Filer Manual – Volume II

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EDGAR Filing

VERSION 7

May 2008

Notice

Use this EDGAR® Filer Manual when making electronic filings with the United States

Securities and Exchange Commission (SEC or "Commission"). See Rule 301 of Regulation S-T.

The EDGAR Filer Manual consists of three volumes. EDGAR Filer Manual (Volume I) General

Information introduces the requirements for becoming an EDGAR Filer and maintaining

EDGAR company information. EDGAR Filer Manual (Volume II) EDGAR Filing illustrates the

process to submit an online filing. EDGAR Filer Manual (Volume III) N-SAR Supplement is a

guide for preparing electronic submissions of Form N-SAR.

For up-to-date information regarding filing-related topics, consult the following

EDGAR websites:

• Information for EDGAR Filers (http://www.sec.gov/info/edgar.shtml)

• EDGAR Gateway to submit filings (http://www.portal.edgarfiling.sec.gov)

• EDGAR Company Database (http://www.edgarcompany.sec.gov).

EDGAR and EDGARLink are registered trademarks of the Securities and Exchange

Commission. EDGARLite™ is a trademark of the Securities and Exchange Commission. All

other product brand names mentioned in this Filer Manual are trademarks or registered

trademarks of their respective holders.

Note: New EDGAR software releases include modifications to the EDGARLink software and

EDGAR submission templates. Please download, install, and use the new EDGARLink

software and submission templates to ensure that submissions will be processed

successfully.

To protect the privacy of our filing community, filers are asked not to include social security

numbers in filings submitted to the Commission.

EDGAR Filer Manual (Volume II)

February

May 2008

2008

Updates

On December 17, 2007, EDGAR Release 9.8 introduced the following changes:

•

Applications for orders under any section of the Investment Company Act of

1940:

− Release 9.8 added the following application submission types as electronic

submissions: 40-OIP, 40-OIP/A, 40-6B, 40-6B/A, 40-APP, 40-APP/A. These

new electronic submission types were added to EDGARLink Submission

Template #3.

− For background, concerning the electronic submission of applications, see

Release 33-8859 (November 1, 2007)[72 FR 63513], Electronic Submission of

Applications for Orders under the Investment Company Act and Filings Made

Pursuant to Regulation E (proposing release).

− Filers may use these submission types only if and when the Commission might

adopt the amendments set forth in the proposing release.

•

Regulation E filings by Small Business Investment Companies (SBIC’s) and

Business Development Companies (BDC’s):

− Release 9.8 added the following Regulation E filings as electronic submissions: 1E, 1-E/A, 1-E AD, 1-E AD/A, 2-E, 2-E/A. These new submission types were

added to EDGARLink Submission Template #3.

− For background, concerning the electronic submission of Regulation E filings, see

Release 33-8859 (November 1, 2007)[72 FR 63513] (proposing release).

− Filers may use these submission types only if and when the Commission might

adopt the amendments set forth in the proposing release.

•

Smaller Reporting Company regulatory relief and simplification (Release No.

33-8876, 34-56994, 39-2451; File No. S7-15-07)

− Release 9.8 modified submission types S-1, S-1/A, S-1MEF, S-3, S-3/A,

S-3D, S-3DPOS, S-3MEF, S-4, S-4POS, S-4/A, S-4EF, S-4EF/A, S-4MEF, S-8,

S-8POS, S-11, S-11/A, S-11MEF, 10-12B, 10-12B/A, 10-12G, 10-12G/A, POS

AM, POS EX by adding a “Smaller Reporting Company” indicator to the header

of electronic filings.

− As part of Release 9.8, some existing Small Business submission types:

10SB12B, 10SB12B/A, 10SB12G, 10SB12G/A, SB-1, SB-1/A, SB-1MEF, SB-2,

SB-2/A and SB-2MEF will be suspended as of February 4, 2008. Submission

types 10QSB and 10QSB/A will be suspended as of November 3, 2008.

Submission types 10KSB and 10KSB/A will be suspended as of March 16, 2009

If a filer new to the electronic filing process has previously filed with the SEC in paper,

it has been assigned a CIK and must use the Convert Paper Only Filer to Electronic Filer

EDGAR Filer Manual (Volume II)

May 2008

functionality (Volume I, Section 3.3.1) on the EDGAR Filer Management Website to get access

to EDGAR prior to making a filing with the SEC.

If a new electronic filer has not previously filed with the SEC in paper (i.e., it does not have a

CIK), it must apply for EDGAR Access via the EDGAR Filer Management Website (EDGAR

Filer Manual, Volume I, Section 3.2) prior to making a filing with the SEC.

On February 4, 2008, EDGAR Release 9.9 introduced the following changes:

•

Transition from Mellon Bank to U.S. Bank, St. Louis, Missouri as the

depository/financial agent for the SEC.

•

The U.S. Department of Treasury’s Financial Management Service has designated

U.S. Bank of St. Louis, Missouri as the new Financial Agent for General Lockbox

Services for the SEC. U.S. Bank will take over this responsibility from Mellon

Bank on February 4, 2008. All fee payments (wires and checks) must be

submitted to U.S. Bank on and after this date. No payments should be submitted

to Mellon Bank after February 1, 2008. It is not necessary for filers to have an

account at U.S. Bank to submit fee payments.

•

WIRES: The hours of operation at U.S. Bank are 8:30am until 6:00pm eastern

time for wires. U.S. Bank’s ABA number is 081000210.

•

To ensure proper credit and prompt filing acceptance, it is critical to include:

− the SEC’s account number at U.S. Bank (152307768324)

− the payor’s SEC-assigned CIK (Central Index Key) number (also know as the

SEC-assigned registrant or payor account number):

CHECKS: To remit your SEC filing fee payment by check or money order, you must

make them payable to the Securities and Exchange Commission, omitting the name

or title of any official of the Commission. On the front of the check or money order,

you must include the SEC’s account number (152307768324) and CIK number of the

account to which the fee is to be applied.

You must mail checks (certified or cashier’s check) or money orders to the following

U.S. Bank addresses. U.S. Bank does not support walk-in deliveries by individuals.

For USPS remittances, they MUST be sent to the following PO Box address.

Securities & Exchange Commission

P.O. Box 979081

St. Louis, MO 63197-9000

The following address can be used for common carriers such as FedEx,

Airborne, DHL, and UPS.

U.S. Bank

Government Lockbox 979081

1005 Convention Plaza

SL-MO-C2-GL

St. Louis, MO 63101

May 2008

EDGAR Filer Manual (Volume II)

Please refer to the SEC’s “Instructions for Wire Transfer (FEDWIRE) and Check

Payment of SEC Filing Fees” (http://www.sec.gov/info/edgar/fedwire.htm) on our

“Information for EDGAR Filers” webpage additional information.

•

The modification of electronic Transfer Agent Forms (Forms TA-1 and Form TA2) to be used for filing with the SEC (except for cases of Temporary or Continuing

Hardship) in lieu of the equivalent paper forms.

− Form TA-1, Version 3.2.0:

The template was modified to update version control information. This version

also includes all modifications from previous versions to include a change in how

Questions #8, #9, and #10 behave. If Question #8 is answered as "Not

Applicable", then Questions #9 and #10 are not required.

− Form TA-2, Version 3.2.0:

This version contains updates to Questions 5(d)(i), 5(d)(ii), 5(d)(iii), 5(d)(iv),

5(d)(v), and 5(d)(vi) so that the fields accept fractional amounts. This version

also includes all modifications from previous versions to include updates to

Questions 6(a), 6(b) and 6(c) so that the values are not required to total 100.

OnlineForms/XML Website has EDGARLite templates implemented under the

Microsoft® Office InfoPath™ 2003 program – it will be necessary to install

InfoPath™ 2003 with at least Service Pack 1 on your PC to use these templates.

EDGAR Filer Manual (Volume II)

May 2008

Table of Contents

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

QUICK GUIDE TO EDGAR FILING ............................................................................. 2-1

2.1

EDGAR Filing Process ................................................................................................ 2-1

2.1.1

Using EDGARLink Templates .......................................................................................................... 2-2

2.1.2

EDGAR OnlineForms/XML Website................................................................................................ 2-2

2.1.3

After a Submission is Filed................................................................................................................ 2-3

2.2

Filing Checklist............................................................................................................ 2-3

2.3

General Information for Filers ..................................................................................... 2-6

2.3.1

Hours of Operation ............................................................................................................................ 2-6

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

INDEX TO FORMS ........................................................................................................... 3-1

3.1

Alpha/Numeric............................................................................................................. 3-2

3.2

Electronic Form Types by Act................................................................................... 3-18

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 ................................................................................................................................ 4-5

May 2008

EDGAR Filer Manual (Volume II)

4.5

Offsetting Fees ............................................................................................................. 4-5

4.5.1

Offsetting Fees Example.................................................................................................................... 4-5

4.5.2

Example of Fee Calculation for 24F-2NT ......................................................................................... 4-6

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...............................................................................................................................................5-12

5.2.3

Unofficial PDF..................................................................................................................................5-25

5.2.4

Unofficial XBRL ..............................................................................................................................5-27

5.3

Preparing or Referencing Module and Segment Documents..................................... 5-35

5.3.1

Module and Segment Naming ..........................................................................................................5-36

5.3.2

Types of Modules and Segments ......................................................................................................5-37

5.3.3

Maintaining Modules and Segments.................................................................................................5-40

5.4

Document Types in EDGAR ..................................................................................... 5-44

5.4.1

Non-Public and Confidential ............................................................................................................5-44

5.4.2

Exhibits.............................................................................................................................................5-44

5.5

Common Problems..................................................................................................... 5-45

6. PREPARING AND TRANSMITTING EDGARLINK SUBMISSIONS ...................... 6-1

6.1

Introduction.................................................................................................................. 6-1

6.1.1

Using the EDGAR Filing Website..................................................................................................... 6-3

6.1.2

Information on Headers ..................................................................................................................... 6-7

6.2

Installation.................................................................................................................... 6-7

6.2.1

Step 1 - Downloading the EDGARLink Software............................................................................. 6-7

6.2.2

Step 2 - Installing on Your PC..........................................................................................................6-10

6.2.3

Step 3 - Downloading the Submission Templates ............................................................................6-14

6.2.4

Step 4 - Downloading the Fee Rate Table ........................................................................................6-18

EDGAR Filer Manual (Volume II)

May 2008

6.3

Preparing Your EDGARLink Submission................................................................. 6-19

6.3.1

Submission Templates ......................................................................................................................6-19

6.3.2

EDGARLink Submission Preparation Map......................................................................................6-24

6.3.3

The EDGARLink Main Page............................................................................................................6-26

6.3.4

The EDGARLink Documents Page ..................................................................................................6-37

6.3.5

The EDGARLink Notification Page.................................................................................................6-45

6.3.6

The EDGARLink Module/Segment Page.........................................................................................6-46

6.3.7

The EDGARLink Series and Classes (Contracts) Information Page ................................................6-49

6.3.8

The EDGARLink Fee Offsets Page..................................................................................................6-60

6.3.9

The EDGARLink Fee and Offering Information Page .....................................................................6-62

6.3.10

Combining Form Types in a Single Submission..........................................................................6-68

6.3.11

Module and Segment Submissions ..............................................................................................6-71

6.3.12

Correspondence Submissions and Documents.............................................................................6-73

6.3.13

N-SAR Documents ......................................................................................................................6-74

6.3.14

Bulk Filing ...................................................................................................................................6-74

6.4

Validating Your Submission...................................................................................... 6-75

6.4.1

Field Validation ................................................................................................................................6-76

6.4.2

Document Validation........................................................................................................................6-76

6.4.3

Submission Validation......................................................................................................................6-79

6.4.4

Editing Your Submission..................................................................................................................6-80

6.4.5

Submission Errors.............................................................................................................................6-81

6.4.6

Document Errors...............................................................................................................................6-81

6.5

6.5.1

6.6

Saving Your Submission ........................................................................................... 6-81

Signing Submissions Digitally..........................................................................................................6-82

Transmissions to EDGAR.......................................................................................... 6-84

6.6.2

Transmitting Single Submissions .....................................................................................................6-85

6.6.3

Transmitting Modules and Segments................................................................................................6-88

6.6.4

Transmitting Bulk Filings.................................................................................................................6-88

May 2008

iii

EDGAR Filer Manual Volume (II)

6.6.5

6.7

6.7.1

Test Submissions ..............................................................................................................................6-88

EDGAR Filing Website Help .................................................................................... 6-89

EDGARLink Help ............................................................................................................................6-89

6.8

Common Problems..................................................................................................... 6-90

7. PREPARING AND TRANSMITTING EDGARLITE SUBMISSIONS....................... 7-1

7.1

Purpose......................................................................................................................... 7-1

7.2

7.2.1

Minimum InfoPath Requirements...................................................................................................... 7-1

7.2.2

Getting Help with Installation............................................................................................................ 7-2

7.3

Downloading and Installing Templates ....................................................................... 7-2

7.4

Preparing your EDGARLite Submission..................................................................... 7-6

7.4.1

What is Microsoft Infopath.......................................................................................... 7-1

Retrieving a Partially Completed Filing ...........................................................................................7-15

7.5

Saving and Printing Your Filing ................................................................................ 7-15

7.6

Transmitting XML Submissions................................................................................ 7-16

7.6.1

Transmit XML as a Test Submission................................................................................................7-17

7.6.2

Transmit XML as a Live Submission ...............................................................................................7-18

7.6.3

Transmission Status ..........................................................................................................................7-20

PREPARING AND TRANSMITTING ONLINE SUBMISSIONS ............................... 8-1

8.1

Online Filing Preparation............................................................................................. 8-1

8.1.1

8.2

OnlineForms Data Gathering Model ................................................................................................. 8-1

Creating an Online Section 16 Ownership Submission............................................... 8-2

8.2.1

Accessing EDGAR OnlineForms/XML Website .............................................................................. 8-2

8.2.2

Navigating EDGAR........................................................................................................................... 8-5

8.2.3

Select Ownership Submission Form Type......................................................................................... 8-8

8.2.4

Assemble Ownership Submission...................................................................................................... 8-9

8.3

Common Problems..................................................................................................... 8-27

9. FILER-CONSTRUCTED XFDL/XML SUBMISSIONS ............................................... 9-1

9.1

Filer-Constructed XFDL Technical Specifications ..................................................... 9-1

9.2

Filer-Constructed XML Technical Specifications ....................................................... 9-1

10. DETERMINING THE STATUS OF YOUR FILING .................................................. 10-1

10.1 Filing Date of Electronically Transmitted Submissions ............................................ 10-1

EDGAR Filer Manual (Volume II)

May 2008

10.2

Receiving E-Mail Status of Filings from the SEC..................................................... 10-1

10.2.1

How EDGAR Uses the Internet for E-Mail .................................................................................10-1

10.2.2

How Mail Is Addressed to the Internet Address ..........................................................................10-2

10.3

Accessing Submission Information ........................................................................... 10-2

10.4

Return Copy Support ................................................................................................. 10-4

10.4.1

Requesting a Return Copy via EDGARLink ...............................................................................10-4

10.4.2

Requesting a Return Copy via an Ownership Submission...........................................................10-5

10.4.3

Who Can Access Return Copies ..................................................................................................10-5

10.4.4

Retrieve Return Copies ................................................................................................................10-6

10.5

Submission Information............................................................................................. 10-8

10.5.1

Retrieving Submission Notification .............................................................................................10-8

10.5.2

Retrieve Module/Segment Information......................................................................................10-10

10.5.3

Module Information ...................................................................................................................10-11

10.5.4

Segment Information..................................................................................................................10-13

10.6 Getting Help with the Content of Filings or Exemptions/Adjustments................... 10-14

APPENDIX A. MESSAGES REPORTED BY EDGAR ....................................................... A-1

APPENDIX B. FREQUENTLY ASKED QUESTIONS ........................................................B-1

APPENDIX C. EDGAR SUBMISSION TEMPLATES........................................................ C-1

APPENDIX D. PAPER FORMS ............................................................................................. D-1

APPENDIX E. AUTOMATED CONFORMANCE RULES FOR TEMPLATE FIELDS E-1

APPENDIX F. GLOSSARY OF COMMONLY USED TERMS, ACRONYMS AND

ABBREVIATIONS.............................................................................................................F-1

APPENDIX G. FORM 13F SPECIAL ELECTRONIC FILING INSTRUCTIONS ......... G-1

F 2008

May

EDGAR Filer Manual Volume (II)

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 or direct dial transmissions.

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.)

May 2008

EDGAR Filer Manual Volume (II)

Releases

33-8876

Issued 12/19/07

Effective 02/04/08

(73 FR 934)

Smaller Reporting Company Regulatory Relief and

Simplification

33-8859

Issued 11/01/07

Effective N/A

(72 FR 63513)

Rulemaking for EDGAR System; Mandatory Electronic

Submission of Applications for Orders under the Investment

Company Act and Filings Made Pursuant to Regulation E

(proposing release)

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

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

May 2008

vii

EDGAR Filer Manual (Volume II)

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

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

EDGAR Filer Manual (Volume II)

viii

May 2008

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.

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.

May 2008

EDGAR Filer Manual (Volume II)

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.

EDGAR Filer Manual (Volume II)

May 2008

INTRODUCTION TO VOLUME II

1.1

Organization of this Manual

This volume is divided into chapters and appendices. The paragraphs 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. From this point forward, when we reference EDGARLink, we are

referencing the EDGARLink submission assembler for EDGAR.

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 – Preparing and Transmitting EDGARLink Submissions

CHAPTER 7 – Preparing and Transmitting EDGARLite Submissions

CHAPTER 8 –Preparing and Transmitting Online Submissions

CHAPTER 9 – Filer-Constructed XFDL/XML Submissions

CHAPTER 10 – Determining the Status of your Filing

APPENDICES:

Messages Reported by EDGAR

This appendix provides information on acceptance, suspension, and EDGAR error messages,

including all HTML/PDF error messages.

Frequently Asked Questions

Answers to some of the questions asked most frequently by EDGAR filers.

EDGAR Submission Templates

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This appendix provides a list of submission templates and the submission types within each

submission template. It also contains sample submission template information.

Paper Forms

Form SE

Form TH

Form for Submission of Paper Format Exhibits by Electronic Filers

Notification of Reliance on Temporary Hardship Exemption

Automated Conformance Rules for Template Fields

EDGAR recognizes specific values for certain fields in each submission template. This appendix

lists the values you must provide in the specified format.

Glossary of Commonly Used Terms, Acronyms, and Abbreviations

This glossary contains terms, acronyms, and abbreviations used in the Filer Manual.

1.1.1

Conventions Used in the Filer Manual

As you read this volume you should notice attributes assigned to certain types of text:

•

Instructions to press a key on a keyboard or click a button 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

◊ Click on the EDGARInstaller.exe icon

Keystroke combinations appear between less-than and greater-than brackets and

in upper case:

◊ <ALT-TAB>

◊ <CTRL-C>

Internet Hyperlinks appear underlined:

◊ Home

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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

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

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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 Templates

If you are using EDGARLink templates, once you have all of your documents prepared, you can

assemble your submission. Open the template and after you select the submission type, you will

be required to answer a few questions about the filing. This data will be added to your document

content, and is commonly called the header, or supplemental data.

There are a few questions on the main page of EDGARLink templates that require special

attention. The Live/Test radio buttons designate whether your submission will be considered a

live filing. A test filing allows you to make sure that the submission is correct by checking all of

the assembled documents and applying host processing steps like determining the fee and

checking your security codes. For a test submission, fees will not be deducted, the filing will not

be disseminated, and your filing will not count towards your requirement to file with the SEC.

Test filings are routinely removed from the internal system after a short period, generally six

calendar days.

The Return Copy checkbox allows you to indicate whether you want to receive an exact copy of

your filing after processing is complete. Return copies can be retrieved from some of the

EDGAR Websites. Submission contact information may be used by the Filer Support Branches

or the SEC divisions if there is an issue with your filing. Including this information allows us to

get in touch with you quickly. Using the Notification section of the template, you may add

multiple e-mail addresses where you would like a notification message sent. Using other pages

on the templates, you may add secondary documents, provide fee information, and validate your

filing. You must save your filing to your local computer.

After the filing is assembled, you can transmit it to the host system. There are a number of

mechanisms you can use for transmission when using EDGARLink templates. The most

frequently used is the Internet. A few filers send in submissions via modems using direct dial and

PPP. Some large volume filers transmit via a dedicated telecommunications link. For Internet

and PPP transmissions, you must login to the host system to transmit your filing. To do this you

must be a registered EDGAR filer. If you have not yet registered you will find the details on this

process in Volume I of the Filer Manual.

2.1.2

EDGAR OnlineForms/XML Website

The EDGAR OnlineForms/XML Website tool is an Internet based online application. Filers can

create an Ownership form by entering primary document data and the header data in a single

session. You do not have to worry about the differences between the types of data or how it is

translated into the resulting XML document. You must login to the EDGAR OnlineForms/XML

Website and indicate which form you would like to complete. Answer all of the questions. All

filings assembled on this site are considered live, so please be careful as you enter information.

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You will be given a number of chances to review and correct information before you send it to

the host system. Similar to EDGARLink templates, you may include a number of e-mail

addresses for filing notifications. You may also request a return copy which provides you with an

exact copy of the submission after it has been processed. You can save the document locally, you

will not be able to retrieve the document to make corrections. As a final step, you must transmit

the submission in the same Internet session.

2.1.3 After a Submission is Filed

No matter what tool you use to transmit your submission, the EDGAR system will provide you

with an accession number after transmission. The accession number is a unique number that

identifies your submission. The first ten digits are the CIK of the entity that logged in to submit

the filing. The next two digits define the current year. The final digits are assigned sequentially

by CIK starting with one on the first business day of each year. It is important to use this number

when reviewing the status of your filing or consulting with SEC divisions.

After transmitting your submission, you may check on its status, review e-mail notifications, and

examine your return copy via the Internet using the EDGAR Websites. In addition, if requested,

you will receive messages via e-mail. The notification messages, which are identical to those you

can retrieve via the Internet, include both the status of the submission and detailed error

messages. EDGAR will either accept or suspend your filing. Acceptance means that the filing

meets all of the host processing rules and, if live, the filing will be disseminated. Suspended

means that the filing contains serious errors that you must correct. You can correct the errors and

resubmit the filing. A suspended filing will not be disseminated nor will fees be deducted from

your account.

When the EDGAR system has completed the processing of your submission, if it is live and

public, it will be transmitted electronically to a number of third parties. (There are some

individual documents that are considered non-public which will not be immediately

disseminated. They may be subsequently disseminated by the SEC if they meet certain criteria.)

Dissemination can often occur within seconds of your transmission. Private companies may post

your filing on their websites for public use of their subscribers. The filings are also posted on the

SEC’s Public Website.

2.2 Filing Checklist

This section is a quick start guide to the filing process. It is not intended to explain all you need

to know about filing, but should get you started in the right direction. Although the filing process

is different based on the submission type transmitted, the tools used, and the needs of the filer,

some general steps need to be followed for most filings. They are listed in checklist form for you

in Table 2-1: Filing Checklist, and then described in detail in the following sections.

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Table 2-1: Filing Checklist

Step

Activity

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.

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.

Completion

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.

Determine the submission type you need to

file and then find it in the indexes in Chapter

3, INDEX TO FORMS.

If your filing requires a fee, ensure that the

funds are available in your account. See

Chapter 4, FILING FEE INFORMATION.

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.

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Step

Activity

Completion

Download and/or install the tool you will need

to assemble the submission. (Note you do not

need to perform this step for OnlineForms.)

See Section 6.2 Installation for EDGARLink

and Sections 7.2 What is Microsoft InfoPath

2003 and 7.3 Downloading and Installing

Templates for EDGARLite.

Use the tool to create or assemble the

submission. (Note you do not need to perform

this step for OnlineForms.) See Sections 6.3

Preparing Your EDGARLink Submission

through 6.5 Saving Your Submission for

EDGARLink; and Sections 7.4 Preparing your

EDGARLite Submission through 7.5 Saving

Your Filing, for EDGARLite.

REMEMBER TO ALWAYS VALIDATE

YOUR SUBMISSION!

OnlineForms

6&7

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Access the EDGAR OnlineForms/XML

Website and enter your form data. See

Chapter 7 for details. Transmit after data entry

and verification. Skip to step 11.

Transmit a test submission to the EDGAR

system. See Section 6.6.5 Test Submissions

for EDGARLink and Section 7.6 Transmitting

XML Submissions.

Review your acceptance/suspense message or

return copy to determine if changes are

required. See Section 10.5, Submission

Information for instructions.

Transmit a live submission to the EDGAR

system. Make sure that a live file is created by

having the live button clicked. See Section

6.6, Transmissions to EDGAR for

EDGARLink and Section 7.6 Transmitting

XML Submissions.

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Step

Activity

Review your acceptance/suspense message. If

necessary, correct errors and file again. See

Section 10.5, Submission Information for

instructions on reviewing your acceptance /

suspense message.

2.3

General Information for Filers

2.3.1

Hours of Operation

Completion

EDGAR accepts filings and changes to company information each business day, Monday

through Friday, from 6:00 a.m. to 10:00 p.m., Eastern Time. Transmissions started but not

completed by 10:00 p.m. Eastern Time may be canceled, and you may have to re-submit on the

next business day.

2.3.2

Introduction to Web Browsers

The EDGAR system uses web-based technology to make submitting filings easier and faster.

Web browsers read code called Hypertext Mark-up Language (HTML). Many people have

become familiar with HTML since they have used the Internet. We use a browser as an integral

part of EDGAR, providing our interface to the EDGAR Filing Website.

2.3.3

Browser Differences

There are two industry standard browsers currently in use today: Netscape Navigator and

Microsoft Internet Explorer (IE). We recommend that you use Netscape version 5.0 or later, or

Internet Explorer version 5.0 or later. The EDGAR Filing Website does not support Netscape

version 6.0. Both browsers comply with Secure Socket Layer (SSL) communications that you

will use to reach the EDGAR Filing Website, and are easy to obtain. Which browser you use is a

personal preference. This section covers some functions that are innate to browsers, how your

browser should be set up, and the differences between Netscape and IE. You should be aware

that there might be subtle differences if you are using IE or other versions of Netscape.

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Netscape Menu Bar

Internet Explorer Menu Bar

Figure 2-1: Browser Menu Bars

Both browsers have very similar navigation functions: [Back], [Forward], [Stop], and [Reload]

buttons, Current Address Location fields, as well as buttons for performing other functions such

as printing and saving. The largest difference between the two browsers is button appearances

and where to update the preference settings. For detailed information on your browser, see your

browser’s user manual or help function.

The browser window works similarly to all windows, in that it can be maximized, minimized,

and sized. The default menu bar contains buttons that help you navigate the Internet; however,

these buttons do not necessarily help you navigate EDGAR. For the purposes of logging into

EDGAR, downloading files, submitting filings and company queries, or updating company

information, these buttons do not apply. Some of the functions you can use are Bookmark, to

mark the EDGAR Login page for easy accessibility; Back, to correct, add, or remove criteria

from a query; and Security, to turn on or off your security functions.

2.3.4 Accessing EDGAR

To access EDGAR, you must have EDGAR access codes. New filers and filers who want to file

in another capacity (e.g., filing agent or training agent) must use Form ID to apply for EDGAR

access codes. The Form ID must be filed electronically through the EDGAR Filer Management

Website and an accompanying manually signed and notarized authentication document must be

faxed to the Commission. If we do not receive your fax, we cannot accept your application.

Details of this process are covered in other sections of this manual. Once you have obtained your

access codes, you will be ready to login to EDGAR, download submission templates, transmit

submissions, run company queries, update your company information, or change your password

or CCC (CIK Confirmation Code).

2.3.5 Getting Help with EDGAR

For Procedural and Technical questions, contact Filer Support

You can reach our Filer Support Branches in the Divisions at (202) 551-8900. These offices

respond to general EDGAR questions like how to become a filer, the form ID process, how to

get to the Websites, how to update filer information, filing of forms, and header tags. Filer

Support is available each business day from 7:00 a.m. to 7:00 p.m. Eastern Time.

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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 EDGAR and Information Analysis in the Division of Corporation Finance at (202)

551-3600.

Division of Investment Management:

For help with Form 13-F, call the IM Chief Counsel inquiry line: (202) 551-6865

For help with Form N-SAR or Form 24F-2, call the N-SAR/24F-2 inquiry line: (202)

551-6703.

For help with investment company filings (except Forms 13-F, N-SAR and 24F-2), call

the IM EDGAR inquiry line: (202) 551-6989.

•

2.4

For questions concerning post-acceptance corrections and withdrawals, first

please read our notice, “IM EDGAR Post-Acceptance Corrections” on the

Information for EDGAR Filers web page (http://www.sec.gov/info/edgar.shtml).

For questions concerning series and classes (contracts), first read our notice,

“Series and Class (Contract) Notice and FAQ’s,” on the Information for EDGAR

Filers web page (http://www.sec.gov/info/edgar.shtml).

EDGAR Gateway and Websites

The SEC maintains a number of websites and URLs to support the filing process. As we have

developed more sites and URLs, it has become more complicated for filers to find the correct

location for any single activity. To alleviate this problem, we developed the EDGAR Gateway to

act as an interface between all EDGAR websites and URLs. By choosing the link that describes

what you want to do, you can connect to the correct resource to accomplish your task. You can

reach the EDGAR Gateway by using the following URL:

http://www.portal.edgarfiling.sec.gov

You can use links on this URL to access the websites or URLs. If you only remember one

EDGAR website, this is the one to remember. The other EDGAR websites and/or URLs as well

as their uses are as follows:

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URL

Name

https://www.edgarfiling.sec.gov

EDGAR Filing Website

Transmit EDGARLink Templates

Transmit XFDL Filer-Constructed Forms

Updates of Entity Information

Filing Status and E-mail Notifications

Return Copy Retrieval

Download EDGARLink Application

Download EDGARLink templates and fee rate table

https://www.onlineforms.edgarfiling.sec.gov

EDGAR OnlineForms/XML Website

Prepare and transmit Ownership filings

Transmit XML Filer-Constructed Submissions

Updates of Entity Information

Filing Status and E-mail Notifications

Return Copy Retrieval

Download EDGARLite templates

https://www.filermanagement.edgarfiling.sec.gov/

EDGAR Filer Management Website

Apply for EDGAR Access (New)

Generate Access Codes (New/Replacement)

Update Passphrase

Convert Paper Only Filer to Electronic Filer

EDGAR Access for New Serial Companies

Download the Filer Manual

http://www.edgarcompany.sec.gov

EDGAR Company Database

Public Access to company information

SEC’s Public Website

http://www.sec.gov

Access to filings

Information on Existing Rules

Information on Proposed Rules

Download the Filer Manual

Frequently Asked Questions

Download Filer-Constructed Technical

Specifications

Please note that there may be more than one URL or website to help you with a single task. For

example, there are two URLs where you can change entity data and download the Filer Manual.

Please be very careful in linking to the websites. Some are preceded by https: and you will not be

allowed access to a secure site without this designator. You should use the Favorites feature built

into Internet Explorer to store the URLs for the sites you use frequently.

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INDEX TO FORMS

As a filer, you will first need to determine whether you must meet your filing obligation via

EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for

Electronic Filings, outline which filings are mandated as electronic. This means that they must be

filed on EDGAR unless there is a case for Temporary or Permanent Hardship. (The rules for

each form and hardship exemptions may differ, so please see the regulation for specific

information.) Once you determine the form you need to file is electronic, then you need to

identify the submission type to use. For each submission type, there are specific tools that you

can use.

As the EDGAR system has evolved using new technologies, tools have been added, changed,

and sometimes updated. There is no longer a single tool for preparing an EDGAR submission.

Your guide to the tools is this index. The first index allows you to lookup EDGAR electronic

submission types easily if all you know is the submission form type. Included in the last two

columns is detailed information about the tools that are used to create and/or assemble the filing.

The second index is easiest to use if you are more comfortable looking up your submission type

by Act.

Before using the indexes, it is important to understand the difference between the Code of

Federal Regulations (CFR) Form/Schedule/Rule column reference and the EDGAR Submission

Type column. The index entries under the CFR Form/Schedule/Rule column refer to the titles of

the actual Form, Schedule or Rule named in the CFR. The Submission Type refers to Form

variations filers use on the electronic filing system to fulfill their filing obligation. For example,

the paper Form 15 is implemented on EDGAR as a number of different submission types

including: 15-12B, 15-12G, and 15-15D. The last three digits represent the sections of the 34 Act

under which the filer is registered.

Using either Index, find the submission type, check that the description of the form matches your

understanding of the purpose of the form, and identify the tool or template that should be used to

create the form. The options in this column are EDGARLink and the corresponding templates,

EDGARLite and the corresponding templates and OnlineForms. There is a section in this manual

describing in detail each of these tools. Chapter 6 PREPARING AND TRANSMITTING

EDGARLINK SUBMISSIONS describes EDGARLink Chapter 7 PREPARING AND

TRANSMITTING EDGARLITE SUBMISSIONS describes EDGARLite. Chapter 8,

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.

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Alpha/Numeric

Submission

Type

1-E, 1-E/A

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

Notification under Regulation E by small

business investment companies and business

development companies.

EDGARLink

Template 3

XFDL

Technical

Specification

EDGARLink

Template 3

XFDL

Technical

Specification

EDGARLink

Template 3

XFDL

Technical

Specification

(not for use unless requirement adopted)

1-E AD, 1-E AD/A

Sales material filed pursuant to Rule 607 under

Regulation E.

(not for use unless requirement adopted)

2-E, 2-E/A

Report of sales of securities pursuant to Rule

609 under Regulation E.

(not for use unless requirement adopted)

10-12B, 10-12B/A

Initial general form for registration of a class of

securities pursuant to section 12(b)

EDGARLink

Template 3

XFDL

Technical

Specification

10-12G, 10-12G/A

Initial general form for registration of a class of

securities pursuant to section 12(g)

EDGARLink

Template 3

XFDL

Technical

Specification

10-D, 10-D/A

Periodic distribution reports by Asset-Backed

issuers pursuant to Rule 13a-17 or 15d-17

EDGARLink

Template 3

XFDL

Technical

Specification

10-K, 10-K/A

Annual report pursuant to section 13 and 15(d)

EDGARLink

Template 3

XFDL

Technical

Specification

10KSB, 10KSB/A

Optional form for annual and transition reports

of small business issuers under section 13 or

15(d)

EDGARLink

Template 3

XFDL

Technical

Specification

Will no longer be accepted as of March 16,

2009

10-KT, 10-KT/A

Transition report pursuant to Rule 13a-10 or

15d-10

EDGARLink

Template 3

XFDL

Technical

Specification

10-Q, 10-Q/A

Quarterly report pursuant to sections 13 or

15(d)

EDGARLink

Template 3

XFDL

Technical

Specification

10QSB, 10QSB/A

Optional form for quarterly and transition

reports of small business issuers under section

13 or 15(d)

EDGARLink

Template 3

XFDL

Technical

Specification

Will no longer be accepted as of November 3,

2008

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Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

10-QT, 10-QT/A

Transition report pursuant to Rule 13a-10 or

15d-10

EDGARLink

Template 3

XFDL

Technical

Specification

10SB12B,

10SB12B/A

Form for initial registration of a class of

securities for small business issuers pursuant

to section 12(b)

EDGARLink

Template 3

XFDL

Technical

Specification

EDGARLink

Template 3

XFDL

Technical

Specification

Will no longer be February 4, 2008

10SB12G,

10SB12G/A

Form for initial registration of a class of

securities for small business issuers pursuant

to section 12(g)

Will no longer be accepted as of February 4,

2008

11-K, 11-K/A

Annual report of employee stock purchase,

savings and similar plans

EDGARLink

Template 3

XFDL

Technical

Specification

11-KT, 11-KT/A

Transition report pursuant to rule 13a-10 or

15d-10

EDGARLink

Template 3

XFDL

Technical

Specification

13F-HR, 13FHR/A

Initial Quarterly Form 13F Holdings report filed

by institutional managers

EDGARLink

Template 3

XFDL

Technical

Specification

13F-NT, 13FNT/A

Initial Quarterly Form 13F Notice Report filed

by institutional managers

EDGARLink

Template 3

XFDL

Technical

Specification

144, 144/A

Filing for proposed sale of securities under

Rule 144

EDGARLink

Template 2

XFDL

Technical

Specification

15-12B, 15-12B/A

Notice of termination of registration of a class

of securities under Section 12(b)

EDGARLink

Template 3

XFDL

Technical

Specification

15-12G, 15-12G/A

Notice of termination of registration of a class

of securities under Section 12(g)

EDGARLink

Template 3

XFDL

Technical

Specification

15-15D, 15-15D/A

Notice of suspension of duty to file reports

pursuant to Section 13 and 15(d) of the Act

EDGARLink

Template 3

XFDL

Technical

Specification

15F-12B, 15F12B/A

Notice of termination of a foreign private

issuer’s registration of a class of securities

under Section 12(b)

EDGARLink

Template 3

XFDL

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

Template 3

XFDL

Technical

Specification

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Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

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

Template 3

XFDL

Technical

Specification

18-12B, 18-12B/A

Form for initial registration of securities of

foreign governments or political subdivisions

pursuant to section 12(b)

EDGARLink

Template 3

XFDL

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

Template 3

XFDL

Technical

Specification

18-K, 18-K/A

Annual report for foreign governments and

political subdivisions

EDGARLink

Template 3

XFDL

Technical

Specification

20-F, 20-F/A

Annual and transition report of foreign private

issuers pursuant to sections 13 or 15(d)

EDGARLink

Template 3

XFDL

Technical

Specification

20FR12B,

20FR12B/A

Form for initial registration of a class of

securities of foreign private issuers pursuant to

section 12(b)

EDGARLink

Template 3

XFDL

Technical

Specification

20FR12G,

20FR12G/A

Form for initial registration of a class of

securities of foreign private issuers pursuant to

section 12(g)

EDGARLink

Template 3

XFDL

Technical

Specification

24F-2NT,

24F-2NT /A

Rule 24F-2 notice filed on Form 24F-2

EDGARLink

Template 1

XFDL

Technical

Specification

25, 25/A

Notification filed by issuer to voluntarily

withdraw a class of securities from listing and

registration on a national securities exchange

EDGARLink

Template 3

XFDL

Technical

Specification

25-NSE, 25NSE/A

Notification filed by national security exchange

to report the removal from listing and

registration of matured, redeemed or retired

securities

Distributed

to National

Securities

Exchanges

only

Distributed to

National

Securities

Exchanges

only

3, 3/A

Initial statement of beneficial ownership of

securities

OnlineForms

Ownership

XML Technical

Specification

305B2, 305B2/A

Application for designation of a new trustee

under the Trust Indenture Act

EDGARLink

Template 3

XFDL

Technical

Specification

4, 4/A

Statement of changes in beneficial ownership

of securities

OnlineForms

Ownership

XML Technical

Specification

40-6B, 40-6B/A

Application under the Investment Company Act

by an employees’ securities company

EDGARLink

Template 3

XFDL

Technical

EDGAR Filer Manual (Volume II)

3-4

May 2008

Submission

Type

Description

Tool/

Template

Number

(not for use unless requirement adopted)

FilerConstructed

Form Spec.

Specification

40-17F1,

40-17F1/A

Initial certificate of accounting of securities and

similar investments in the custody of

management investment companies filed

pursuant to Rule 17f-1 of the Investment

Company Act of 1940 filed on Form N-17F-1

EDGARLink

Template 2

XFDL

Technical

Specification

40-17F2,

40-17F2/A

Initial certificate of accounting of securities and

similar investments in the custody of

management investment companies filed

pursuant to Rule 17f-2 of the Investment

Company Act of 1940 filed on Form N-17F-2

EDGARLink

Template 2

XFDL

Technical

Specification

40-17G, 40-17G/A

Fidelity bond filed pursuant to Rule 17g1(g)(1)

of the Investment Company Act of 1940

EDGARLink

Template 2

XFDL

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

Template 2

XFDL

Technical

Specification

40-24B2,

40-24B2/A

Filing of sales literature pursuant to Rule 24b2

under the Investment Company Act of 1940

EDGARLink

Template 2

XFDL

Technical

Specification

40-33, 40-33/A

Copies of all stockholder derivative actions

filed with a court against an investment

company or an affiliate thereof pursuant to

Section 33 of the Investment Company Act of

1940

EDGARLink

Template 2

XFDL

Technical

Specification

40-33, 40-33/A

Copies of all stockholder derivative actions

filed with a court against an investment

company or an affiliate thereof pursuant to

Section 33 of the Investment Company Act of

1940

EDGARLink

Template 2

XFDL

Technical

Specification

40-8B25

Document or report

EDGARLink

Template 2

XFDL

Technical

Specification

40-8F-2, 40-8F2/A

Initial application for deregistration pursuant to

Investment Company Act Rule 0-2

EDGARLink

Template 2

XFDL

Technical

Specification

40-APP, 40APP/A

Applications under the Investment Company

Act other than those reviewed by Office of

Insurance Products

EDGARLink

Template 3

XFDL

Technical

Specification

EDGARLink

Template 3

XFDL

Technical

Specification

(not for use unless requirement adopted)

40-F, 40-F/A

April2008

2008

May

Annual reports filed by certain Canadian

issuers pursuant to Section 15(d) and Rule

15d-4

3-5

EDGAR Filer Manual (Volume II)

Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

40FR12B,

40FR12B/A

Registration of a class of securities of certain

Canadian issuers pursuant to Section 12(b) of

the 1934 Act

EDGARLink

Template 3

XFDL

Technical

Specification

40FR12G,

40FR12G/A

Registration of a class of securities of certain

Canadian issuers pursuant to Section 12(g) of

the 1934 Act

EDGARLink

Template 3

XFDL

Technical

Specification

40-OIP, 40-OIP/A

Applications under the Investment Company

Act reviewed by Office of Insurance Products

EDGARLink

Template 3

XFDL

Technical

Specification

(not for use unless requirement adopted)

424A

Prospectus filed pursuant to Rule 424(a)

EDGARLink

Template 3

XFDL

Technical

Specification

424B1

Prospectus filed pursuant to Rule 424(b)(1)

EDGARLink

Template 1

XFDL

Technical

Specification

424B2

Prospectus filed pursuant to Rule 424(b)(2)

EDGARLink

Template 1

XFDL

Technical

Specification

424B3

Prospectus filed pursuant to Rule 424(b)(3)

EDGARLink

Template 1

XFDL

Technical

Specification

424B4

Prospectus filed pursuant to Rule 424(b)(4)

EDGARLink

Template 1

XFDL

Technical

Specification

424B5

Prospectus filed pursuant to Rule 424(b)(5)

EDGARLink

Template 1

XFDL

Technical

Specification

424B7

Prospectus filed pursuant to Rule 424(b)(7)

EDGARLink

Template 1

XFDL

Technical

Specification

424B8

Prospectus filed pursuant to Rule 424(b)(8)

EDGARLink

Template 1

XFDL

Technical

Specification

425

Filing under Securities Act Rule 425 of certain

prospectuses and communications in

connection with business combination

transactions

EDGARLink

Template 2

XFDL

Technical

Specification

485APOS

Post-effective amendment filed pursuant to

Securities Act Rule 485(a) (this filing cannot be

submitted as a 1940 Act only filing)

EDGARLink

Template 3

XFDL

Technical

Specification

485BPOS

Post-effective amendment filed pursuant to

Securities Act Rule 485(b) (this filing cannot be

submitted as a 1940 Act only filing)

EDGARLink

Template 3

XFDL

Technical

Specification

EDGAR Filer Manual (Volume II)

3-6

February

May2008

2008

Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

485BXT

Post-effective amendment filed pursuant to

Securities Act Rule 485(b)(1)(iii) to designate a

new effective date for a post-effective

amendment previously filed pursuant to

Securities Act Rule 485(a) (this filing cannot be

submitted as a 1940 Act only filing)

EDGARLink

Template 3

XFDL

Technical

Specification

486APOS

Post-effective amendment to filing filed

pursuant to Securities Act Rule 486(a)

EDGARLink

Template 3

XFDL

Technical

Specification

486BPOS

Post-effective amendment to filing filed

pursuant to Securities Act Rule 486(b)

EDGARLink

Template 3

XFDL

Technical

Specification

487

Pre-effective pricing amendment filed pursuant

to Securities Act Rule 487

EDGARLink

Template 1

XFDL

Technical

Specification

497

Definitive materials filed under paragraph (a),

(b), (c), (d), (e) or (f) of Securities Act Rule 497

EDGARLink

Template 3

XFDL

Technical

Specification

497AD

Filing by certain investment companies of

Securities Act Rule 482 advertising in

accordance with Securities Act Rule 497 and

the Note to Rule 482(c)

EDGARLink

Template 3

XFDL

Technical

Specification

497H2

Filings made pursuant to Rule 497(h)(2)

EDGARLink

Template 3

XFDL

Technical

Specification

497J

Certification of no change in definitive materials

under paragraph (j) of Securities Act Rule 497

EDGARLink

Template 3

XFDL

Technical

Specification

497K1

Profiles for certain open-end management

investment companies filed pursuant to

Securities Act Rule 497(k)(1)(i)

EDGARLink

Template 3

XFDL

Technical

Specification

497K2

Profiles for certain open-end management

investment companies filed pursuant to

Securities Act Rule 497(k)(1)(ii)

EDGARLink

Template 3

XFDL

Technical

Specification

497K3A

Profiles for certain open-end management

investment companies filed pursuant to

Securities Act Rule 497(k)(1)(iii)(A)

EDGARLink

Template 3

XFDL

Technical

Specification

497K3B

Profiles for certain open-end management

investment companies filed pursuant to

Securities Act Rule 497(k)(1)(iii)(B)

EDGARLink

Template 3

XFDL

Technical

Specification

5, 5/A

Annual statement of changes in beneficial

ownership of securities

OnlineForms

Ownership

XML Technical

Specification

February

May 20082008

3-7

EDGAR Filer Manual (Volume II)

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

Template 3

XFDL

Technical

Specification

8-A12B, 8-A12B/A

Form for the registration / listing of a class of

securities on a national securities exchange

pursuant to section 12(b)

EDGARLink

Template 3

XFDL

Technical

Specification

8-A12G, 8A12G/A

Form for registration of a class of securities

pursuant to section 12(g)

EDGARLink

Template 3

XFDL

Technical

Specification

8-K, 8-K/A

Current report filing

EDGARLink

Template 3

XFDL

Technical

Specification

8-K12B, 8-K12B/A

Notification that a class of securities of

successor issuer is deemed to be registered

pursuant to section 12(b)

EDGARLink

Template 3

XFDL

Technical

Specification

8-K12G3, 8K12G3/A

Notification that a class of securities of

successor issuer is deemed to be registered

pursuant to section 12(g)

EDGARLink

Template 3

XFDL

Technical

Specification

8-K15D5, 8K15D5/A

Notification of assumption of duty to report by

successor issue under section 15(d)

EDGARLink

Template 3

XFDL

Technical

Specification

ANNLRPT,

ANNLRPT/A

Periodic Development Bank filing, submitted

annually

EDGARLink

Template 2

XFDL

Technical

Specification

ARS, ARS/A

Annual report to security holders

EDGARLink

Template 3

XFDL

Technical

Specification

Withdrawal of amendment to a registration

statement filed under the Securities Act

EDGARLink

Template 3

XFDL

Technical

Specification

AW WD

Withdrawal of a request for withdrawal of an

amendment to a registration statement

EDGARLink

Template 1

XFDL

Technical

Specification

CB, CB/A

Notification form filed in connection with certain

tender offers, business combinations and rights

offerings, in which the subject company is a

foreign private issuer of which less than 10% of

its securities are held by U.S. persons

EDGARLink

Template 2

XFDL

Technical

Specification

CORRESP

A correspondence can be sent as a document

with another submission type or can be sent as

a separate submission.

EDGARLink

Template 4

XFDL

Technical

Specification

DEF 14A

Definitive proxy statements

EDGARLink

Template 2

XFDL

Technical

Specification

EDGAR Filer Manual (Volume II)

3-8

February

May 2008

2008

Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

DEF 14C

Definitive information statements

EDGARLink

Template 2

XFDL

Technical

Specification

DEFA14C

Definitive additional information statement

materials including Rule 14(a)(12) material

EDGARLink

Template 2

XFDL

Technical

Specification

DEFC14A

Definitive proxy statement in connection with

contested solicitations

EDGARLink

Template 2

XFDL

Technical

Specification

DEFC14C

Definitive information statement - contested

solicitations

EDGARLink

Template 2

XFDL

Technical

Specification

DEFM14A

Definitive proxy statement relating to merger or

acquisition

EDGARLink

Template 2

XFDL

Technical

Specification

DEFM14C

Definitive information statement relating to

merger or acquisition

EDGARLink

Template 2

XFDL

Technical

Specification

DEFN14A

Definitive proxy statement filed by non

management

EDGARLink

Template 2

XFDL

Technical

Specification

DEFR14A

Definitive revised proxy soliciting materials

EDGARLink

Template 2

XFDL

Technical

Specification

DEFR14C

Definitive revised information statement

materials

EDGARLink

Template 2

XFDL

Technical

Specification

DEL AM

Separately filed delaying amendment under

Securities Act Rule 473 to delay effectiveness

of a 1933 Act registration statement

EDGARLink

Template 3

XFDL

Technical

Specification

DFAN14A

Definitive additional proxy soliciting materials

filed by non-management including Rule

14(a)(12) material

EDGARLink

Template 2

XFDL

Technical

Specification

DFRN14A

Revised definitive proxy statement filed by nonmanagement

EDGARLink

Template 2

XFDL

Technical

Specification

DSTRBRPT,

DSTRBRPT/A

Distribution of primary obligations Development

Bank report

EDGARLink

Template 2

XFDL

Technical

Specification

F-1, F-1/A

Registration statement for securities of certain

foreign private issuers

EDGARLink

Template 1

XFDL

Technical

Specification

February

May

20082008

3-9

EDGAR Filer Manual (Volume II)

Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

F-10, F-10/A

Registration statement for securities of certain

Canadian issuers under the Securities Act of

1933

EDGARLink

Template 1

XFDL

Technical

Specification

F-10EF

Auto effective registration statement for

securities of certain Canadian issuers under

the Securities Act of 1933

EDGARLink

Template 1

XFDL

Technical

Specification

F-10POS

Post-effective amendment to a F-10EF

registration

EDGARLink

Template 1

XFDL

Technical

Specification

F-1MEF

A new registration statement filed under Rule

462(b) to add securities to a prior related

effective registration statement filed on Form F1

EDGARLink

Template 1

XFDL

Technical

Specification

F-3, F-3/A

Registration statement for specified

transactions by certain foreign private issuers

EDGARLink

Template 1

XFDL

Technical

Specification

F-3ASR

Automatic shelf registration statement of

securities of well-known seasoned issuers

EDGARLink

Template 1

XFDL

Technical

Specification

F-3D

Registration statement for dividend or interest

reinvestment plan securities of foreign private

issuers

EDGARLink

Template 1

XFDL

Technical

Specification

F-3DPOS

Post-Effective amendment to a F-3D

registration

EDGARLink

Template 1

XFDL

Technical

Specification

F-3MEF

A new registration statement filed under Rule

462(b) to add securities to a prior related

effective registration statement filed on Form F

EDGARLink

Template 1

XFDL

Technical

Specification

F-4 POS

Post-effective amendment to a F-4EF

registration

EDGARLink

Template 1

XFDL

Technical

Specification

F-4, F-4/A

Registration statement for securities issued by

foreign private issuers in certain business

combination transactions

EDGARLink

Template 1

XFDL

Technical

Specification

F-4EF

Auto effective registration statement for

securities by certain foreign private issuers in

connection with certain business combination

transactions

EDGARLink

Template 1

XFDL

Technical

Specification

F-4MEF

A new registration statement filed under Rule

462(b) to add securities to a prior related

effective registration statement filed on Form F

EDGARLink

Template 1

XFDL

Technical

Specification

EDGAR Filer Manual (Volume II)

3-10

February 2008

May 2008

Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

F-6 POS

Post-effective amendment to a F-6EF

registration

EDGARLink

Template 1

XFDL

Technical

Specification

F-6, F-6/A

Registration statement for American

Depositary Receipts representing securities of

certain foreign private issuers

EDGARLink

Template 1

XFDL

Technical

Specification

F-6EF

Auto effective registration statement for

American Depositary Receipts representing

securities of certain foreign private issuers

EDGARLink

Template 1

XFDL

Technical

Specification

F-7 POS

Post-effective amendment to a F-7 registration

EDGARLink

Template 1

XFDL

Technical

Specification

F-7, F-7/A

Registration statement for securities of certain

Canadian issuers offered for cash upon the

exercise of rights granted to existing security

holders under the Securities Act of 1933

EDGARLink

Template 1

XFDL

Technical

Specification

F-8 POS

Post-effective amendment to a F-8 registration

EDGARLink

Template 1

XFDL

Technical

Specification

F-8, F-8/A

Registration statement for securities of certain

Canadian issuers to be issued in exchange

offers or a business combination under the

Securities Act of 1933

EDGARLink

Template 1

XFDL

Technical

Specification

F-80, F-80/A

Registration of securities of certain Canadian

issuers to be issued in exchange offers or a

business combination under the Securities Act

of 1933

EDGARLink

Template 1

XFDL

Technical

Specification

F-80POS

Post-effective amendment to a F-80

registration

EDGARLink

Template 1

XFDL

Technical

Specification

F-9 POS

Post-effective amendment to a F-9EF

registration

EDGARLink

Template 1

XFDL

Technical

Specification

F-9, F-9/A

Registration of securities of certain investment

grade debt or investment grade preferred

securities of certain Canadian issuers under

the Securities Act of 1933

EDGARLink

Template 1

XFDL

Technical

Specification

F-9EF

Auto effective registration of securities of

certain investment grade debt or investment

grade preferred securities of certain Canadian

issuers under the Securities Act of 1933

EDGARLink

Template 1

XFDL

Technical

Specification

F-N, F-N/A

Notification of the appointment of an agent for

service by certain foreign institutions

EDGARLink

Template 2

XFDL

Technical

Specification

February

May

20082008

3-11

EDGAR Filer Manual (Volume II)

Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

FWP

Filing under Securities Act Rules 163/433 of

free writing prospectuses

EDGARLink

Template 2

XFDL

Technical

Specification

F-X, F-X/A

For appointment of agent for service of process

by issuers registering securities

EDGARLink

Template 2

XFDL

Technical

Specification

N-1, N-1/A

Initial registration statement filed on Form N-1

for open-end management investment

companies.

EDGARLink

Template 1

XFDL

Technical

Specification

N-14 8C, N-14

8C/A

Initial registration statement filed on Form N14

by closed-end investment company (business

combinations)

EDGARLink

Template 1

XFDL

Technical

Specification

N-14, N-14/A

Initial registration statement filed on Form N14

for open-end investment company, including

those filed with automatic effectiveness under

Rule 488 (business combinations)

EDGARLink

Template 1

XFDL

Technical

Specification

N-14MEF

A new registration statement filed on Form N14

by closed end investment companies filed

under Securities Act Rule 462(b) of up to an

additional 20% of securities for an offering that

was registered on Form N-14

EDGARLink

Template 1

XFDL

Technical

Specification

N-18F1, N-18F1/A

Initial notification of election pursuant to Rule

18f-1 filed on Form N-18F-1

EDGARLink

Template 2

XFDL

Technical

Specification

N-1A, N-1A/A

Initial registration statement filed on Form N1A

for open-end management investment

companies

EDGARLink

Template 1

XFDL

Technical

Specification

N-2, N-2/A

Initial filing of a registration statement on Form

N-2 for closed-end investment companies

EDGARLink

Template 1

XFDL

Technical

Specification

N-23C-2,

N-23C-2/A

Notice by closed-end investment companies of

intention to call or redeem their own securities

under Investment Company Act Rule 23c-2

EDGARLink

Template 2

XFDL

Technical

Specification

N-23C3A,

N23C3A/A

Notification of periodic repurchase offer Filed

pursuant to Rule 23c-3(b) only

EDGARLink

Template 2

XFDL

Technical

Specification

N-23C3B,

N23C3B/A

Filing pursuant to Rule 23c-3(c) only on Form

N-23C-3

EDGARLink

Template 2

XFDL

Technical

Specification

N-23C3C,

N23C3C/A

Filing pursuant to Rule 23c-3(b) and (c) on

Form N-23C-3

EDGARLink

Template 2

XFDL

Technical

Specification

EDGAR Filer Manual (Volume II)

3-12

February

May 2008

2008

Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

N-27D-1,

N-27D-1/A

Accounting for segregated trust accounts on

Form N-27D-1

EDGARLink

Template 2

XFDL

Technical

Specification

N-2MEF

A new registration statement on Form N-2 filed

under Securities Act Rule 462(b) by closed-end

investment companies of up to an additional

20% of securities for an offering that was

registered on Form N-2

EDGARLink

Template 1

XFDL

Technical

Specification

N-3, N-3/A

Initial registration statement on Form N-3 for

separate accounts (management investment

companies)

EDGARLink

Template 1

XFDL

Technical

Specification

N-30B-2

Periodic and interim reports mailed to

investment company shareholders (other than

annual and semi-annual reports mailed to

shareholders pursuant to Rule 30e-1)

EDGARLink

Template 3

XFDL

Technical

Specification

N-30D, N-30D/A

Initial annual and semi-annual reports mailed

to investment company shareholders pursuant

to Rule 30e-1 (other than those required to be

submitted as part of Form NCSR)

EDGARLink

Template 3

XFDL

Technical

Specification

N-4, N-4/A

Initial registration statement on Form N-4 for

separate accounts (unit investment trusts)

EDGARLink

Template 1

XFDL

Technical

Specification

N-5, N-5/A

Registration statement for small business

investment companies

EDGARLink

Template 1

XFDL

Technical

Specification

N-54A, N-54A/A

Notification of election by business

development companies filed on Form N-54A

EDGARLink

Template 2

XFDL

Technical

Specification

N-54C, N-54C/A

Notification of withdrawal by business

development companies filed on Form N-54C

EDGARLink

Template 2

XFDL

Technical

Specification

N-6, N-6/A

Registration statement for separate accounts

(unit investment trusts)

EDGARLink

Template 1

XFDL

Technical

Specification

N-6F, N-6F/A

Notice of intent by business development

companies to elect to be subject to Sections 55

through 65 of the 1940 Act filed on Form N-6F

EDGARLink

Template 2

XFDL

Technical

Specification

N-8A, N-8A/A

Initial notification of registration under section

8(a) filed on Form N-8A

EDGARLink

Template 2

XFDL

Technical

Specification

N-8B-2, N-8B-2/A

Initial registration statement for unit investment

trusts filed on Form N-8B-2

EDGARLink

Template 2

XFDL

Technical

Specification

February

May

20082008

3-13

EDGAR Filer Manual (Volume II)

Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

N-8B-3, N-8B-3/A

Initial registration statement for periodic

payment plans filed on Form N-8B-3

EDGARLink

Template 2

XFDL

Technical

Specification

N-8B-4, N-8B-4/A

Initial registration statement for face-amount

certificate companies filed on Form N-8B-4

EDGARLink

Template 2

XFDL

Technical

Specification

N-8F, N-8F/A

Application for deregistration made on Form

N-8F

EDGARLink

Template 2

XFDL

Technical

Specification

N-CSR, N-CSR/A

Certified annual shareholder report of

registered management investment companies

filed on Form N-CSR

EDGARLink

Template 3

XFDL

Technical

Specification

N-CSRS, NCSRS/A

Certified semi-annual shareholder report of

registered management investment companies

filed on Form N-CSR

EDGARLink

Template 3

XFDL

Technical

Specification

N-PX, N-PX/A

Annual Report of Proxy Voting Record of

Registered Management Investment

Companies filed on Form N-PX

EDGARLink

Template 3

XFDL

Technical

Specification

N-Q, N-Q/A

Quarterly Schedule of Portfolio Holdings of

Registered Management Investment Company

filed on Form N-Q

EDGARLink

Template 3

XFDL

Technical

Specification

NSAR-A, NSARA/A

Semi-annual report for management

companies filed on Form N-SAR

EDGARLink

Template 3

XFDL

Technical

Specification

NSAR-AT,

NSARAT/A

Transitional semi-annual report filed on Form

N-SAR

EDGARLink

Template 3

XFDL

Technical

Specification

NSAR-B, NSARB/A

Annual report for management companies filed

on Form N-SAR

EDGARLink

Template 3

XFDL

Technical

Specification

NSAR-BT,

NSARBT/A

Transitional annual report filed on Form NSAR

EDGARLink

Template 3

XFDL

Technical

Specification

NSAR-U, NSARU/A

Annual report for unit investment trusts filed on

Form N-SAR

EDGARLink

Template 3

XFDL

Technical

Specification

NT 10-K, NT 10K/A

Notice under Rule 12b25 of inability to timely

file all or part of a Form 10-K, 10-KSB, or 10KT

EDGARLink

Template 3

XFDL

Technical

Specification

NT 10-D, NT 10D/A

Notice under Rule 12b25 of inability to timely

file all or part of a Form 10-D

EDGARLink

Template 3

XFDL

Technical

Specification

EDGAR Filer Manual (Volume II)

3-14

February

2008

May 2008

Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

NT 10-Q, NT 10Q/A

Notice under Rule 12b25 of inability to timely

file all or part of a form 10-Q or 10-QSB

EDGARLink

Template 3

XFDL

Technical

Specification

NT 11-K, NT 11K/A

Notice under Rule 12b25 of inability to timely

file all or part of a form 11-K

EDGARLink

Template 3

XFDL

Technical

Specification

NT 15D2, NT

15D2/A

Notice under Rule 12b25 of inability to timely

file a special report pursuant to section 15d-2

EDGARLink

Template 3

XFDL

Technical

Specification

NT 20-F, NT 20F/A

Notice under Rule 12b25 of inability to timely

file all or part of an annual report of form 20-F

EDGARLink

Template 3

XFDL

Technical

Specification

NT-NCSR,

NTNCSR/A

Notice under Exchange Act Rule 12b-25 of

inability to timely file Form N-CSR (annual or

semi-annual report)

EDGARLink

Template 3

XFDL

Technical

Specification

NT-NSAR,

NTNSAR/A

Notice under Exchange Act Rule 12b-25 of

inability to timely file Form N-SAR

EDGARLink

Template 3

XFDL

Technical

Specification

POS 8C

Post-effective amendment filed under the 1933

Act only or under both the 1933 and 1940 Acts

pursuant to Section 8(c) of the 1933 Act by

closed-end investment companies (this filing

cannot be submitted as a 1940 Act only filing)

EDGARLink

Template 3

XFDL

Technical

Specification

POS AM

Post-effective amendment to a registration

statement that is not immediately effective

upon filing

EDGARLink

Template 1

XFDL

Technical

Specification

POS AMI

Post-effective amendment (for filings made

under the 1940 Act only)

EDGARLink

Template 3

XFDL

Technical

Specification

POSASR

Post-effective Amendment to an automatic

shelf registration statement on Form S-3ASR

or Form F-3ASR

EDGARLink

Template 1

XFDL

Technical

Specification

POS EX

Post-effective amendment filed solely to add

exhibits to a registration statement

EDGARLink

Template 3

XFDL

Technical

Specification

POS462B

Post-effective amendment to Securities Act

Rule 462(b) registration statement

EDGARLink

Template 3

XFDL

Technical

Specification

POS462C

Post-effective amendment to a registration

statement filed under Rule 462(c)

EDGARLink

Template 3

XFDL

Technical

Specification

February

May 20082008

3-15

EDGAR Filer Manual (Volume II)

Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

PRE 14A

Preliminary proxy statement not related to a

contested matter or merger / acquisition

EDGARLink

Template 2

XFDL

Technical

Specification

PRE 14C

Preliminary information statement not related

to a contested matter or merger/acquisition

EDGARLink

Template 2

XFDL

Technical

Specification

PREC14A

Preliminary proxy statement in connection with

contested solicitations

EDGARLink

Template 2

XFDL

Technical

Specification

PREC14C

Preliminary information statements - contested

solicitations

EDGARLink

Template 2

XFDL

Technical

Specification

PREM14A

Preliminary proxy statements relating to

merger or acquisition

EDGARLink

Template 2

XFDL

Technical

Specification

PREM14C

Preliminary information statements relating to

merger or acquisition

EDGARLink

Template 2

XFDL

Technical

Specification

PREN14A

Preliminary proxy statement filed by nonmanagement

EDGARLink

Template 2

XFDL

Technical

Specification

PRER14A

Preliminary revised proxy soliciting materials

EDGARLink

Template 2

XFDL

Technical

Specification

PRER14C

Preliminary revised information statements

EDGARLink

Template 2

XFDL

Technical

Specification

PRRN14A

Revised preliminary proxy statement filed by

non-management

EDGARLink

Template 2

XFDL

Technical

Specification

PX14A6G

Notice of exempt solicitation

EDGARLink

Template 2

XFDL

Technical

Specification

PX14A6N

Notice of exempt solicitation for the purpose of

determining whether to solicit proxies,

consents, or authorizations in opposition to a

proposed roll-up transaction filed pursuant to

Rule 14a6(g) of the Securities Exchange Act of

1934

EDGARLink

Template 2

XFDL

Technical

Specification

QRTLYRPT,

QRTLYRPT/A

Periodic Development Bank filing, submitted

quarterly

EDGARLink

Template 2

XFDL

Technical

Specification

EDGAR Filer Manual (Volume II)

3-16

February

May 2008

2008

Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

Registration Withdrawal Request

EDGARLink

Template 3

XFDL

Technical

Specification

RW WD

Withdrawal of a Registration Withdrawal

Request

EDGARLink

Template 1

XFDL

Technical

Specification

S-1, S-1/A

General form of registration statement for all

companies including face-amount certificate

companies

EDGARLink

Template 1

XFDL

Technical

Specification

S-11, S-11/A

Registration statement for securities to be

issued by real estate companies

EDGARLink

Template 1

XFDL

Technical

Specification

S-11MEF

A new registration statement filed under Rule

462(b) to add securities to a prior related

effective registration statement filed on Form

S 11

EDGARLink

Template 1

XFDL

Technical

Specification

S-1MEF

A new registration statement filed under Rule

462(b) to add securities to a prior related

effective registration statement filed on Form

EDGARLink

Template 1

XFDL

Technical

Specification

S-20, S-20/A

Registration statement for standardized options

EDGARLink

Template 1

XFDL

Technical

Specification

S-3, S-3/A

Registration statement for specified

transactions by certain issuers

EDGARLink

Template 1

XFDL

Technical

Specification

S-3ASR

Automatic shelf registration statement of

securities of well-known seasoned issuers

EDGARLink

Template 1

XFDL

Technical

Specification

S-3D

Automatically effective registration statement

for securities issued pursuant to dividend or

interest reinvestment plans

EDGARLink

Template 1

XFDL

Technical

Specification

S-3DPOS

Post-effective amendment to a S-3D

registration statement

EDGARLink

Template 1

XFDL

Technical

Specification

S-3MEF

A new registration statement filed under Rule

462(b) to add securities to a prior related

effective registration statement filed on Form S

EDGARLink

Template 1

XFDL

Technical

Specification

S-4 POS

Post-effective amendment to a S-4EF

registration statement

EDGARLink

Template 1

XFDL

Technical

Specification

February 2008

May 2008

3-17

EDGAR Filer Manual (Volume II)

Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

S-4, S-4/A

Registration of securities issued in business

combination transactions

EDGARLink

Template 1

XFDL

Technical

Specification

S-4EF

Auto effective registration statement for

securities issued in connection with the

formation of a bank or savings and loan

holding company in compliance with General

Instruction G

EDGARLink

Template 1

XFDL

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

Template 1

XFDL

Technical

Specification

S-6, S-6/A

Initial registration statement filed on Form S-6

for unit investment trusts

EDGARLink

Template 1

XFDL

Technical

Specification

S-8

Initial registration statement for securities to be

offered to employees pursuant to employee

benefit plans

EDGARLink

Template 1

XFDL

Technical

Specification

S-8 POS

Post-effective amendment to a S-8 registration

statement

EDGARLink

Template 1

XFDL

Technical

Specification

S-B, S-B/A

Registration statement for securities of foreign

governments and subdivisions thereof under

the Securities Act of 1933 (Schedule B)

EDGARLink

Template 1

XFDL

Technical

Specification

SB-1, SB-1/A

Optional form for the initial registration of

securities to be sold to the public by small

business issuers

EDGARLink

Template 1

XFDL

Technical

Specification

EDGARLink

Template 1

XFDL

Technical

Specification

EDGARLink

Template 1

XFDL

Technical

Specification

Will no longer be accepted as of February 4,

2008

SB-1MEF

A new registration statement filed under Rule

462(b) to add securities to a prior related

effective registration statement filed on Form

SB-1

Will no longer be accepted as February 4,

2008

SB-2, SB-2/A

Optional form for the registration of securities

to be sold to the public by small business

issuers

Will no longer be accepted as of February 4,

2008

EDGAR Filer Manual (Volume II)

3-18

February

May 2008

2008

Submission

Type

SB-2MEF

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

A new registration statement filed under Rule

462(b) to add securities to a prior related

effective registration statement filed on Form

SB 2

EDGARLink

Template 1

XFDL

Technical

Specification

Will no longer be accepted as of February 4,

2008

S-BMEF

A new registration statement filed under Rule

462(b) to add securities to a prior related

effective registration statement filed on Form

S-B

EDGARLink

Template 1

XFDL

Technical

Specification

SC 13D, SC

13D/A

Schedule filed to report acquisition of beneficial

ownership of 5% or more of a class of equity

securities

EDGARLink

Template 2

XFDL

Technical

Specification

SC 13E1, SC

13E1/A

Schedule 13-E1 statement of issuer required

by Rule 13e-1

EDGARLink

Template 2

XFDL

Technical

Specification

SC 13E3, SC

13E3/A

Schedule filed to report going private

transactions

EDGARLink

Template 2

XFDL

Technical

Specification

SC 13G, SC

13G/A

Schedule filed to report acquisition of beneficial

ownership of 5% or more of a class of equity

securities by passive investors and certain

institutions

EDGARLink

Template 2

XFDL

Technical

Specification

SC 14D9,

SC 14D9/A

Tender offer solicitation / recommendation

statements filed under Rule 14d-9

EDGARLink

Template 2

XFDL

Technical

Specification

SC 14F1, SC

14F1/A

Statement regarding change in majority of

directors pursuant to Rule 14f-1

EDGARLink

Template 2

XFDL

Technical

Specification

SC TO-C

Written communication relating to an issuer or

third party tender offer

EDGARLink

Template 2

XFDL

Technical

Specification

SC TO-I,

SC TO-I/A

Issuer tender offer statement

EDGARLink

Template 2

XFDL

Technical

Specification

SC TO-T,

SC TO-T/A

Third party tender offer statement

EDGARLink

Template 2

XFDL

Technical

Specification

SC13E4F,

SC13E4F/A

Issuer tender offer statement filed pursuant to

Rule 13(e)(4) by foreign issuers

EDGARLink

Template 2

XFDL

Technical

Specification

SC14D1F,

SC14D1F/A

Third party tender offer statement filed

pursuant to Rule 14d-1(b) by foreign issuers

EDGARLink

Template 2

XFDL

Technical

Specification

February

May 20082008

3-19

EDGAR Filer Manual (Volume II)

Submission

Type

Description

Tool/

Template

Number

FilerConstructed

Form Spec.

SC14D9C

Written communication by the subject company

relating to a third party tender offer

EDGARLink

Template 2

XFDL

Technical

Specification

SC14D9F,

SC14D9F/A

Solicitation/recommendation statement

pursuant 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

Template 2

XFDL

Technical

Specification

SP 15D2,

SP 15D2/A

Special Financial Report filed under Rule 15d-2

EDGARLink

Template 3

XFDL

Technical

Specification

SUPPL

Voluntary supplemental material filed pursuant

to Section 11(a) of the Securities Act of 1933

by foreign issuers

EDGARLink

Template 2

XFDL

Technical

Specification

T-1, T-2

Note - 'Submission types' T-1 and T-2 are not

used as stand-alone submission types on the

EDGAR system. They are filed as EX-25 to

registration statements.

T-3, T-3/A

Initial application for qualification of trust

indentures

EDGARLink

Template 1

XFDL

Technical

Specification

T-6, T-6/A

Application for determination of eligibility of a

foreign person to act as institutional trustee

filed pursuant to Section 310(a)(1) of the Trust

Indenture Act of 1939

EDGARLink

Template 1

XFDL

Technical

Specification

TA-1, TA-1/A

Application for registration as a transfer agent

filed pursuant to the Securities Exchange Act

of 1934

EDGARLite

TA-1

Template

TA-1 XML

Technical

Specification

TA-2, TA-2/A

Annual report of transfer agent activities filed

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

UNDER,

UNDER/A

Initial undertaking to file reports

EDGARLink

Template 3

XFDL

Technical

Specification

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

EDGAR Filer Manual (Volume II)

3-20

February

May 2008

2008

supplied tools. EDGARLite templates can be downloaded from the OnlineForms/XML Website.

Versions of the EDGARLink templates and software are found on the EDGAR Filing Website.

Filer-Constructed Technical Specifications are available on the SEC’s Public Website. Please

refer to these sites to determine if your version of the tool, template, or document is correct.

Note:

Tools, templates, and documents will no longer be marked with a version number

relating to a software release. Some tools may be specific to submission types that

remain the same through several releases, instead of being updated with each new

release. Therefore each tool, template and manual will now be marked with its own

version number, specific to that particular item. You can find the most current versions

on the website from which the tools, templates, and manuals are downloaded. Be sure to

verify that you have the current version before filing.

Issuers are advised that filings with the submission types listed below will receive a "Filing

Date" identical to the EDGAR "Received Date" even if received after 5:30 p.m. Eastern time,

which is different than normal filings. In addition these filings will be disseminated until 10:00

p.m. Eastern time. Normally filings received after 5:30 p.m. Eastern time will receive a filing

date of the next business day and will not be disseminated until the next business day.

The following submission types will receive a filing date identical to the EDGAR "Received

Date" and will be disseminated until 10:00 p.m. Eastern time:

F-3MEF

POS462B

S-3MEF

S-BMEF

3/A

5/A

F-4MEF

S-11MEF

S-4MEF

F-1MEF

N-14MEF

S-1MEF

SB-1MEF

4/A

N-2MEF

SB-2MEF

You should send any fee payment made for the above registration statements to the

Commission's lockbox. Additionally, you should submit any fee payment certification that you

are making for the above-listed submission types, pursuant to Rule 111(b), using the

"CORRESP" submission type.

February

May

20082008

3-21

EDGAR Filer Manual (Volume II)

Electronic Form Types by Act

List of Tables

Table 3-1: Securities Act Submission Types Accepted by EDGAR......................................... 3-23

Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements

Filed Pursuant to Section 14 Submission Types Accepted by EDGAR ................. 3-32

Table 3-3: Securities Exchange Act - Registration and Report Submission Types

Accepted by EDGAR............................................................................................... 3-35

Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR. .............................. 3-44

Table 3-5: Investment Company Submission Types Accepted by EDGAR ............................ 3-46

Table 3-6: Development Bank Submission Types Accepted by EDGAR ................................ 3-62

Table 3-7 Correspondence Submission Types. ........................................................................ 3-62

EDGAR Filer Manual (Volume II)

3-22

February

May2008

2008

Table 3-1: Securities Act Submission Types Accepted by EDGAR

CFR Form/

Schedule/

Rule

F-1

F-1MEF

F-3

F-3MEF

F-4

February

May

2008 2008

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Registration statement for securities of

certain foreign private issuers

F-1

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

F-1/A

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL Technical

Specification

A new registration statement filed

under Rule 462(b) to add securities to

a prior related effective registration

statement filed on Form F-1

F-1MEF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to Securities

Act Rule 462(b) registration statement

POS462B

EDGARLink

Template 3

XFDL Technical

Specification

Registration statement for specified

transactions by certain foreign private

issuers

F-3

EDGARLink

Template 1

XFDL Technical

Specification

Pre-Effective amendment

F-3/A

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL Technical

Specification

Automatic shelf registration statement

of securities of well-known seasoned

issuers

F-3ASR

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective Amendment to an

automatic shelf registration statement

on Form S-3ASR or Form F-3ASR

POSASR

EDGARLink

Template 1

XFDL Technical

Specification

Registration statement for dividend or

interest reinvestment plan securities of

foreign private issuers

F-3D

EDGARLink

Template 1

XFDL Technical

Specification

Post-Effective amendment to a F-3D

registration

F-3DPOS

EDGARLink

Template 1

XFDL Technical

Specification

A new registration statement filed

under Rule 462(b) to add securities to

a prior related effective registration

statement filed on Form F-3

F-3MEF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to Securities

Act Rule 462(b) registration statement

POS462B

EDGARLink

Template 3

XFDL Technical

Specification

Registration statement for securities

issued by foreign private issuers in

certain business combination

F-4

EDGARLink

Template 1

XFDL Technical

Specification

3-23

EDGAR Filer Manual (Volume II)

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Pre-effective amendment

F-4/A

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL Technical

Specification

Auto effective registration statement

for securities by certain foreign private

issuers in connection with certain

business combination transactions

F-4EF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a F-4EF

registration

F-4 POS

EDGARLink

Template 1

XFDL Technical

Specification

A new registration statement filed

under Rule 462(b) to add securities to

a prior related effective registration

statement filed on Form F-4

F-4MEF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to Securities

Act Rule 462(b) registration statement

POS462B

EDGARLink

Template 3

XFDL Technical

Specification

Registration statement for American

Depositary Receipts representing

securities of certain foreign private

issuers

F-6

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

F-6/A

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL Technical

Specification

Auto effective registration statement

for American Depositary Receipts

representing securities of certain

foreign private issuers

F 6EF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a F-6EF

registration

F-6 POS

EDGARLink

Template 1

XFDL Technical

Specification

Registration statement for securities of

certain Canadian issuers offered for

cash upon the exercise of rights

granted to existing security holders

under the Securities Act of 1933

F-7

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

F-7/A

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a F-7

registration

F-7 POS

EDGARLink

Template 1

XFDL Technical

Specification

transactions

F-4MEF

F-6

F-7

EDGAR Filer Manual (Volume II)

3-24

February

May 2008

2008

CFR Form/

Schedule/

Rule

F-8

F-9

F-10

F-80

February

May 20082008

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Registration statement for securities of

certain Canadian issuers to be issued in

exchange offers or a business

combination under the Securities Act

of 1933

F-8

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

F-8/A

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a F-8

registration

F-8 POS

EDGARLink

Template 1

XFDL Technical

Specification

Registration of securities of certain

investment grade debt or investment

grade preferred securities of certain

Canadian issuers under the Securities

Act of 1933

F-9

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

F-9/A

EDGARLink

Template 1

XFDL Technical

Specification

Auto effective registration of securities

of certain investment grade debt or

investment grade preferred securities

of certain Canadian issuers under the

Securities Act of 1933

F-9EF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a F-9EF

registration

F-9 POS

EDGARLink

Template 1

XFDL Technical

Specification

Registration statement for securities of

certain Canadian issuers under the

Securities Act of 1933

F-10

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

F-10/A

EDGARLink

Template 1

XFDL Technical

Specification

Auto effective registration statement

for securities of certain Canadian

issuers under the Securities Act of

1933

F-10EF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a F10EF

registration

F-10POS

EDGARLink

Template 1

XFDL Technical

Specification

Registration of securities of certain

Canadian issuers to be issued in

exchange offers or a business

combination under the Securities Act

of 1933

F-80

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

F-80/A

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a F-80

registration

F-80POS

EDGARLink

Template 1

XFDL Technical

Specification

3-25

EDGAR Filer Manual (Volume II)

CFR Form/

Schedule/

Rule

S-1

S-1MEF

S-3

S-3MEF

S-4

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

General form of registration statement

for all companies including faceamount certificate companies

S-1

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

S-1/A

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL Technical

Specification

A new registration statement filed

under Rule 462(b) to add securities to

a prior related effective registration

statement filed on Form S-1

S-1MEF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to Securities

Act Rule 462(b) registration statement

POS462B

EDGARLink

Template 3

XFDL Technical

Specification

Registration statement for specified

transactions by certain issuers

S-3

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

S-3/A

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL Technical

Specification

Automatic shelf registration statement

of securities of well-known seasoned

issuers

S-3ASR

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective Amendment to an

automatic shelf registration statement

on Form S-3ASR or Form F-3ASR

POSASR

EDGARLink

Template 1

XFDL Technical

Specification

Automatically effective registration

statement for securities issued pursuant

to dividend or interest reinvestment

plans

S-3D

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a S-3D

registration statement

S-3DPOS

EDGARLink

Template 1

XFDL Technical

Specification

A new registration statement filed

under Rule 462(b) to add securities to

a prior related effective registration

statement filed on Form S-3

S-3MEF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to Securities

Act Rule 462(b) registration statement

POS462B

EDGARLink

Template 3

XFDL Technical

Specification

Registration of securities issued in

business combination transactions

S-4

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

S-4/A

EDGARLink

Template 1

XFDL Technical

Specification

EDGAR Filer Manual (Volume II)

3-26

February

May2008

2008

CFR Form/

Schedule/

Rule

S-4MEF

S-8

S-11

S-11MEF

S-20

February

May

20082008

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL Technical

Specification

Auto effective registration statement

for securities issued in connection with

the formation of a bank or savings and

loan holding company in compliance

with General Instruction G

S-4EF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a S-4EF

registration statement

S-4 POS

EDGARLink

Template 1

XFDL Technical

Specification

A new registration statement filed

under Rule 462(b) to add securities to

a prior related effective registration

statement filed on Form S-4

S-4MEF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to Securities

Act Rule 462(b) registration statement

POS462B

EDGARLink

Template 3

XFDL Technical

Specification

Initial registration statement for

securities to be offered to employees

pursuant to employee benefit plans

S-8

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a S-8

registration statement

S-8 POS

EDGARLink

Template 1

XFDL Technical

Specification

Registration statement for securities to

be issued by real estate companies

S-11

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

S-11/A

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL Technical

Specification

A new registration statement filed

under Rule 462(b) to add securities to

a prior related effective registration

statement filed on Form S-11

S-11MEF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to Securities

Act Rule 462(b) registration statement

POS462B

EDGARLink

Template 3

XFDL Technical

Specification

Registration statement for standardized

options

S-20

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

S-20/A

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL Technical

Specification

3-27

EDGAR Filer Manual (Volume II)

CFR Form/

Schedule/

Rule

S-B

S-BMEF

SB-1

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Registration statement for securities of

foreign governments and subdivisions

thereof under the Securities Act of

1933 (Schedule B)

S-B

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

S-B/A

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL Technical

Specification

A new registration statement filed

under Rule 462(b) to add securities to

a prior related effective registration

statement filed on Form S-B

S-BMEF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to Securities

Act Rule 462(b) registration statement

POS462B

EDGARLink

Template 3

XFDL Technical

Specification

Optional form for the initial

registration of securities to be sold to

the public by small business issuers

SB-1

EDGARLink

Template 1

XFDL Technical

Specification

SB-1/A

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL Technical

Specification

A new registration statement filed

under Rule 462(b) to add securities to

a prior related effective registration

statement filed on Form SB-1

SB-1MEF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to Securities

Act Rule 462(b) registration statement

POS462B

EDGARLink

Template 3

XFDL Technical

Specification

Optional form for the registration of

securities to be sold to the public by

small business issuers

Will no longer be accepted as of

February 4, 2008

SB-2

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

Will no longer be accepted as of

February 4, 2008

SB-2/A

EDGARLink

Template 1

XFDL Technical

Specification

Will no longer be accepted as of

February 4, 2008

Pre-effective amendment

Will no longer be accepted as of

February 4, 2008

SB-1MEF

Will no longer be accepted as of

February 4, 2008

SB-2

EDGAR Filer Manual (Volume II)

3-28

February

May2008

2008

CFR Form/

Schedule/

Rule

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL Technical

Specification

A new registration statement filed

under Rule 462(b) to add securities to

a prior related effective registration

statement filed on Form SB-2

Will no longer be accepted as of

February 4, 2008

SB-2MEF

EDGARLink

Template 1

XFDL Technical

Specification

Post-effective amendment to Securities

Act Rule 462(b) registration statement

POS462B

EDGARLink

Template 3

XFDL Technical

Specification

POS462C

Post-effective amendment to a

registration statement filed under Rule

462(c)

POS462C

EDGARLink

Template 3

XFDL Technical

Specification

POS EX

Post-effective amendment filed solely

to add exhibits to a registration

statement

POS EX

EDGARLink

Template 3

XFDL Technical

Specification

POS AM

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL Technical

Specification

Prospectus filed pursuant to Rule

424(a)

424A

EDGARLink

Template 3

XFDL Technical

Specification

Prospectus filed pursuant to Rule

424(b)(1)

424B1

EDGARLink

Template 1

XFDL Technical

Specification

Prospectus filed pursuant to Rule

424(b)(2)

424B2

EDGARLink

Template 1

XFDL Technical

Specification

Prospectus filed pursuant to Rule

424(b)(3)

424B3

EDGARLink

Template 1

XFDL Technical

Specification

Prospectus filed pursuant to Rule

424(b)(4)

424B4

EDGARLink

Template 1

XFDL Technical

Specification

Prospectus filed pursuant to Rule

424(b)(5)

424B5

EDGARLink

Template 1

XFDL Technical

Specification

Prospectus filed pursuant to Rule

424(b)(7)

424B7

EDGARLink

Template 1

XFDL Technical

Specification

Prospectus filed pursuant to Rule

424(b)(8)

424B8

EDGARLink

Template 1

XFDL Technical

Specification

FWP

EDGARLink

Template 2

XFDL Technical

Specification

SB-2MEF

Description

PROSPECTUSES FILED PURSUANT TO RULE 424

FREE WRITING PROSPECTUS

Filing under Securities Act Rules

163/433 of free writing prospectuses

February

May

20082008

3-29

EDGAR Filer Manual (Volume II)

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

FILINGS PURSUANT TO THE TRUST INDENTURE ACT

305B2

T-3

T-6

Application for designation of a new

trustee under the Trust Indenture Act

305B2

EDGARLink

Template 3

XFDL Technical

Specification

Amendment

305B2/A

EDGARLink

Template 3

XFDL Technical

Specification

Initial application for qualification of

trust indentures

T-3

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

T-3/A

EDGARLink

Template 1

XFDL Technical

Specification

Application for determination of

eligibility of a foreign person to act as

institutional trustee filed pursuant to

Section 310(a)(1) of the Trust

Indenture Act of 1939

T-6

EDGARLink

Template 1

XFDL Technical

Specification

Pre-effective amendment

T-6/A

EDGARLink

Template 1

XFDL Technical

Specification

Note: "Submission types" T-1 and T-2 are not used as stand-alone submission types on the EDGAR system. They

are filed as EX-25 to registration statements.

FILINGS PURSUANT TO RULE 144

144

Filing for proposed sale of securities

under Rule 144

144

EDGARLink

Template 2

XFDL Technical

Specification

Amendment to Form 144

Note: Form 144 may be filed

electronically on a voluntary basis if

the issuer of the securities is a public

company.

144/A

EDGARLink

Template 2

XFDL Technical

Specification

MISCELLANEOUS FILINGS

DEL AM

Separately filed delaying amendment

under Securities Act Rule 473 to delay

effectiveness of a 1933 Act

registration statement

DEL AM

EDGARLink

Template 3

XFDL Technical

Specification

UNDER

Initial undertaking to file reports

UNDER

EDGARLink

Template 3

XFDL Technical

Specification

Amendment

UNDER/A

EDGARLink

Template 3

XFDL Technical

Specification

SUPPL

Voluntary supplemental material filed

pursuant to Section 11(a) of the

Securities Act of 1933 by foreign

issuers

SUPPL

EDGARLink

Template 2

XFDL Technical

Specification

Registration Withdrawal Request

EDGARLink

Template 3

XFDL Technical

Specification

EDGAR Filer Manual (Volume II)

3-30

February

May 2008

2008

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

RW WD

Withdrawal of a Registration

Withdrawal Request

RW WD

EDGARLink

Template 1

XFDL Technical

Specification

Withdrawal of amendment to a

registration statement filed under the

Securities Act

EDGARLink

Template 3

XFDL Technical

Specification

AW WD

Withdrawal of a request for

withdrawal of an amendment to a

registration statement

AW WD

EDGARLink

Template 1

XFDL Technical

Specification

425

Filing under Securities Act Rule 425

of certain prospectuses and

communications in connection with

business combination transactions

425

EDGARLink

Template 2

XFDL Technical

Specification

For appointment of agent for service of

process by issuers registering

securities (if filed on Form F-8, F-9, F10 or F-80, or registering securities or

filing periodic reports on Form 40F, or

by any person filing certain tender

offer documents, or by any person

acting as trustee with respect to

securities registered on form F-7, F-8,

F-9 or F-10

F-X

EDGARLink

Template 2

XFDL Technical

Specification

Amendment

F-X/A

EDGARLink

Template 2

XFDL Technical

Specification

Notification of the appointment of an

agent for service by certain foreign

institutions

F-N

EDGARLink

Template 2

XFDL Technical

Specification

Amendment

F-N/A

EDGARLink

Template 2

XFDL Technical

Specification

Note: Form 425 can be filed as part of

Form 8-K. For filers subject to 8K

filing requirements, we recommend

the use of the 8-K combined form type

as the easiest method for fulfilling

your filing requirement for both forms

F-X

F-N

February

May

20082008

3-31

EDGAR Filer Manual (Volume II)

Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed

Pursuant to Section 14 Submission Types Accepted by EDGAR

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Preliminary proxy statements

relating to merger or acquisition

PREM14A

EDGARLink

Template 2

XFDL Technical

Specification

Preliminary proxy statement in

connection with contested

solicitations

PREC14A

EDGARLink

Template 2

XFDL Technical

Specification

Preliminary proxy statement filed

by non-management

PREN14A

EDGARLink

Template 2

XFDL Technical

Specification

Preliminary proxy statement not

related to a contested matter or

merger / acquisition

PRE 14A

EDGARLink

Template 2

XFDL Technical

Specification

Preliminary information

statements relating to merger or

acquisition

PREM14C

EDGARLink

Template 2

XFDL Technical

Specification

Preliminary information

statements – contested

solicitations

PREC14C

EDGARLink

Template 2

XFDL Technical

Specification

Preliminary information statement

not related to a contested matter or

merger/acquisition

PRE 14C

EDGARLink

Template 2

XFDL Technical

Specification

Preliminary revised proxy

soliciting materials

PRER14A

EDGARLink

Template 2

XFDL Technical

Specification

Revised preliminary proxy

statement filed by nonmanagement

PRRN14A

EDGARLink

Template 2

XFDL Technical

Specification

Preliminary revised information

statements

PRER14C

EDGARLink

Template 2

XFDL Technical

Specification

Definitive proxy statement

relating to merger or acquisition

DEFM14A

EDGARLink

Template 2

XFDL Technical

Definitive proxy statement in

connection with contested

solicitations

DEFC14A

EDGARLink

Template 2

XFDL Technical

Specification

Definitive proxy statement filed

by non-management

DEFN14A

EDGARLink

Template 2

XFDL Technical

Specification

PRELIMINARY PROXY SOLICITING MATERIALS

PRELIMINARY INFORMATION STATEMENTS

REVISED PRELIMINARY MATERIALS

DEFINITIVE MATERIALS (PROXY MATERIALS)

EDGAR Filer Manual (Volume II)

3-32

February

May2008

2008

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Revised definitive proxy

statement filed by nonmanagement

DFRN14A

EDGARLink

Template 2

XFDL Technical

Specification

Definitive revised proxy soliciting

materials

DEFR14A

EDGARLink

Template 2

XFDL Technical

Specification

Definitive additional proxy

soliciting materials including Rule

14(a)(12) material

DEFA14A

EDGARLink

Template 2

XFDL Technical

Specification

DFAN14A

EDGARLink

Template 2

XFDL Technical

Specification

Definitive proxy statements

DEF 14A

EDGARLink

Template 2

XFDL Technical

Specification

Notice of exempt solicitation

PX14A6G

EDGARLink

Template 2

XFDL Technical

Specification

Notice of exempt solicitation for

the purpose of determining

whether to solicit proxies,

consents, or authorizations in

opposition to a proposed roll-up

transaction filed pursuant to Rule

14a6(g) of the Securities

Exchange Act of 1934

PX14A6N

EDGARLink

Template 2

XFDL Technical

Specification

Note: Submission type DEFA14A

can be filed as part of Form 8-K.

For filers subject to 8-K filing

requirements, we recommend the

use of the 8-K combined form

type as the easiest method for

fulfilling your filing requirement

for both forms

Definitive additional proxy

soliciting materials filed by nonmanagement including Rule

14(a)(12) material

Note: Submission type DFAN14A

can be filed as part of Form 8-K.

For filers subject to 8-K filing

requirements, we recommend the

use of the 8-K combined form

type as the easiest method for

fulfilling your filing requirement

for both forms

DEFINITIVE MATERIALS (INFORMATION STATEMENTS)

February

May

20082008

Definitive information statement

relating to merger or acquisition

DEFM14C

EDGARLink

Template 2

XFDL Technical

Specification

Definitive information statement –

contested solicitations

DEFC14C

EDGARLink

Template 2

XFDL Technical

Specification

3-33

EDGAR Filer Manual (Volume II)

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Definitive information statements

DEF 14C

EDGARLink

Template 2

XFDL Technical

Specification

Definitive additional information

statement materials including Rule

14(a)(12) material

DEFA14C

EDGARLink

Template 2

XFDL Technical

Specification

Definitive revised information

statement materials

DEFR14C

EDGARLink

Template 2

XFDL Technical

Specification

EDGAR Filer Manual (Volume II)

3-34

February

May 2008

2008

Table 3-3: Securities Exchange Act - Registration and

Report Submission Types Accepted by EDGAR

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Form for the registration / listing of

a class of securities on a national

securities exchange pursuant to

section 12(b)

8-A12B

EDGARLink

Template 3

XFDL Technical

Specification

Amendment

8-A12B/A

EDGARLink

Template 3

Form for registration of a class of

securities pursuant to section 12(g)

8-A12G

EDGARLink

Template 3

Amendment

8-A12G/A

EDGARLink

Template 3

Initial general form for registration

of a class of securities pursuant to

section 12(b)

10-12B

EDGARLink

Template 3

Amendment

10-12B/A

EDGARLink

Template 3

Initial general form for registration

of a class of securities pursuant to

section 12(g)

10-12G

EDGARLink

Template 3

Amendment

10-12G/A

EDGARLink

Template 3

Form for initial registration of a

class of securities for small

business issuers pursuant to section

12(b)

10SB12B

EDGARLink

Template 3

10SB12B/A

EDGARLink

Template 3

10SB12G

EDGARLink

Template 3

10SB12G/A

EDGARLink

Template 3

REGISTRATION STATEMENTS

8-A

10-SB

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

Will no longer be accepted as of

February 4, 2008

Amendment

Will no longer be accepted as of

February 4, 2008

Form for initial registration of a

class of securities for small

business issuers pursuant to section

12(g)

XFDL Technical

Specification

Will no longer be accepted as of

February 4, 2008

Amendment

Will no longer be accepted as of

February 4, 2008

February

May

20082008

3-35

EDGAR Filer Manual (Volume II)

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Form for initial registration of a

class of securities of foreign

private issuers pursuant to section

12(b)

20FR12B

EDGARLink

Template 3

XFDL Technical

Specification

Amendment

20FR12B/A

EDGARLink

Template 3

Form for initial registration of a

class of securities of foreign

private issuers pursuant to section

12(g)

20FR12G

EDGARLink

Template 3

Amendment

20FR12G/A

EDGARLink

Template 3

Registration of a class of securities

of certain Canadian issuers

pursuant to Section 12(b) of the

1934 Act

40FR12B

EDGARLink

Template 3

Amendment

40FR12B/A

EDGARLink

Template 3

Registration of a class of securities

of certain Canadian issuers

pursuant to Section 12(g) of the

1934 Act

40FR12G

EDGARLink

Template 3

Amendment

40FR12G/A

EDGARLink

Template 3

Form for initial registration of

securities of foreign governments

or political subdivisions pursuant

to section 12(b)

18-12B

EDGARLink

Template 3

Amendment

18-12B/A

EDGARLink

Template 3

Form for initial registration of

securities of foreign governments

or political subdivisions thereof

pursuant to section 12(g)

18-12G

EDGARLink

Template 3

Amendment

18- 12G/A

EDGARLink

Template 3

ARS

EDGARLink

Template 3

REGISTRATION STATEMENTS

20-F

40-F

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

ANNUAL, QUARTERLY, AND PERIODIC REPORTS

ARS

Annual report to security holders

EDGAR Filer Manual (Volume II)

3-36

XFDL Technical

Specification

February

May 2008

2008

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

ARS/A

EDGARLink

Template 3

Current report of foreign issuer

pursuant to Rules 13a-16 and 15d16

6-K

EDGARLink

Template 3

Amendments

6-K/A

EDGARLink

Template 3

Quarterly report pursuant to

sections 13 or 15(d)

10-Q

EDGARLink

Template 3

Amendment

10-Q/A

EDGARLink

Template 3

Transition report pursuant to Rule

13a-10 or 15d-10

10-QT

EDGARLink

Template 3

XFDL Technical

Specification

Optional form for quarterly and

transition reports of small business

issuers under section 13 or 15(d)

10QSB

EDGARLink

Template 3

XFDL Technical

Specification

10QSB/A

EDGARLink

Template 3

Annual report pursuant to section

13 and 15(d)

10-K

EDGARLink

Template 3

Amendment

10-K/A

EDGARLink

Template 3

Transition report pursuant to Rule

13a-10 or 15d-10

10-KT

EDGARLink

Template 3

Amendment

10-KT/A

EDGARLink

Template 3

ANNUAL, QUARTERLY, AND PERIODIC REPORTS

Amendment

Note: Use this submission type

when furnishing the annual report

to security holders for the

information of the Commission

pursuant to Rule 14a-3(c) or Rule

14c-3(b). Portions of the annual

report to security holders filed with

the Commission as part of a

registration statement or periodic

report should be filed as Exhibit

13, as provided by Item 601 of

Regulation S-K and S-B.

6-K

10-Q

10-QSB

XFDL Technical

Specification

XFDL Technical

Specification

Will no longer be accepted as of

November 03, 2008

Amendment

Will no longer be accepted as of

November 03, 2008

10-K

February

May

20082008

3-37

XFDL Technical

Specification

XFDL Technical

Specification

EDGAR Filer Manual (Volume II)

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

10KSB

EDGARLink

Template 3

XFDL Technical

Specification

10KSB/A

EDGARLink

Template 3

Periodic distribution reports by

Asset-Backed issuers pursuant to

Rule 13a-17 or 15d-17

10-D

EDGARLink

Template 3

Amendment

10-D/A

EDGARLink

Template 3

Current report filing

8-K

EDGARLink

Template 3

Amendment

8-K/A

EDGARLink

Template 3

Notification that a class of

securities of successor issuer is

deemed to be registered pursuant

to section 12(g)

8-K12G3

EDGARLink

Template 3

Amendment

8-K12G3/A

EDGARLink

Template 3

Notification of assumption of duty

to report by successor issue under

section 15(d)

8-K15D5

EDGARLink

Template 3

Amendment

8-K15D5/A

EDGARLink

Template 3

Annual report of employee stock

purchase, savings and similar plans

11-K

EDGARLink

Template 3

Amendment

11-K/A

EDGARLink

Template 3

Transition report pursuant to rule

13a-10 or 15d-10

11-KT

EDGARLink

Template 3

Amendment

11-KT/A

EDGARLink

Template 3

Annual report for foreign

governments and political

subdivisions

18-K

ANNUAL, QUARTERLY, AND PERIODIC REPORTS

10KSB

Optional form for annual and

transition reports of small business

issuers under section 13 or 15(d)

Will no longer be accepted as of March

16, 2009

Amendment

Will no longer be accepted as of March

16, 2009

10-D

8-K

11-K

18-K

EDGAR Filer Manual (Volume II)

3-38

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

February

May2008

2008

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

XFDL Technical

Specification

ANNUAL, QUARTERLY, AND PERIODIC REPORTS

20-F

40-F

Amendment

18-K/A

Annual and transition report of

foreign private issuers pursuant to

sections 13 or 15(d)

20-F

EDGARLink

Template 3

Amendment

20-F/A

EDGARLink

Template 3

Annual report filed by certain

Canadian issuers pursuant to

Section 15(d) and Rule 15d-4

40-F

EDGARLink

Template 3

40-F/A

EDGARLink

Template 3

Notice under Rule 12b25 of

inability to timely file all or part of

a form 10Q or 10-QSB

NT 10-Q

EDGARLink

Template 3

Amendment

NT 10-Q/A

EDGARLink

Template 3

Notice under Rule 12b25 of

inability to timely file all or part of

a form 10K, 10-KSB, or 10-KT

NT 10-K

EDGARLink

Template 3

Amendment

NT 10-K/A

EDGARLink

Template 3

Notice under Rule 12b25 of

inability to timely file all or part of

a Form 10-D

NT 10-D

EDGARLink

Template 3

Amendment

NT 10-D/A

EDGARLink

Template 3

Notice under Rule 12b25 of

inability to timely file all or part of

a form 11K

NT 11-K

EDGARLink

Template 3

Amendment

NT 11-K/A

EDGARLink

Template 3

Notice under Rule 12b25 of

inability to timely file a special

report pursuant to section 15d-2

NT 15D2

EDGARLink

Template 3

Amendment

NT 15D2/A

EDGARLink

Template 3

Amendment

12b-25

February

May

20082008

3-39

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

EDGAR Filer Manual (Volume II)

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Notice under Rule 12b25 of

inability to timely file all or part of

an annual report of form 20-F

NT 20-F

EDGARLink

Template 3

XFDL Technical

Specification

Amendment

NT 20-F/A

EDGARLink

Template 3

Notice of termination of

registration of a class of securities

under Section 12(b)

15-12B

EDGARLink

Template 3

Amendment

15-12B/A

EDGARLink

Template 3

Notice of termination of

registration of a class of securities

under Section 12(g)

15-12G

EDGARLink

Template 3

Amendment

15-12G/A

EDGARLink

Template 3

Notice of suspension of duty to file

reports pursuant to Section 13 and

15(d) of the Act

15-15D

EDGARLink

Template 3

Amendment

15-15D/A

EDGARLink

Template 3

Special Financial Report filed

under Rule 15d-2

SP 15D2

EDGARLink

Template 3

Amendment

SP 15D2/A

EDGARLink

Template 3

Notice of termination of a foreign

private issuer’s registration of a

class of securities under Section

12(b)

15F-12B

EDGARLink

Template 3

Amendment

15F-12B/A

EDGARLink

Template 3

Notice of termination of a foreign

private issuer’s registration of a

class of securities under Section

12(g)

15F-12G

EDGARLink

Template 3

Amendment

15-12G/A

EDGARLink

Template 3

ANNUAL, QUARTERLY, AND PERIODIC REPORTS

See Rule 15d-2

15F

EDGAR Filer Manual (Volume II)

3-40

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

February

May2008

2008

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Notice of a foreign private issuer’s

suspension of duty to ile reports

pursuant to Section 13 and 15(d) of

the Act

15F-15D

EDGAR Link

Template 3

XFDL Technical

Specification

Amendment

15-15D/A

EDGAR Link

Template 3

Initial Quarterly Form 13F

Holdings report filed by

institutional managers

13F-HR

EDGAR Link

Template 3

Amendment

13F-HR/A

EDGAR Link

Template 3

Initial Quarterly Form 13F Notice

Report filed by institutional

managers

13F-NT

EDGAR Link

Template 3

Amendment

13F-NT/A

EDGAR Link

Template 3

Registration Withdrawal Request

EDGAR Link

Template 3

XFDL Technical

Specification

Withdrawal of a registration

withdrawal statement

RW WD

EDGAR Link

Template 3

XFDL Technical

Specification

Withdrawal of an amendment to a

registration statement filed under

the Securities Act

EDGAR Link

Template 3

XFDL Technical

Specification

Withdrawal of an amendment

registration withdrawal statement

AW WD

EDGAR Link

Template 3

XFDL Technical

Specification

425

EDGAR Link

Template 3

XFDL Technical

Specification

ANNUAL, QUARTERLY, AND PERIODIC REPORTS

15F

MISCELLANEOUS SUBMISSION TYPES/FILLINGS

Form 13 F

Form RW

Form AW

XFDL Technical

Specification

XFDL Technical

Specification

MISCELLANEOUS SUBMISSION TYPES/FILLINGS

Form 425

Filing under Securities Act Rule

425 of certain prospectuses and

communications in connection

with business combination

transactions

Note: Form 425 can be filed as

part of Form 8-K. For filers subject

to 8K filing requirements, we

recommend the use of the 8-K

combined form type as the easiest

method for fulfilling your filing

requirement for both forms.

February

May 20082008

3-41

EDGAR Filer Manual (Volume II)

CFR Form/

Schedule/

Rule

Form 25

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Notification filed by issuer to

voluntarily withdraw a class of

securities from listing and

registration on a national securities

exchange

EDGAR Link

Template 3

XFDL Technical

Specification

Amendment

25/A

EDGAR Link

Template 3

Notification filed by national

security exchange to report the

removal from listing and

registration of matured, redeemed

or retired securities

25-NSE

Distributed to

National

Securities

Exchanges

only

Distributed to

National

Securities

Exchanges only

Amendment

25-NSE/A

Distributed to

National

Securities

Exchanges only

Distributed to

National

Securities

Exchanges only

Initial statement of beneficial

ownership of securities

Online Forms

Ownership XML

Technical

Specification

Amendment

3/A

Online Forms

Ownership XML

Technical

Specification

Statement of changes in beneficial

ownership of securities

Online Forms

Ownership XML

Technical

Specification

Amendment

4/A

Online Forms

Ownership XML

Technical

Specification

Annual statement of changes in

beneficial ownership of securities

Online Forms

Ownership XML

Technical

Specification

Amendment

5/A

Online Forms

Ownership XML

Technical

Specification

TA-1

EDGAR Lite

TA-1

Template

TA-1 XML

Technical

Specification

SECTION 16 OWNERSHIP FORMS/FILINGS

Form 3

Form 4

SECTION 16 OWNERSHIP FORMS/FILINGS

Form 5

SECTION 17A TRANSFER AGENT FORMS/FILINGS

TA-1

Application for registration as a

transfer agent filed pursuant to the

Securities Exchange Act of 1934

EDGAR Filer Manual (Volume II)

3-42

February

May 2008

2008

CFR Form/

Schedule/

Rule

TA-2

TA-W

February

May

20082008

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Amendment

TA-1/A

EDGAR Lite

TA-1

Template

TA-1 XML

Technical

Specification

Annual report of transfer agent

activities filed pursuant to the

Securities Exchange Act of 1934

TA-2

EDGAR Lite

TA-1

Template

TA-1 XML

Technical

Specification

Amendment

TA-2/A

EDGAR Lite

TA-1

Template

TA-1 XML

Technical

Specification

Notice of withdrawal from

registration as transfer agent filed

pursuant to the Securities

Exchange Act of 1934

TA-W

EDGAR Lite

TA-1

Template

TA-1 XML

Technical

Specification

3-43

EDGAR Filer Manual (Volume II)

Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR

CFR Form/

Schedule/

Rule

Description

Schedule 13D

Schedule filed to report acquisition

of beneficial ownership of 5% or

more of a class of equity securities

Schedule 13-E1

Schedule 13E-3

Schedule

13E4F

Schedule 13G

Schedule TO-I

Schedule TO-T

Schedule TO-C

Tool/

Template

Number

FilerConstructed

Form Spec.

SC 13D

EDGARLink

Template 2

XFDL Technical

Specification

Amendment

SC 13D/A

EDGARLink

Template 2

Schedule 13-E1 statement of issuer

required by Rule 13e-1

SC 13E1

EDGARLink

Template 2

Amendment

SC 13E1/A

EDGARLink

Template 2

Schedule filed to report going private

transactions

SC 13E3

EDGARLink

Template 2

Amendment

SC 13E3/A

EDGARLink

Template 2

Issuer tender offer statement filed

pursuant to Rule 13(e)(4) by foreign

issuers

SC13E4F

EDGARLink

Template 2

Amendment

SC13E4F/A

EDGARLink

Template 2

Schedule filed to report acquisition

of beneficial ownership of 5% or

more of a class of equity securities

by passive investors and certain

institutions

SC 13G

EDGARLink

Template 2

Amendment

SC 13G/A

EDGARLink

Template 2

Issuer tender offer statement

SC TO-I SC

EDGARLink

Template 2

Amendment

TO-I/A SC

EDGARLink

Template 2

Third party tender offer statement

TO-T SC

EDGARLink

Template 2

Amendment

TO-T/A

EDGARLink

Template 2

Written communication relating to

an issuer or third party tender offer

SC TO-C

EDGARLink

Template 2

EDGAR Filer Manual (Volume II)

Submission

Type

3-44

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

February

May2008

2008

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

XFDL Technical

Specification

Note: Form Schedule TO-C can be

filed as part of Form 8-K. For filers

subject to 8-K filing requirements,

we recommend the use of the 8-K

combined form type as the easiest

method for fulfilling your filing

requirement for both forms

Schedule

14D1F

Third party tender offer statement

filed pursuant to Rule 14d-1(b) by

foreign issuers

SC14D1F

EDGARLink

Template 2

Amendment

SC14D1F/A

EDGARLink

Template 2

Schedule

14D9-C

Written communication by the

subject company relating to a third

party tender offer

SC14D9C

EDGARLink

Template 2

XFDL Technical

Specification

Schedule

14D9

Tender offer solicitation /

recommendation statements filed

under Rule 14-d9

SC 14D9

EDGARLink

Template 2

XFDL Technical

Specification

Amendment

SC 14D9/A

EDGARLink

Template 2

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

SC14D9F

EDGARLink

Template 2

Amendment

SC14D9F/A

EDGARLink

Template 2

Statement regarding change in

majority of directors pursuant to

Rule 14f-1

SC 14F1

EDGARLink

Template 2

Amendment

SC 14F1/A

EDGARLink

Template 2

Notification form filed in connection

with certain tender offers, business

combinations and rights offerings, in

which the subject company is a

foreign private issuer of which less

than 10% of its securities are held by

U.S. persons

EDGARLink

Template 2

Amendment

CB/A

EDGARLink

Template 2

Schedule

14D9F

Schedule

14f-1

February

May 20082008

3-45

XFDL Technical

Specification

XFDL Technical

Specification

XFDL Technical

Specification

EDGAR Filer Manual (Volume II)

Table 3-5: Investment Company Submission Types Accepted by EDGAR

CFR Form/

Schedule/

Rule

Forms S-1 & S-3

Forms N-1 &

N-1A

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

General form of registration

statement for all companies including

face-amount certificate companies

S-1

EDGARLink

Template 1

XFDL

Technical

Specification

Pre-effective amendment

S-1/A

EDGARLink

Template 1

Registration statement for specified

transactions by certain issuers

including face-amount certificate

companies

S-3

EDGARLink

Template 1

Pre-effective amendment

S-3/A

EDGARLink

Template 1

Post-effective amendment to a

registration statement that is not

immediately effective upon filing

POS AM

EDGARLink

Template 1

XFDL

Technical

Specification

Definitive materials filed under

paragraph (a), (b), (c), (d), (e) or (f)

of Securities Act Rule 497

497

EDGARLink

Template 3

XFDL

Technical

Specification

Certification of no change in

definitive materials under paragraph

(j) of Securities Act Rule 497

497J

EDGARLink

Template 3

XFDL

Technical

Specification

Initial registration statement filed on

Form N-1A for open-end

management investment companies

N-1A

EDGARLink

Template 1

XFDL

Technical

Specification

Pre-effective amendment to a

registration statement filed on Form

N-1A for open-end management

investment companies (this filing

cannot be submitted as a 1940 Act

only filing)

N-1A/A

EDGARLink

Template 1

XFDL

Technical

Specification

Initial registration statement filed on

Form N-1 for open-end management

investment companies

N-1

EDGARLink

Template 1

XFDL

Technical

Specification

Pre-effective amendment to a

registration statement filed on Form

N-1 for open-end management

investment companies (this filing

cannot be submitted as a 1940 Act

only filing)

N-1/A

EDGARLink

Template 1

XFDL

Technical

Specification

Registration statement for faceamount certificate companies

XFDL

Technical

Specification

Registration statement for open-end

management investment companies

EDGAR Filer Manual (Volume II)

3-46

February

May 2008

2008

CFR Form/

Schedule/

Rule

Rule 498

Form N-2

February

May

20082008

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Post-effective amendment filed

pursuant to Securities Act Rule

485(a) (this filing cannot be

submitted as a 1940 Act only filing)

485APOS

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment filed

pursuant to Securities Act Rule

485(b) (this filing cannot be

submitted as a 1940 Act only filing)

485BPOS

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment (for filings

made under the 1940 Act only)

POS AMI

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment filed

pursuant to Securities Act Rule

485(b)(1)(iii) to designate a new

effective date for a post-effective

amendment previously filed pursuant

to Securities Act Rule 485(a) (this

filing cannot be submitted as a 1940

Act only filing)

485BXT

EDGARLink

Template 3

XFDL

Technical

Specification

Definitive materials filed under

paragraph (a), (b), (c), (d), (e) or (f)

of Securities Act Rule 497

497

EDGARLink

Template 3

XFDL

Technical

Specification

Certification of no change in

definitive materials under paragraph

(j) of Securities Act Rule 497

497J

EDGARLink

Template 3

XFDL

Technical

Specification

Profiles for certain open-end

management investment companies

filed pursuant to Securities Act Rule

497(k)(1)(i)

497K1

EDGARLink

Template 3

XFDL

Technical

Specification

Profiles for certain open-end

management investment companies

filed pursuant to Securities Act Rule

497(k)(1)(ii)

497K2

EDGARLink

Template 3

XFDL

Technical

Specification

Profiles for certain open-end

management investment companies

filed pursuant to Securities Act Rule

497(k)(1)(iii)(A)

497K3A

EDGARLink

Template 3

XFDL

Technical

Specification

Profiles for certain open-end

management investment companies

filed pursuant to Securities Act Rule

497(k)(1)(iii)(B)

497K3B

EDGARLink

Template 3

XFDL

Technical

Specification

Initial filing of a registration

statement on Form N-2 for closedend investment companies

N-2

EDGARLink

Template 1

XFDL

Technical

Specification

3-47

EDGAR Filer Manual (Volume II)

CFR Form/

Schedule/

Rule

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Pre-effective amendment to a

registration statement on Form N-2

for closed-end investment companies

(this filing cannot be submitted as a

1940 Act only filing)

N-2/A

EDGARLink

Template 1

XFDL

Technical

Specification

Post-effective amendment (for filings

made under the 1940 Act only)

POS AMI

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment filed under

the 1933 Act only or under both the

1933 and 1940 Acts pursuant to

Section 8(c) of the 1933 Act by

closed-end investment companies

(this filing cannot be submitted as a

1940 Act only filing)

POS 8C

EDGARLink

Template 3

XFDL

Technical

Specification

Initial filing of a registration

statement on Form N-2 for closedend investment companies filed

pursuant to Securities Act Rule

486(a)

N-2

EDGARLink

Template 1

XFDL

Technical

Specification

Post-effective amendment to filing

filed pursuant to Securities Act Rule

486(a)

486APOS

EDGARLink

Template 3

XFDL

Technical

Specification

Initial filing of a registration

statement on Form N-2 for closedend investment companies filed

pursuant to Securities Act Rule

486(b)

N-2

EDGARLink

Template 1

XFDL

Technical

Specification

Post-effective amendment to filing

filed pursuant to Securities Act Rule

486(b)

486BPOS

EDGARLink

Template 3

XFDL

Technical

Specification

Definitive materials filed under

paragraph (a), (b), (c), (d), (e) or (f)

of Securities Act Rule 497

497

EDGARLink

Template 3

XFDL

Technical

Specification

Certification of no change in

definitive materials

497J

EDGARLink

Template 3

XFDL

Technical

Specification

A new registration statement on

Form N-2 filed under Securities Act

Rule 462(b) by closed-end

investment companies of up to an

additional 20% of securities for an

offering that was registered on Form

N-2

N-2MEF

EDGARLink

Template 1

XFDL

Technical

Specification

Post-effective amendment to

Securities Act Rule 462(b)

registration statement

POS462B

EDGARLink

Template 3

XFDL

Technical

Specification

EDGAR Filer Manual (Volume II)

3-48

February

2008

May 2008

CFR Form/

Schedule/

Rule

Form N-3

February

May

20082008

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Post-effective amendment to a

registration statement filed under

Securities Act Rule 462(c)

POS462C

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment filed

solely to add exhibits to a registration

statement

POS EX

EDGARLink

Template 3

XFDL

Technical

Specification

Definitive materials filed under

paragraph (a), (b), (c), (d), (e) or (f)

of Securities Act Rule 497

497

EDGARLink

Template 3

XFDL

Technical

Specification

Filings made pursuant to Rule

497(h)(2)

497H2

EDGARLink

Template 3

XFDL

Technical

Specification

Initial registration statement on Form

N-3 for separate accounts

(management investment companies)

N-3

EDGARLink

Template 1

XFDL

Technical

Specification

Pre-effective amendment to a

registration statement on Form N-3

for separate accounts (management

investment companies)(this filing

cannot be submitted as a 1940 Act

only filing)

N-3/A

EDGARLink

Template 1

XFDL

Technical

Specification

Post-effective amendment filed

pursuant to Securities Act Rule

485(a) (this filing cannot be

submitted as a 1940 Act only filing)

485APOS

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment filed

pursuant to Securities Act Rule

485(b) (this filing cannot be

submitted as a 1940 Act only filing)

485BPOS

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment (for filings

made under the 1940 Act only)

POS AMI

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment filed

pursuant to Securities Act Rule

485(b)(1)(iii) to designate a new

effective date for a post-effective

amendment previously filed pursuant

to Securities Act Rule 485(a) (this

filing cannot be submitted as a 1940

Act only filing)

485BXT

EDGARLink

Template 3

XFDL

Technical

Specification

Definitive materials filed under

paragraph (a), (b), (c), (d), (e) or (f)

of Securities Act Rule 497

497

EDGARLink

Template 3

XFDL

Technical

Specification

Certification of no change in

definitive materials under paragraph

(j) of Securities Act Rule 497

497J

EDGARLink

Template 3

XFDL

Technical

Specification

3-49

EDGAR Filer Manual (Volume II)

CFR Form/

Schedule/

Rule

Form N-4

Form N-6

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Initial registration statement on Form

N-4 for separate accounts (unit

investment trusts)

N-4

EDGARLink

Template 1

XFDL

Technical

Specification

Pre-effective amendment to a

registration statement on Form N-4

for separate accounts (unit

investment trusts)(this filing cannot

be submitted as a 1940 Act only

filing)

N-4/A

EDGARLink

Template 1

XFDL

Technical

Specification

Pre-effective pricing amendment

filed pursuant to Securities Act Rule

487

EDGARLink

Template 1

XFDL

Technical

Specification

Post-effective amendment filed

pursuant to Securities Act Rule

485(a) (this filing cannot be

submitted as a 1940 Act only filing)

485APOS

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment filed

pursuant to Securities Act Rule

485(b) (this filing cannot be

submitted as a 1940 Act only filing)

485BPOS

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment filed

pursuant to Securities Act Rule

485(b)(1)(iii) to designate a new

effective date for a post-effective

amendment previously filed pursuant

to Securities Act Rule 485(a) (this

filing cannot be submitted as a 1940

Act only filing)

485BXT

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment (for filings

made under the 1940 Act only)

POS AMI

EDGARLink

Template 3

XFDL

Technical

Specification

Definitive materials filed under

paragraph (a), (b), (c), (d), (e) or (f)

of Securities Act Rule 497

497

EDGARLink

Template 3

XFDL

Technical

Specification

Certification of no change in

definitive materials under paragraph

(j) of Securities Act Rule 497

497J

EDGARLink

Template 3

XFDL

Technical

Specification

Registration statement for separate

accounts (unit investment trusts)

N-6

EDGARLink

Template 1

XFDL

Technical

Specification

Pre-effective amendment to a

registration statement filed on Form

N-6 for separate accounts (unit

investment trusts)

N-6/A

EDGARLink

Template 1

XFDL

Technical

Specification

Pre-effective pricing amendment

filed pursuant to Securities Act Rule

487

EDGARLink

Template 1

XFDL

Technical

Specification

EDGAR Filer Manual (Volume II)

3-50

February

May 2008

2008

CFR Form/

Schedule/

Rule

Form S-6

February

May

20082008

Description

Submission

Type

Tool/

Template

Number

FilerConstructed

Form Spec.

Post-effective amendment filed

pursuant to Securities Act Rule

485(a) (this filing cannot be

submitted as a 1940 Act only filing)

485APOS

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment filed

pursuant to Securities Act Rule

485(b) (this filing cannot be

submitted as a 1940 Act only filing)

485BPOS

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment filed

pursuant to Securities Act Rule

485(b)(1)(iii) to designate a new

effective date for a post-effective

amendment previously filed pursuant

to Securities Act Rule 485(a) (this

filing cannot be submitted as a 1940

Act only filing)

485BXT

EDGARLink

Template 3

XFDL

Technical

Specification

Post-effective amendment (for filings

made under the 1940 Act only)

POS AMI

EDGARLink

Template 3

XFDL

Technical

Specification

Definitive materials filed

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