface to the EDGAR Filing Website.
2.3.3 Browser Differences
Internet browser for EDGARLink Online: Internet Explorer 7.0 or 8.0, or Firefox 3.5 or greater.
For other EDGAR Websites, we recommend that you use Netscape version 5.0 or later, or
Internet Explorer version 5.0 or later. The EDGAR Filing Website does not support Netscape
version 6.0. Both browsers comply with Secure Socket Layer (SSL) communications that you
will use to reach the EDGAR Filing Website, and are easy to obtain. Which browser you use is a
personal preference. This section covers some functions that are innate to browsers, how your
browser should be set up, and the differences between Netscape and IE. You should be aware
that there might be subtle differences if you are using IE or other versions of Netscape.
Firefox Menu Bar
Netscape Menu Bar
Internet Explorer Menu Bar
Figure 2-1: Browser Menu Bars
The browsers have very similar navigation functions: [Back], [Forward], [Stop], and [Reload]
buttons, Current Address Location fields, as well as buttons for performing other functions such
as printing and saving. The largest difference between the browsers is button appearances and
where to update the preference settings. For detailed information on your browser, see your
browser‟s user manual or help function.
The browser window works similarly to all windows, in that it can be maximized, minimized,
and sized. The default menu bar contains buttons that help you navigate the Internet; however,
these buttons do not necessarily help you navigate EDGAR. For the purposes of logging into
EDGAR, downloading files, submitting filings and company queries, or updating company
information, these buttons do not apply. Some of the functions you can use are Bookmark, to
mark the EDGAR Login page for easy accessibility; Back, to correct, add, or remove criteria
from a query; and Security, to turn on or off your security functions.
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2.3.4 Accessing EDGAR
To access EDGAR, you must have EDGAR access codes. New filers and filers who want to file
in another capacity (e.g., filing agent or training agent) must use Form ID to apply for EDGAR
access codes. The Form ID must be filed electronically through the EDGAR Filer Management
Website and an accompanying manually signed and notarized authentication document must be
faxed to the Commission. If we do not receive your fax, we cannot accept your application.
Details of this process are covered in other sections of this manual. Once you have obtained your
access codes, you will be ready to login to EDGAR, download submission templates, transmit
submissions, run company queries, update your company information, or change your password
or CCC (CIK Confirmation Code).
2.3.5 Getting Help with EDGAR
For Procedural and Technical questions, contact Filer Support
You can reach our Filer Support Branches in the Divisions at (202) 551-8900. These offices
respond to general EDGAR questions like how to become a filer, the form ID process, how to
get to the Websites, how to update filer information, filing of forms, and header tags. Filer
Support is available each business day from 9:00 a.m. to 5:30 p.m. Eastern Time.
For general fee information, contact our Fee Account Services Branch in the Office of Financial
Management at (202) 551-8989.
For Substantive questions, contact your Division
For filing content, rule interpretations, filing date adjustments, and hardship exemption requests,
contact the division that reviews the filing, the Division of Corporation Finance or Investment
Management, during normal business hours 9:00 a.m. to 5:30 p.m., Eastern Time.
Division of Corporation Finance:
For help with filings reviewed by the Division of Corporation Finance, contact the Office
of Information Technology in the Division of Corporation Finance at (202) 551-3600.
Division of Trading and Markets
For help with short sale filings, contact the Office of Interpretation and Guidance in the
Division of Trading and Markets inquiry line: (202) 551-5777.
Division of Investment Management:
For help with Form 13-F, call the IM Chief Counsel inquiry line: (202) 551-6865.
For help with Form N-SAR or Form 24F-2, call the N-SAR/24F-2 inquiry line: (202)
551-6703.
For help with investment company filings (except Forms 13-F, N-SAR and 24F-2), call
the IM EDGAR inquiry line: (202) 551-6989.
For questions concerning post-acceptance corrections and withdrawals, first please read
our notice, “IM EDGAR Post-Acceptance Corrections” on the Information for EDGAR
Filers web page (http://www.sec.gov/info/edgar.shtml).
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For questions concerning series and classes (contracts), first read our notice, “Series and
Class (Contract) Notice and FAQ‟s,” on the Information for EDGAR Filers web page
(http://www.sec.gov/info/edgar.shtml).
2.4
EDGAR Gateway and Websites
The SEC maintains a number of websites and URLs to support the filing process. As we have
developed more sites and URLs, it has become more complicated for filers to find the correct
location for any single activity. To alleviate this problem, we developed the EDGAR Gateway to
act as an interface between all EDGAR websites and URLs. By choosing the link that describes
what you want to do, you can connect to the correct resource to accomplish your task. You can
reach the EDGAR Gateway by using the following URL:
http://www.portal.edgarfiling.sec.gov
You can use links on this URL to access the websites or URLs. If you only remember one
EDGAR website, this is the one to remember. The other EDGAR websites and/or URLs as well
as their uses are as follows:
URL
Name
https://www.edgarfiling.sec.gov
EDGAR Filing Website
Prepare and transmit EDGARLink Online Form
filings
Prepare and transmit Form 13H filings
Updates of Entity Information
Filing Status and E-mail Notifications
Return Copy Retrieval
View the Fee Rate Table
EDGAR OnlineForms/XML
Website
https://www.onlineforms.edgarfiling.sec.gov
Prepare and transmit Ownership filings
Prepare and transmit Form D Filings
Transmit XML Filer-Constructed Submissions
Updates of Entity Information
Filing Status and E-mail Notifications
Return Copy Retrieval
Download EDGARLite templates
https://www.filermanagement.edgarfiling.sec.gov/
EDGAR Filer Management
Website
Apply for EDGAR Access (New)
Generate Access Codes (New/Replacement)
Update Passphrase
EDGAR Filer Manual (Volume II)
2-8
August 2011
Convert Paper Only Filer to Electronic Filer
EDGAR Access for New Serial Companies
Download the Filer Manual
http://www.edgarcompany.sec.gov
EDGAR Company Database
Public Access to company information
SEC‟s Public Website
http://www.sec.gov
Access to filings
Information on Existing Rules
Information on Proposed Rules
Download the Filer Manual
Frequently Asked Questions
Download Filer-Constructed Technical
Specifications
Please note that there may be more than one URL or website to help you with a single task. For
example, there are two URLs where you can change entity data and download the Filer Manual.
Please be very careful in linking to the websites. Some are preceded by https: and you will not be
allowed access to a secure site without this designator. You should use the Favorites feature built
into Internet Explorer to store the URLs for the sites you use frequently.
August 2011
2-9
EDGAR Filer Manual (Volume II)
3.
INDEX TO FORMS
As a filer, you will first need to determine whether you must meet your filing obligation via
EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for
Electronic Filings, outline which filings are mandated as electronic. This means that they must be
filed on EDGAR unless there is a case for Temporary or Permanent Hardship. (The rules for
each form and hardship exemptions may differ, so please see the regulation for specific
information.) Once you determine the form you need to file is electronic, then you need to
identify the submission type to use. For each submission type, there are specific tools that you
can use.
As the EDGAR system has evolved using new technologies, tools have been added, changed,
and sometimes updated. There is no longer a single tool for preparing an EDGAR submission.
Your guide to the tools is this index. The first index allows you to lookup EDGAR electronic
submission types easily if all you know is the submission form type. Included in the last two
columns is detailed information about the tools that are used to create and/or assemble the filing.
The second index is easiest to use if you are more comfortable looking up your submission type
by Act.
Before using the indexes, it is important to understand the difference between the Code of
Federal Regulations (CFR) Form/Schedule/Rule column reference and the EDGAR Submission
Type column. The index entries under the CFR Form/Schedule/Rule column refer to the titles of
the actual Form, Schedule or Rule named in the CFR. The Submission Type refers to Form
variations filers use on the electronic filing system to fulfill their filing obligation. For example,
the paper Form 15 is implemented on EDGAR as a number of different submission types
including: 15-12B, 15-12G, and 15-15D. The last three digits represent the sections of the 34 Act
under which the filer is registered.
Using either Index, find the submission type, check that the description of the form matches your
understanding of the purpose of the form, and identify the tool that should be used to create the
form. The options in this column are EDGARLink Online, EDGARLite, and the corresponding
templates and OnlineForms. There is a section in this manual describing in detail each of these
tools. Chapter 7, PREPARING AND TRANSMITTING EDGARLINK ONLINE
SUBMISSIONS, describes EDGARLink Online. Chapter 8, PREPARING AND
TRANSMITTING EDGARLITE SUBMISSIONS, describes EDGARLite. Chapter 9,
PREPARING AND TRANSMITTING ONLINE SUBMISSIONS, describes online submissions
using the EDGAR OnlineForms/XML Website. The column entitled Filer-Constructed Technical
Specifications should only be used by filers who want to create their submissions without the use
of EDGAR tools. These Technical Specifications are available on the SEC‟s Public Website. The
Technical Specifications are delivered separately and are not part of the Filer Manual.
Note: In Section 3.1 for simplicity we include both the initial form and the associated
amendment in the Submission Type column.
August 2011
3-1
EDGAR Filer Manual (Volume II)
3.1
Alpha/Numeric
Submission Type
Description
Tool/
Template
Number
1-E, 1-E/A
Notification under Regulation E by small
business investment companies and business
development companies.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-E AD, 1-E AD/A
Sales material filed pursuant to Rule 607 under EDGARLink
Regulation E.
Online
EDGARLink
Online XML
Technical
Specification
2-E, 2-E/A
Report of sales of securities pursuant to Rule
609 under Regulation E.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-12B, 10-12B/A
Initial general form for registration of a class of
securities pursuant to section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-12G, 10-12G/A
Initial general form for registration of a class of
securities pursuant to section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-D, 10-D/A
Periodic distribution reports by Asset-Backed
issuers pursuant to Rule 13a-17 or 15d-17
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-K, 10-K/A
Annual report pursuant to section 13 and 15(d) EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-KT, 10-KT/A
Transition report pursuant to Rule 13a-10 or
15d-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-Q, 10-Q/A
Quarterly report pursuant to sections 13 or
15(d)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-QT, 10-QT/A
Transition report pursuant to Rule 13a-10 or
15d-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
11-K, 11-K/A
Annual report of employee stock purchase,
savings and similar plans
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-2
FilerConstructed
Form Spec.
August 2011
Submission Type
11-KT, 11-KT/A
Description
FilerConstructed
Form Spec.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings report filed
by institutional managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
13F-NT, 13F-NT/A
Initial Quarterly Form 13F Notice Report filed
by institutional managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
13H, 13H-Q, 13HA, 13H-I, 13H-R,
13H-T
Large Trader Registration Information
Required of Large Traders Pursuant to the
Securities Exchange Act of 1934 and Rule[s]
13h-1 Thereunder. Initial Filing (13H),
Amended Filing (13H-Q), Annual Filing (13HA), Inactive Status (13H-I), Reactivated Status
(13H-R), and Termination Filing (13H-T)
EDGARLink
Online
N/A
144, 144/A
Filing for proposed sale of securities under
Rule 144
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15-12B, 15-12B/A
Notice of termination of registration of a class
of securities under Section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15-12G, 15-12G/A
Notice of termination of registration of a class
of securities under Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15-15D, 15-15D/A
Notice of suspension of duty to file reports
pursuant to Section 13 and 15(d) of the Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15F-12G,
15F12G/A
Notice of termination of a foreign private
issuer‟s registration of a class of securities
under Section 12(g).
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15F-15D,
15F15D/A
Notice of a foreign private issuer‟s suspension
of duty to file reports pursuant to Section 13
and 15(d) of the Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
August 2011
Transition report pursuant to rule 13a-10 or
15d-10
Tool/
Template
Number
3-3
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
18-12B, 18-12B/A
Form for initial registration of securities of
foreign governments or political subdivisions
pursuant to section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
18-12G, 18-12G/A
Form for initial registration of securities of
foreign governments or political subdivisions
thereof pursuant to section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
18-K, 18-K/A
Annual report for foreign governments and
political subdivisions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
20-F, 20-F/A
Annual and transition report of foreign private
issuers pursuant to sections 13 or 15(d)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
20FR12B,
20FR12B/A
Form for initial registration of a class of
EDGARLink
securities of foreign private issuers pursuant to Online
section 12(b)
EDGARLink
Online XML
Technical
Specification
20FR12G,
20FR12G/A
Form for initial registration of a class of
EDGARLink
securities of foreign private issuers pursuant to Online
section 12(g)
EDGARLink
Online XML
Technical
Specification
24F-2NT,
24F-2NT/A
Rule 24F-2 notice filed on Form 24F-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
25, 25/A
Notification filed by issuer to voluntarily
withdraw a class of securities from listing and
registration on a national securities exchange
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
25-NSE, 25-NSE/A Notification filed by national security exchange
to report the removal from listing and
registration of matured, redeemed or retired
securities
Distributed to
National
Securities
Exchanges
only
Distributed to
National
Securities
Exchanges only
3, 3/A
OnlineForms
Ownership XML
Technical
Specification
Initial statement of beneficial ownership of
securities
EDGAR Filer Manual (Volume II)
3-4
FilerConstructed
Form Spec.
August 2011
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
305B2, 305B2/A
Application for designation of a new trustee
under the Trust Indenture Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
4, 4/A
Statement of changes in beneficial ownership
of securities
OnlineForms
Ownership XML
Technical
Specification
40-6B, 40-6B/A
Application under the Investment Company Act EDGARLink
by an employees‟ securities company
Online
EDGARLink
Online XML
Technical
Specification
40-17F1,
40-17F1/A
Initial certificate of accounting of securities and EDGARLink
similar investments in the custody of
Online
management investment companies filed
pursuant to Rule 17f-1 of the Investment
Company Act of 1940 filed on Form N-17F-1
EDGARLink
Online XML
Technical
Specification
40-17F2,
40-17F2/A
Initial certificate of accounting of securities and EDGARLink
similar investments in the custody of
Online
management investment companies filed
pursuant to Rule 17f-2 of the Investment
Company Act of 1940 filed on Form N-17F-2
EDGARLink
Online XML
Technical
Specification
40-17G, 40-17G/A
Fidelity bond filed pursuant to Rule 17g1(g)(1)
of the Investment Company Act of 1940
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-17GCS,
4017GCS/A
Filings of claim or settlement pursuant to rule
17g-1(g)(1)(2) or (3) of the Investment
Company Act of 1940
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-24B2,
40-24B2/A
Filing of sales literature pursuant to Rule 24b2
under the Investment Company Act of 1940
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-33, 40-33/A
Copies of all stockholder derivative actions
filed with a court against an investment
company or an affiliate thereof pursuant to
Section 33 of the Investment Company Act of
1940
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-8B25
Document or report
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
August 2011
3-5
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
40-8F-2, 40-8F-2/A Initial application for deregistration pursuant to
Investment Company Act Rule 0-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-APP, 40-APP/A
Applications under the Investment Company
Act other than those reviewed by Office of
Insurance Products
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-F, 40-F/A
Annual reports filed by certain Canadian
issuers pursuant to Section 15(d) and Rule
15d-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40FR12B,
40FR12B/A
Registration of a class of securities of certain
Canadian issuers pursuant to Section 12(b) of
the 1934 Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40FR12G,
40FR12G/A
Registration of a class of securities of certain
Canadian issuers pursuant to Section 12(g) of
the 1934 Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-OIP, 40-OIP/A
Applications under the Investment Company
Act reviewed by Office of Insurance Products
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424A
Prospectus filed pursuant to Rule 424(a)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B1
Prospectus filed pursuant to Rule 424(b)(1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B2
Prospectus filed pursuant to Rule 424(b)(2)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B3
Prospectus filed pursuant to Rule 424(b)(3)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B4
Prospectus filed pursuant to Rule 424(b)(4)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-6
August 2011
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
424B5
Prospectus filed pursuant to Rule 424(b)(5)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B7
Prospectus filed pursuant to Rule 424(b)(7)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B8
Prospectus filed pursuant to Rule 424(b)(8)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
425
Filing under Securities Act Rule 425 of certain
prospectuses and communications in
connection with business combination
transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
485APOS
Post-effective amendment filed pursuant to
EDGARLink
Securities Act Rule 485(a) (this filing cannot be Online
submitted as a 1940 Act only filing)
EDGARLink
Online XML
Technical
Specification
485BPOS
Post-effective amendment filed pursuant to
EDGARLink
Securities Act Rule 485(b) (this filing cannot be Online
submitted as a 1940 Act only filing)
EDGARLink
Online XML
Technical
Specification
485BXT
Post-effective amendment filed pursuant to
EDGARLink
Securities Act Rule 485(b)(1)(iii) to designate a Online
new effective date for a post-effective
amendment previously filed pursuant to
Securities Act Rule 485(a) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online XML
Technical
Specification
486APOS
Post-effective amendment to filing filed
pursuant to Securities Act Rule 486(a)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
486BPOS
Post-effective amendment to filing filed
pursuant to Securities Act Rule 486(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
487
Pre-effective pricing amendment filed pursuant EDGARLink
to Securities Act Rule 487
Online
EDGARLink
Online XML
Technical
Specification
497
Definitive materials filed under paragraph (a),
EDGARLink
(b), (c), (d), (e) or (f) of Securities Act Rule 497 Online
EDGARLink
Online XML
Technical
Specification
August 2011
3-7
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
497AD
Filing by certain investment companies of
Securities Act Rule 482 advertising in
accordance with Securities Act Rule 497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
497H2
Filings made pursuant to Rule 497(h)(2)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
497J
Certification of no change in definitive
materials under paragraph (j) of Securities Act
Rule 497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
497K
Summary Prospectus for certain open-end
management investment companies filed
pursuant to Securities Act Rule 497(k)
Cannot be used until March 31, 2009.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
497K1
Profiles for certain open-end management
investment companies filed pursuant to
Securities Act Rule 497(k)(1)(i)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
OnlineForms
Ownership XML
Technical
Specification
Will no longer be accepted after close of
Business, (5:30 PM EST) on March 30, 2009.
497K2
Profiles for certain open-end management
investment companies filed pursuant to
Securities Act Rule 497(k)(1)(ii)
Will no longer be accepted after close of
Business, (5:30 PM EST) on March 30, 2009.
497K3A
Profiles for certain open-end management
investment companies filed pursuant to
Securities Act Rule 497(k)(1)(iii)(A)
Will no longer be accepted after close of
business (5:30 PM EST) on March 30, 2009.
497K3B
Profiles for certain open-end management
investment companies filed pursuant to
Securities Act Rule 497(k)(1)(iii)(B)
Will no longer be accepted after close of
business (5:30 PM EST) on March 30, 2009.
5, 5/A
Annual statement of changes in beneficial
ownership of securities
EDGAR Filer Manual (Volume II)
3-8
August 2011
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
6-K, 6-K/A
Current report of foreign issuer pursuant to
Rules 13a-16 and 15d-16 Amendments
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-A12B, 8-A12B/A
Form for the registration / listing of a class of
securities on a national securities exchange
pursuant to section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-A12G, 8-A12G/A
Form for registration of a class of securities
pursuant to section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K, 8-K/A
Current report filing
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K12B, 8-K12B/A
Notification that a class of securities of
successor issuer is deemed to be registered
pursuant to section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K12G3,
8-K12G3/A
Notification that a class of securities of
successor issuer is deemed to be registered
pursuant to section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K15D5,
8-K15D5/A
Notification of assumption of duty to report by
successor issue under section 15(d)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ABS 15G,
ABS 15G/A
Asset-backed securities report pursuant to
Section 15G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ANNLRPT,
ANNLRPT/A
Periodic Development Bank filing, submitted
annually
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
APP WD,
APP WD/A
Withdrawal of an application for exemptive or
other relief from the federal securities laws
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ARS, ARS/A
Annual report to security holders
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
August 2011
3-9
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
AW
Withdrawal of amendment to a registration
statement filed under the Securities Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
AW WD
Withdrawal of a request for withdrawal of an
amendment to a registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
CB, CB/A
Notification form filed in connection with certain EDGARLink
tender offers, business combinations and
Online
rights offerings, in which the subject company
is a foreign private issuer of which less than
10% of its securities are held by U.S. persons
EDGARLink
Online XML
Technical
Specification
CORRESP
A correspondence can be sent as a document EDGARLink
with another submission type or can be sent as Online
a separate submission.
EDGARLink
Online XML
Technical
Specification
D, D/A
Official notice of an offering of securities that is Online Forms N/A
made without registration under the Securities
Act in reliance on an exemption provided by
Regulation D and Section 4(6) under the Act.
DEF 14A
Definitive proxy statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEF 14C
Definitive information statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFA14C
Definitive additional information statement
materials including Rule 14(a)(12) material
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFC14A
Definitive proxy statement in connection with
contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFC14C
Definitive information statement - contested
solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFM14A
Definitive proxy statement relating to a merger, EDGARLink
acquisition, or disposition
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-10
August 2011
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
DEFM14C
Definitive information statement relating to
merger or acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFN14A
Definitive proxy statement filed by non
management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFR14A
Definitive revised proxy soliciting materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFR14C
Definitive revised information statement
materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEL AM
Separately filed delaying amendment under
Securities Act Rule 473 to delay effectiveness
of a 1933 Act registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DFAN14A
Definitive additional proxy soliciting materials
filed by non-management including Rule
14(a)(12) material
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DFRN14A
Revised definitive proxy statement filed by
non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DSTRBRPT,
DSTRBRPT/A
Distribution of primary obligations
Development Bank report
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-1, F-1/A
Registration statement for securities of certain
foreign private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10, F-10/A
Registration statement for securities of certain
Canadian issuers under the Securities Act of
1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10EF
Auto effective registration statement for
securities of certain Canadian issuers under
the Securities Act of 1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
August 2011
3-11
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
F-10POS
Post-effective amendment to a F-10EF
registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-1MEF
A new registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form
F-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3, F-3/A
Registration statement for specified
transactions by certain foreign private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3ASR
Automatic shelf registration statement of
securities of well-known seasoned issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3DPOS
Post-Effective amendment to a F-3D
registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3MEF
A new registration statement filed under Rule
EDGARLink
462(b) to add securities to a prior related
Online
effective registration statement filed on Form F
3
EDGARLink
Online XML
Technical
Specification
F-4 POS
Post-effective amendment to a F-4EF
registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4, F-4/A
Registration statement for securities issued by
foreign private issuers in certain business
combination transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4EF
Auto effective registration statement for
securities by certain foreign private issuers in
connection with certain business combination
transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4MEF
A new registration statement filed under Rule
EDGARLink
462(b) to add securities to a prior related
Online
effective registration statement filed on Form F
4
EDGARLink
Online XML
Technical
Specification
F-6 POS
Post-effective amendment to a F-6EF
registration
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-12
EDGARLink
Online
August 2011
Submission Type
Description
Tool/
Template
Number
F-6, F-6/A
Registration statement for American
Depositary Receipts representing securities of
certain foreign private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6EF
Auto effective registration statement for
American Depositary Receipts representing
securities of certain foreign private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-7 POS
Post-effective amendment to a F-7 registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-7, F-7/A
Registration statement for securities of certain
Canadian issuers offered for cash upon the
exercise of rights granted to existing security
holders under the Securities Act of 1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8 POS
Post-effective amendment to a F-8 registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8, F-8/A
Registration statement for securities of certain
Canadian issuers to be issued in exchange
offers or a business combination under the
Securities Act of 1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-80, F-80/A
Registration of securities of certain Canadian
issuers to be issued in exchange offers or a
business combination under the Securities Act
of 1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-80POS
Post-effective amendment to a F-80
registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-9 POS
Post-effective amendment to a F-9EF
registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-9, F-9/A
Registration of securities of certain investment
grade debt or investment grade preferred
securities of certain Canadian issuers under
the Securities Act of 1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-9EF
Auto effective registration of securities of
certain investment grade debt or investment
grade preferred securities of certain Canadian
issuers under the Securities Act of 1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
August 2011
3-13
FilerConstructed
Form Spec.
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
F-N, F-N/A
Notification of the appointment of an agent for
service by certain foreign institutions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
FWP
Filing under Securities Act Rules 163/433 of
free writing prospectuses
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-X, F-X/A
For appointment of agent for service of
process by issuers registering securities
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-1, N-1/A
Initial registration statement filed on Form N-1
for open-end management investment
companies.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-14 8C, N-14
8C/A
Initial registration statement filed on Form N14
by closed-end investment company (business
combinations)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-14, N-14/A
Initial registration statement filed on Form N14
for open-end investment company, including
those filed with automatic effectiveness under
Rule 488 (business combinations)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-14MEF
A new registration statement filed on Form
EDGARLink
N14 by closed end investment companies filed Online
under Securities Act Rule 462(b) of up to an
additional 20% of securities for an offering that
was registered on Form N-14
EDGARLink
Online XML
Technical
Specification
N-18F1, N-18F1/A
Initial notification of election pursuant to Rule
18f-1 filed on Form N-18F-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-1A, N-1A/A
Initial registration statement filed on Form N1A
for open-end management investment
companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-2, N-2/A
Initial filing of a registration statement on Form
N-2 for closed-end investment companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C-2,
N-23C-2/A
Notice by closed-end investment companies of EDGARLink
intention to call or redeem their own securities Online
under Investment Company Act Rule 23c-2
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-14
FilerConstructed
Form Spec.
August 2011
Submission Type
Description
Tool/
Template
Number
N-23C3A,
N23C3A/A
Notification of periodic repurchase offer Filed
pursuant to Rule 23c-3(b) only
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C3B,
N23C3B/A
Filing pursuant to Rule 23c-3(c) only on Form
N-23C-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C3C,
N23C3C/A
Filing pursuant to Rule 23c-3(b) and (c) on
Form N-23C-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-27D-1,
N-27D-1/A
Accounting for segregated trust accounts on
Form N-27D-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-2MEF
A new registration statement on Form N-2 filed EDGARLink
under Securities Act Rule 462(b) by closedOnline
end investment companies of up to an
additional 20% of securities for an offering that
was registered on Form N-2
EDGARLink
Online XML
Technical
Specification
N-3, N-3/A
Initial registration statement on Form N-3 for
separate accounts (management investment
companies)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-30B-2
Periodic and interim reports mailed to
investment company shareholders (other than
annual and semi-annual reports mailed to
shareholders pursuant to Rule 30e-1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-30D, N-30D/A
Initial annual and semi-annual reports mailed
to investment company shareholders pursuant
to Rule 30e-1 (other than those required to be
submitted as part of Form NCSR.)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-4, N-4/A
Initial registration statement on Form N-4 for
separate accounts (unit investment trusts)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-5, N-5/A
Registration statement for small business
investment companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-54A, N-54A/A
Notification of election by business
development companies filed on Form N-54A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
August 2011
3-15
FilerConstructed
Form Spec.
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
N-54C, N-54C/A
Notification of withdrawal by business
development companies filed on Form N-54C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-6, N-6/A
Registration statement for separate accounts
(unit investment trusts)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-6F, N-6F/A
Notice of intent by business development
EDGARLink
companies to elect to be subject to Sections
Online
55 through 65 of the 1940 Act filed on Form N6F
EDGARLink
Online XML
Technical
Specification
N-8A, N-8A/A
Initial notification of registration under section
8(a) filed on Form N-8A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-8B-2, N-8B-2/A
Initial registration statement for unit investment EDGARLink
trusts filed on Form N-8B-2
Online
EDGARLink
Online XML
Technical
Specification
N-8B-3, N-8B-3/A
Initial registration statement for periodic
payment plans filed on Form N-8B-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-8B-4, N-8B-4/A
Initial registration statement for face-amount
certificate companies filed on Form N-8B-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-8F, N-8F/A
Application for deregistration made on Form N- EDGARLink
8F
Online
EDGARLink
Online XML
Technical
Specification
N-CSR, N-CSR/A
Certified annual shareholder report of
EDGARLink
registered management investment companies Online
filed on Form N-CSR
EDGARLink
Online XML
Technical
Specification
N-CSRS, NCSRS/A
Certified semi-annual shareholder report of
EDGARLink
registered management investment companies Online
filed on Form N-CSR
EDGARLink
Online XML
Technical
Specification
N-MFP, N-MFP/A
Monthly Schedule of Portfolio Holdings of
Money Market Funds
N-MFP Technical
Specification
EDGAR Filer Manual (Volume II)
3-16
N/A
FilerConstructed
Form Spec.
August 2011
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
N-PX, N-PX/A
Annual Report of Proxy Voting Record of
Registered Management Investment
Companies filed on Form N-PX
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-PX-CR, N-PXCR/A
Annual Form N-PX Combination Report filed
by institutional managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-PX-FM, N-PXFM/A
Annual Report of Proxy Voting Record of
Registered Management Investment
Companies that includes proxy votes
institutional managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-PX-NT, N-PXNT/A
Annual Form N-PX Notice filed by institutional
managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-PX-VR, N-PXVR/A
Annual Form N-PX Voting Report filed by
institutional managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-Q, N-Q/A
Quarterly Schedule of Portfolio Holdings of
EDGARLink
Registered Management Investment Company Online
filed on Form N-Q
EDGARLink
Online XML
Technical
Specification
NSAR-A, NSARA/A
Semi-annual report for management
companies filed on Form N-SAR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NSAR-AT,
NSARAT/A
Transitional semi-annual report filed on Form
N-SAR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NSAR-B, NSARB/A
Annual report for management companies filed EDGARLink
on Form N-SAR
Online
EDGARLink
Online XML
Technical
Specification
NSAR-BT,
NSARBT/A
Transitional annual report filed on Form NSAR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NSAR-U, NSARU/A
Annual report for unit investment trusts filed on EDGARLink
Form N-SAR
Online
EDGARLink
Online XML
Technical
Specification
August 2011
3-17
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
NT 10-K, NT 10K/A
Notice under Rule 12b25 of inability to timely
EDGARLink
file all or part of a Form 10-K, 10-KSB, or 10KT Online
EDGARLink
Online XML
Technical
Specification
NT 10-D, NT 10D/A
Notice under Rule 12b25 of inability to timely
file all or part of a Form 10-D
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 10-Q, NT 10Q/A
Notice under Rule 12b25 of inability to timely
file all or part of a form 10-Q or 10-QSB
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 11-K, NT 11K/A
Notice under Rule 12b25 of inability to timely
file all or part of a form 11-K
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 15D2, NT
15D2/A
Notice under Rule 12b25 of inability to timely
file a special report pursuant to section 15d-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 20-F, NT 20F/A
Notice under Rule 12b25 of inability to timely
file all or part of an annual report of form 20-F
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT-NCSR,
NTNCSR/A
Notice under Exchange Act Rule 12b-25 of
inability to timely file Form N-CSR (annual or
semi-annual report)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT-NSAR,
NTNSAR/A
Notice under Exchange Act Rule 12b-25 of
inability to timely file Form N-SAR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS 8C
Post-effective amendment filed under the 1933 EDGARLink
Act only or under both the 1933 and 1940 Acts Online
pursuant to Section 8(c) of the 1933 Act by
closed-end investment companies (this filing
cannot be submitted as a 1940 Act only filing)
EDGARLink
Online XML
Technical
Specification
POS AM
Post-effective amendment to a registration
statement that is not immediately effective
upon filing
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS AMI
Post-effective amendment (for filings made
under the 1940 Act only)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-18
August 2011
Submission Type
Description
Tool/
Template
Number
POSASR
Post-effective Amendment to an automatic
shelf registration statement on Form S-3ASR
or Form F-3ASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS EX
Post-effective amendment filed solely to add
exhibits to a registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS462B
Post-effective amendment to Securities Act
Rule 462(b) registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS462C
Post-effective amendment to a registration
statement filed under Rule 462(c)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRE 14A
Preliminary proxy statement not related to a
contested matter or merger/acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRE 14C
Preliminary information statement not related
to a contested matter or merger/acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREC14A
Preliminary proxy statement in connection with EDGARLink
contested solicitations
Online
EDGARLink
Online XML
Technical
Specification
PREC14C
Preliminary information statements - contested EDGARLink
solicitations
Online
EDGARLink
Online XML
Technical
Specification
PREM14A
Preliminary proxy statement relating to a
merger, acquisition, or disposition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREM14C
Preliminary information statements relating to
merger or acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREN14A
Preliminary proxy statement filed by nonmanagement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
August 2011
3-19
FilerConstructed
Form Spec.
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
PRER14A
Preliminary revised proxy soliciting materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRER14C
Preliminary revised information statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRRN14A
Revised preliminary proxy statement filed by
non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PX14A6G
Notice of exempt solicitation
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PX14A6N
Notice of exempt solicitation for the purpose of EDGARLink
determining whether to solicit proxies,
Online
consents, or authorizations in opposition to a
proposed roll-up transaction filed pursuant to
Rule 14a6(g) of the Securities Exchange Act of
1934
EDGARLink
Online XML
Technical
Specification
RTLYRPT,
QRTLYRPT/A
Periodic Development Bank filing, submitted
quarterly
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
RW
Registration Withdrawal Request
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
RW WD
Withdrawal of a Registration Withdrawal
Request
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1, S-1/A
General form of registration statement for all
companies including face-amount certificate
companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11, S-11/A
Registration statement for securities to be
issued by real estate companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11MEF
A new registration statement filed under Rule
EDGARLink
462(b) to add securities to a prior related
Online
effective registration statement filed on Form S
11
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-20
FilerConstructed
Form Spec.
August 2011
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
S-1MEF
A new registration statement filed under Rule
EDGARLink
462(b) to add securities to a prior related
Online
effective registration statement filed on Form S
1
EDGARLink
Online XML
Technical
Specification
S-20, S-20/A
Registration statement for standardized
options
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3, S-3/A
Registration statement for specified
transactions by certain issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3ASR
Automatic shelf registration statement of
securities of well-known seasoned issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3D
Automatically effective registration statement
for securities issued pursuant to dividend or
interest reinvestment plans
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3DPOS
Post-effective amendment to a S-3D
registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3MEF
A new registration statement filed under Rule
EDGARLink
462(b) to add securities to a prior related
Online
effective registration statement filed on Form S
3
EDGARLink
Online XML
Technical
Specification
S-4 POS
Post-effective amendment to a S-4EF
registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4, S-4/A
Registration of securities issued in business
combination transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4EF
Auto effective registration statement for
EDGARLink
securities issued in connection with the
Online
formation of a bank or savings and loan holding
company in compliance with General
Instruction G
EDGARLink
Online XML
Technical
Specification
S-4MEF
A new registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form
S-4
EDGARLink
Online XML
Technical
Specification
August 2011
3-21
EDGARLink
Online
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
S-6, S-6/A
Initial registration statement filed on Form S-6
for unit investment trusts
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-8
Initial registration statement for securities to be EDGARLink
offered to employees pursuant to employee
Online
benefit plans
EDGARLink
Online XML
Technical
Specification
S-8 POS
Post-effective amendment to a S-8 registration EDGARLink
statement
Online
EDGARLink
Online XML
Technical
Specification
S-B, S-B/A
Registration statement for securities of foreign
governments and subdivisions thereof under
the Securities Act of 1933 (Schedule B)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-BMEF
A new registration statement filed under Rule
EDGARLink
462(b) to add securities to a prior related
Online
effective registration statement filed on Form SB
EDGARLink
Online XML
Technical
Specification
SC 13D, SC 13D/A Schedule filed to report acquisition of
beneficial ownership of 5% or more of a class
of equity securities
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 13E1, SC
13E1/A
Schedule 13-E1 statement of issuer required
by Rule 13e-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 13E3, SC
13E3/A
Schedule filed to report going private
transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 13G, SC 13G/A Schedule filed to report acquisition of
beneficial ownership of 5% or more of a class
of equity securities by passive investors and
certain institutions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 14D9,
SC 14D9/A
Tender offer solicitation / recommendation
statements filed under Rule 14d-9
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 14F1, SC
14F1/A
Statement regarding change in majority of
directors pursuant to Rule 14f-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-22
August 2011
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
SC 14N, SC 14N/A Information filed by certain nominating
shareholders (pursuant to Section 240 14n-1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 14N-S,
SC 14N-S/A
Solicitation in connection with the formation or
attempted formation of a Rule 14a-11
nominating shareholder group or solicitation in
connection with a Rule 14a-11 nomination
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC TO-C
Written communication relating to an issuer or
third party tender offer
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC TO-I,
SC TO-I/A
Issuer tender offer statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC TO-T,
SC TO-T/A
Third party tender offer statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC13E4F,
SC13E4F/A
Issuer tender offer statement filed pursuant to
Rule 13(e)(4) by foreign issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC14D1F,
SC14D1F/A
Third party tender offer statement filed
pursuant to Rule 14d-1(b) by foreign issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
C14D9C
Written communication by the subject
company relating to a third party tender offer
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC14D9F,
SC14D9F/A
Solicitation/recommendation statement
pursuant to Section 14(d)(4) of the Securities
Exchange Act of 1934 and Rules 14d-1(b) and
14e-2(c) by foreign issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SH-ER,
SH-ER/A
Weekly Form SH Entries Report Filed by
Institutional Investment Managers
EDGARLink
Online
SH-ER
Information Table
XML Technical
Specification
August 2011
3-23
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
SH-NT,
SH-NT/A
Weekly Form SH Notice Report Filed by
Institutional Investment Managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SP 15D2,
SP 15D2/A
Special Financial Report filed under Rule 15d2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SUPPL
Voluntary supplemental material filed pursuant
to Section 11(a) of the Securities Act of 1933
by foreign issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
T-1, T-2
Note - 'Submission types' T-1 and T-2 are not
used as stand-alone submission types on the
EDGAR system. They are filed as EX-25 to
registration statements.
T-3, T-3/A
Initial application for qualification of trust
indentures
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
T-6, T-6/A
Application for determination of eligibility of a
foreign person to act as institutional trustee
filed pursuant to Section 310(a)(1) of the Trust
Indenture Act of 1939
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
TA-1, TA-1/A
Application for registration as a transfer agent
filed pursuant to the Securities Exchange Act
of 1934
EDGARLite
TA-1
Template
TA-1 XML
Technical
Specification
TA-2, TA-2/A
Annual report of transfer agent activities filed
pursuant to the Securities Exchange Act of
1934
EDGARLite
TA-2
Template
TA-2 XML
Technical
Specification
TA-W
Notice of withdrawal from registration as
transfer agent filed pursuant to the Securities
Exchange Act of 1934
EDGARLite
TA-W
Template
TA-W XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-24
August 2011
3.2
Electronic Form Types by Act
This index will allow you to use the filing type to identify the EDGAR submission type and
finally the tool or template you can use to either create or assemble the filing. Each of the tools
and templates are covered in detail in separate sections of this document. The final column
should only be used by filers or software developers who construct filings outside of the SEC
supplied tools. EDGARLite templates can be downloaded from the OnlineForms/XML Website.
Filer-Constructed Technical Specifications are available on the SEC‟s Public Website. Please
refer to these sites to determine if your version of the tool, template, or document is correct.
Note:
Tools, templates, and documents will no longer be marked with a version number
relating to a software release. Some tools may be specific to submission types that
remain the same through several releases, instead of being updated with each new
release. Therefore each tool, template and manual will now be marked with its own
version number, specific to that particular item. You can find the most current versions
on the website from which the tools, templates, and manuals are downloaded. Be sure to
verify that you have the current version before filing.
Issuers are advised that filings with the submission types listed below will receive a "Filing
Date" identical to the EDGAR "Received Date" even if received after 5:30 p.m. Eastern time,
which is different than normal filings. In addition these filings will be disseminated until 10:00
p.m. Eastern time. Normally filings received after 5:30 p.m. Eastern time will receive a filing
date of the next business day and will not be disseminated until the next business day.
The following submission types will receive a filing date identical to the EDGAR "Received
Date" and will be disseminated until 10:00 p.m. Eastern time:
3
5/A
N-2MEF
S-4MEF
3/A
F-1MEF
POS462B
S-BMEF
4
F-3MEF
S-11MEF
4/A
F-4MEF
S-1MEF
5
N-14MEF
S-3MEF
You should send any fee payment made for the above registration statements to the
Commission's lockbox. Additionally, you should submit any fee payment certification that you
are making for the above-listed submission types, pursuant to Rule 111(b), using the
"CORRESP" submission type.
August 2011
3-25
EDGAR Filer Manual (Volume II)
Electronic Form Types by Act
List of Tables
Table 3-1: Securities Act Submission Types Accepted by EDGAR ......................................... 3-27
Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed
Pursuant to Section 14 Submission Types Accepted by EDGAR ............................................. 3-39
Table 3-3: Securities Exchange Act - Registration and Report Submission Types Accepted by
EDGAR ...................................................................................................................................... 3-43
Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR ................................ 3-53
Table 3-5: Investment Company Submission Types Accepted by EDGAR ............................. 3-58
Table 3-6: Development Bank Submission Types Accepted by EDGAR ................................. 3-79
Table 3-7: Correspondence Submission Types.......................................................................... 3-80
EDGAR Filer Manual (Volume II)
3-26
August 2011
Table 3-1: Securities Act Submission Types Accepted by EDGAR
CFR Form/
Schedule/
Rule
D
F-1
F-1MEF
F-3
August 2011
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Official notice of an offering of
securities that is made without
registration under the Securities
Act in reliance on an exemption
provided by Regulation D and
Section 4(6) under the Act
D
Online Forms
N/A
Amendment
D/A
Online Forms
N/A
Registration statement for
securities of certain foreign private
issuers
F-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Pre-effective amendment
F-1/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
A new registration statement filed
under Rule 462(b) to add securities
to a prior related effective
registration statement filed on Form
F-1
F-1MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective amendment to
Securities Act Rule 462(b)
registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Registration statement for specified
transactions by certain foreign
private issuers
F-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Pre-Effective amendment
F-3/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
3-27
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
F-3MEF
F-4
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Automatic shelf registration
statement of securities of wellknown seasoned issuers
F-3ASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective Amendment to an
automatic shelf registration
statement on Form S-3ASR or
Form F-3ASR
POSASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Registration statement for dividend
or interest reinvestment plan
securities of foreign private issuers
F-3D
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-Effective amendment to a
F-3D registration
F-3DPOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
A new registration statement filed
under Rule 462(b) to add securities
to a prior related effective
registration statement filed on Form
F-3
F-3MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective amendment to
Securities Act Rule 462(b)
registration
This text is long and has been trimmed here. Open the source document for the complete record.
This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.