10k-filing - 8k-filing ? - 500 Beiträge pro Seite

[Inkmarker]

@ all!

Ich habe mal eine Frage.

Wer kann mir den Unterschied zwischen einem 10k-filing und einem 8k-filing u.s.w. erklären?

DANKE


Inkmarker

[Wunram]

@inkmarker

viel Spass beim Lesen

http://www.sec.gov/info/edgar/forms/edgform.htm#table1

Gruss Wunram

[2Leasy]

Also ganz genau kann ich dir es auch nicht erklären. Das sind halt unterschiedliche Formularformen des SEC....
Alles was mit 10 zu tun hat, betrifft Quartalszahlen oder Jahresbilanzen. Die 8er Filings betreffen meist irgendwelche Mitteilungspflichtigen Änderungen wie z.B. den Wechsel des CEO oder ähnliches

[Inkmarker]

Besten Dank!

Für alle Interessierten:



Form Types Used for Electronic Filing on EDGAR
Note: We extracted the following descriptions of SEC Forms from the EDGAR Filer Manual (v.8.6). Although the manual is aimed at a technical audience, the tables below can help investors to decipher form names and locate company filings. To view a blank PDF version of a particular form, please visit the Forms section of our website.

A. Submission Types Accepted for Electronic Filing
This Appendix provides tables listing all submission types accepted by EDGAR. Use this Appendix to find a description of EDGAR submission types and to identify the templates used to recognize different submission types.

A.1 How Tables are Organized
The tables are organized by the Act under which they are used. Each table has four headings: Filing Type; Description; Submission Type; and Appendix B Template Number.

A.1.1 Filing Type
The Filing Type column lists the names of the forms, rules, or schedules as they appear in the Code of Federal Regulations (CFR).

A.1.2 Description
The Description column explains the purpose of the form.

A.1.3 Submission Type
The Submission Type column lists the names of the submission types that correspond to the filing type.

A.1.4 Template Number
The Template column shows the template number as recognized by EDGAR.



APPENDIX A
Submission Types Accepted for Electronic Filing
Table of Contents
Table
Page

TABLE 1
Securities Act Submission types Accepted by EDGAR
A-3

TABLE 2
Securities Exchange Act - Proxy Materials and Information
Statements Filed Pursuant to Section 14 Submission types Accepted by EDGAR
A-10

TABLE 3
Securities Exchange Act - Registration and Report Submission types Accepted by EDGAR
A-12

TABLE 4
Williams Act Filing Submission types Accepted by EDGAR
A-16

TABLE 5
Public Utility Holding Company Act Submission types Accepted by EDGAR
A-18

TABLE 6
Investment Company Submission types Accepted by EDGAR
A-20

TABLE 7
Development Bank Submission types Accepted by EDGAR
(These submission types are to be used ONLY by the Development Banks.)
A-29

TABLE 8
Correspondence Submission Types
A-29



TABLE 1. Securities Act Submission Types Accepted by EDGAR
Filing Type
Description
Submission Type
Template Number

F-1
Registration statement for certain foreign private issuers:
Initial statement
Pre-effective amendments
Post-effective amendments

F-1
F-1/A
POS AM

1
1
3

F-1MEF
A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-1.
Post-effective amendments


F-1MEF
POS462B


1
3

F-2
Registration statement for certain foreign private issuers:
Initial statement
Pre-effective amendments
Post-effective amendments

Registration of securities pursuant to dividend or interest re-investment plans:
Initial statement
Post-effective amendments

F-2
F-2/A
POS AM



F-2
DF-2DPOS

1
1
1



1
1

F-2MEF
A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-2.
Post-effective amendments


F-2MEF
POS462B


1
3

F-3
Registration statement for specified transactions by certain foreign private issuers:
Initial statement
Pre-Effective amendments
Post-Effective amendments

Registration of securities pursuant to dividend or interest reinvestment plans
Initial statement
Post-effective amendments


F-3
F-3/A
POS AM



F-3D
F-3DPOS


1
1
1



1
1

F-3MEF
A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-3.
Post-effective amendments


F-3MEF
POS462B


1
3

F-4
Registration statement for securities issued by foreign private issuers in certain business combination transactions:
Initial statement
Pre-effective amendments
Post-effective amendments



F-4
F-4/A
F-4 POS



1
1
1

F-4EF
Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions:
Initial statement
Pre-effective amendments
Post-effective amendments



F-4 EF
F-4 EF/A
F-4 POS



1
1
1

F-4MEF
A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-4.
Post-effective amendments


F-4MEF
POS462B


1
3

F-6
Registration statement for American Depositary
Receipt shares that is not automatically effective upon filing:
Initial statement
Pre-effective amendments
Post-effective amendments
Filing to become effective immediately upon filing:
Initial statement
Post-effective amendments



F-6
F-6/A
POS AM

F-6EF
F-6 POS



1
1
1

1
1

F-7
Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933:
Initial statement
Pre-effective amendments
Post-effective amendments




F-7
F-7/A
F-7 POS




1
1

F-8
Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933:
Initial statement
Pre-effective amendments
Post-effective amendments



F-8
F-8/A
F-8 POS



1
1
1

F-9
Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933:
Initial statement
Auto-effective
Pre-effective amendments
Post-effective amendments



F-9
F-9 EF
F-9/A
F-9 POS



1
1
1
1

F-10
Registration statement for securities of certain Canadian issuers under the Securities Act of 1933:
Initial statement
Auto-effective
Pre-effective amendments
Post-effective amendments


F-10
F-10 EF
F-10/A
F-10 POS


1
1
1
1

F-80
Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933:
Initial statement
Pre-effective amendments
Post-effective amendments



F-80
F-80/A
F-80 POS



1
1
1

S-1
General form of registration statement:
Initial statement
Pre-effective amendments
Post-effective amendments

S-1
S-1/A
POS AM

1
1
1

S-1MEF
A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-1.
Post-effective amendments


S-1MEF
POS462B


1
3

S-2
Registration of securities of certain issuers:
Initial statement
Pre-effective amendments
Post-effective amendments

S-2
S-2/A
POS AM

1
1
1

S-2MEF
A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-2.
Post-effective amendments


S-2MEF
POS462B


1
3

S-3
Registration statement for specified transactions by certain issuers:
Initial statement
Pre-effective amendments
Post-effective amendments
Registration of securities pursuant to dividend or interest reinvestment plans which become effective automatically upon filing:
Initial statement
Post-effective amendments


S-3
S-3/A
POS AM



S-3D
S-3DPOS


1
1
1



1
1

S-3MEF
A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-3.
Post-effective amendments


S-3MEF
POS462B


1
3

S-4
Registration of securities issued in business combination transactions
Initial statement
Pre-effective amendments
Post-effective amendments

Securities issued in connection with the formation of a bank or savings and loan holding company in compliance with General Instruction G.
Initial statement
Pre-effective amendments
Post-effective amendments


S-4
S-4/A
POS AM




S-4EF
S-4EF/A
S-4 POS


1
1
1




1
1
1

S-4MEF
A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-4.
Post-effective amendments


S-4MEF
POS462B


1
3

S-8
Securities to be offered to employees pursuant to employee benefit plans
Initial statement
Post-effective amendments


S-8
S-8 POS


1
1

S-11
Registration statement for securities to be issued by real estate companies:
Initial statement
Pre-effective amendments
Post-effective amendments


S-11
S-11/A
POS AM


1
1
1

S-11MEF
A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-11.
Post-effective amendments


S-11MEF
POS462B


1
3

S-20
For standardized options:
Initial statement
Pre-effective amendments
Post-effective amendments

S-20
S-20/A
POS AM

1
1
1

S-B
Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B):
Initial statement
Pre-effective amendments
Post-effective amendments



S-B
S-B/A
POS AM



1
1
1

S-BMEF
New registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-B.
Initial statement
Post effective amendment



S-BMEF
POS462B



1
3

SB-1
Optional form for the registration of securities to be sold to the public by small business issuers:
Initial statement
Pre-effective amendments
Post-effective amendments


SB-1
SB-1/A
POS AM


1
1
1

SB-1MEF
A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form SB-1.
Post-effective amendments


SB-1MEF
POS462B


1
3

SB-2
Optional form for the registration of securities to be sold to the public by small business issuers:
Initial statement
Pre-effective amendments
Post-effective amendments


SB-2
SB-2/A
POS AM


1
1
1

SB-2MEF
A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form SB-2.
Post-effective amendments


SB-2MEF
POS462B


1
3

POS462C
Post-effective amendment to a registration statement filed under Rule 462(c).

POS462C

3

POS EX
Post-effective amendment filed solely to add exhibits to a registration statement.

POS EX

3

POS AM
Post-effective amendments to provide updated prospectus information.

POS AM

1

PROSPECTUSES FILED PURSUANT TO RULE 424


Filed pursuant to Rule 424(a).
Filed pursuant to Rule 424(b)(1).
Filed pursuant to Rule 424(b)(2).
Filed pursuant to Rule 424(b)(3).
Filed pursuant to Rule 424(b)(4).
Filed pursuant to Rule 424(b)(5).
Filed pursuant to Rule 424(b)(7).
424A
424B1
424B2
424B3
424B4
424B5
424B7
3
3
3
3
3
3
3

FILINGS PURSUANT TO THE TRUST INDENTURE ACT

305B2
Initial statement
Pre-effective amendments
305B2
305B2/A
3
3

T-3
Application for qualification of trust indentures:
Initial statement
Pre-effective amendments

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

1
1/A

T-6
Application for determination of eligibility of a foreign person to act as institutional trustee filed pursuant to Section 310(a)(1) of the Trust Indenture Act of 1939:
Initial statement
Pre-effective amendments



T-6
T-6/A



1
1

FILINGS PURSUANT TO RULE 144

144
Report of proposed sale of securities:
Initial filing
Amendments

Note: Form 144 may be filed electronically on a voluntary basis if the issuer of the securities is a public company.

144
144/A

2
2

MISCELLANEOUS FILINGS

DEL AM

UNDER



SUPPL



RW

RW WD

AW

AW WD


425


F-X
Delaying amendment.

Information pursuant to Item 4 of Form S-6.
Amendment to information pursuant to Item 4 of
Form S-6.

Voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers

Registration Withdrawal Request

Withdrawal of a Registration Withdrawal Request

Amendment Withdrawal Request

Withdrawal of a Amendment Registration Withdrawal Request

Filing of certain prospectuses and communications in connection with business combination transactions.

Appointment of Agent for Service of Process and Undertaking:
Initial statement
Amendments
DEL AM

UNDER

UNDER/A



SUPPL

RW

RW WD

AW

AW WD


425




F-X
F-X/A
3

3

3



2

3

1

3

1


2




2
2

F-N
Notification of the appointment of an agent for service by certain foreign institutions
Initial statement
Amendments


F-N
F-N/A


2
2


Special Processing of Certain Submission Types
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-1MEF
F-2MEF
F-3MEF
F-4MEF

N-14MEF
N-2MEF
POS462B
S-11MEF

S-1MEF
S-2MEF
S-3MEF
S-4MEF

SB-1MEF
SB-2MEF
S-BMEF



TABLE 2. Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant to Section 14 Submission types Accepted by EDGAR
Filing Type
Description
Submission Type
Template Number

PRELIMINARY PROXY SOLICITING MATERIALS


Preliminary proxy statements relating to merger or acquisition

Preliminary proxy statements - contested solicitations

Non-management preliminary proxy statements not involving contested solicitations

All other preliminary proxy statements

PREM14A

PREC14A


PREN14A

PRE 14A

2

2


2

2

PRELIMINARY INFORMATION STATEMENTS


Preliminary information statements relating to merger or acquisition

Preliminary information statements -contested solicitations

All other preliminary information statements

PREM14C


PREC14C

PRE 14C

2


2

2

REVISED PRELIMINARY MATERIALS


Proxy soliciting materials

Non-management revised preliminary proxy soliciting materials for both contested solicitations and other situations.

Information statements
PRER14A



PRRN14A

PRER14C
2



2

2

DEFINITIVE MATERIALS (PROXY MATERIALS)


Definitive proxy statement relating to merger or acquisition

Definitive proxy statement in connection with contested solicitations

Definitive proxy statement filed by non-management not in connection with contested solicitations
DEFM14A


DEFC14A


DEFN14A
2


2


2


Revised definitive proxy statement filed by non-management

Revised definitive proxy soliciting materials

Additional definitive proxy soliciting materials and Rule 14(a)(12) material

Additional definitive proxy soliciting materials filed by non-management and Rule 14(a)(12) material

All other definitive proxy statements.

Notice of exempt solicitation

Notice of exempt solicitation pursuant to Rule 14a6(g).

DFRN14A

DEFR14A


DEFA14A


DFAN14A

DEF 14A

PX14A6G

PX14A6N

2

2


2


2

2

2

2

DEFINITIVE MATERIALS (INFORMATION STATEMENTS)


Definitive information statement relating to merger or acquisition

Definitive information statement - contested solicitations

All other definitive information statements

Additional information statement materials - definitive

Revised information statement materials - definitive

DEFM14C

DEFC14C

DEF 14C

DEFA14C

DEFR14C

2

2

2

2

2


Table 3. Securities Exchange Act - Registration and Report Submission types Accepted by EDGAR
Filing Type
Description
Submission Type
Template Number

REGISTRATION STATEMENTS

8-A
Registration of certain classes of securities pursuant to section 12(b) or (g)

Registration of securities pursuant to section 12(b)
Initial filing
Amendments

Registration of securities pursuant to section 12(g)
Initial filing
Amendments




8-A12B
8-A12B/A


8-A12G
8-A12G/A




3
3


3
3

10
General form for registration of securities pursuant to section 12(b) or (g)

Registration of securities pursuant to section 12(b)
Initial filing
Amendments

Registration of securities pursuant to section 12(g)
Initial filing
Amendments




10-12B
10-12B/A


10-12G
10-12G/A




3
3


3
3

10-SB
Registration of securities for small business issuers pursuant to section 12(b)
Initial filing
Amendments

Registration of securities for small business pursuant to section 12(g)
Initial filing
Amendments


10SB12B
10SB12B/A



10SB12G
10SB12G/A


3
3



3
3

20-F
Registration of securities of foreign private issuers pursuant to section 12(b) or (g)

Registration of securities pursuant to section 12(b)
Initial filing
Amendments

Registration of securities pursuant to section 12(g)
Initial filing
Amendments




20FR12B
20FR12B/A


20FR12G
20FR12G/A




3
3


3
3

40-F
Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act:
Initial filing
Amendments

Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act:
Initial filing
Amendments


40FR12B
40FR12B/A



40FR12G
40FR12G/A


3
3



312G
3

18
Registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(b) or 12(g)

Registration of securities pursuant to section 12(b)
Initial filing
Amendments

Registration of securities pursuant to section 12(g)
Initial filing
Amendments





18-12B
18-12B/A


18-12G
18-12G/A





3
3


3
3

ANNUAL, QUARTERLY, AND PERIODIC REPORTS

ARS
Annual Report to Security Holders
Amendments

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. See Appendix C for proper tagging of Exhibit 13.
ARS
ARS/A
3
3

6-K
Report of foreign issuer pursuant to Rules 13a-16 and 15d-16
Initial filing
Amendments


6-K
6-K/A


3
3

10-Q
Quarterly report filed pursuant to sections 13 or 15(d)
Initial filing
Amendments

Transition reports pursuant to rule 13a-10 or 15d-10
Initial filing
Amendments

10-Q
10-Q/A


10-QT
10-QT/A

3
3


3
3

10-QSB
Optional form for quarterly and transition reports of small business issuers under section 13 or 15(d)
Initial filing
Amendments


10QSB
10QSB/A


3
3

10-K
Annual report pursuant to section 13 and 15(d)
Initial filing
Amendments

Transition reports pursuant to rule 13a-10 or 15d-10
Initial filing
Amendments

10-K
10-K/A


10-KT
10-KT/A

3
3


3
3

10KSB
Optional form for annual and transition reports of small business issuers under section 13 or 15(d)
Initial filing
Amendments


10KSB
10KSB/A


3
3

8K
Current report
Initial Filing
Amendments

Notification of securities of successor issuers deemed to registered pursuant to section 12
Initial Filing
Amendments

Notification of assumption of duty to report by successor issue under section 15(d)
Initial Filing
Amendments

Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(b):
Initial Filing
Amendments

8-K
8-K/A



8-K12G3
8-K12G3/A



8-K15D5
8-K15D5/A



8-K12B
8-K12B/A

3
3



3
3



3
3



3
3

11-K
Annual report of employee stock purchase, savings and similar plans
Initial Filing
Amendments

Transition report pursuant to rule 13a-10 or 15d-10
Initial Filing
Amendments


11-K
11-K/A


11-KT
11-KT/A


3
3


3
3

18-K
Annual report for foreign governments and political subdivisions
Initial filing
Amendments


18-K
18-K/A


3
3

20-F
Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d)
Initial filing
Amendments


20-F
20-F/A


3
3

40-F
Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4:
Initial filing
Amendments


40-F
40-F/A


3
3

12b-25
Notification of inability to timely file:

Form 10-Q or 10-QSB
Initial filing
Amendments

Form 10-K, 10-KSB, or 10-KT
Initial filing
Amendments

Form 11-K
Initial filing
Amendments

Special report pursuant to section 15d-2
Initial filing
Amendments

Form 20-F
Initial filing
Amendments



NT 10-Q
NT 10-Q/A


NT 10-K
NT 10-K/A


NT 11-K
NT 11-K/A


NT 15D2
NT 15D2/A


NT 20-F
NT 20-F/A



3
3


3
3


3
3


3
3


3
3

15
Certification of termination of registration of a class of security under Section 12(g) or notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
Section 12(b)
Initial Filing
Amendments
Section 12(g)
Initial Filing
Amendments
Section 13 and 15(d)
Initial Filing
Amendments





15-12B
15-12B/A

15-12G
15-12G/A

15-15D
15-15D/A





3
3

3
3

3
3

See Rule 15d-2
Special Financial Report pursuant to Rule 15d-2
Initial filing
Amendments

SP 15D2
SP 15D2/A

3
3

MISCELLANEOUS SUBMISSION TYPES/FILINGS

Form 13F
Quarterly reports filed by institutional managers
13F Holdings Report
Initial filing
Amendments
13F Notice Report
Initial filing
Amendments
13F Combination Report
Initial filing
Amendments


13F-HR
13F-HR/A

13F-NT
13F-NT/A

13F-HR
13F-HR/A


3
3

3
3

3
3

Form RW
Request for Withdrawal of a registration statement
Withdrawal of a registration withdrawal statement
RW
RW WD
3
1

Form AW
Amendment Withdrawal of an amendment to a registration statement
Withdrawal of a amendment registration withdrawal statement

AW

AW WD

3

1

Form 425
Filing of certain prospectuses and communications in connection with business combination transactions.

425

2

Form 25
Notification filed by National Securities Exchange to report the removal from listing and registration of matured, redeemed or retired securities:
Initial Filing
Amendments



25
25/A



3
3


TABLE 4. Williams Act Filing Submission Types Accepted by EDGAR
Filing Type
Description
Submission Type
Template Number

Schedule 13D
General statement of acquisition of beneficial ownership
Initial statement
Amendments

SC 13D
SC 13D/A

2
2

n/a
Statement of issuer required by Rule 13e-1
Initial statement
Amendments

SC 13E1
SC 13E1/A

2
2

Schedule 13E-3
Going private transaction by certain issuers
Initial statement
Amendments

SC 13E3
SC 13E3/A

2
2

Schedule 13E4F
Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers:
Initial statement
Amendments


SC13E4F
SC13E4F/A


2
2

Schedule 13G
Statement of acquisition of beneficial ownership by certain persons
Initial statement
Amendments


SC 13G
SC 13G/A


2
2

Schedule TO-I
Tender offer statement by Issuer
Initial statement
Amendments
&nbs;
SC TO-I
SC TO-I/A

2
2

ScheduleTO-T
Tender offer statement by Third Party
Initial statement
Amendments

SC TO-T
SC TO-T/A

2
2

Schedule TO-C
Written communication relating to an issuer or third party

SC TO-C

2

Schedule 14D1F
Tender offer statement pursuant to rule 14d-1(b) under Securities Exchange Act of 1934:
Initial statement
Amendments


SC14D1F
SC14D1F/A


2
2

Schedule 14D9-C
Written communication by the subject company relating to a third party tender offer

SC14D9C

2

Schedule 14D9
Solicitation/recommendation statements
Initial statement
Amendments

SC 14D9
SC 14D9/A

2
2

Schedule 14D9F
Solicitation/recommendation statement pursuant to Section 14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c) by foreign issuers:
Initial statement
Amendments




SC14D9F
SC14D9F/A




2
2

n/a
Statement regarding change in majority of directors pursuant to Rule 14f-1
Initial statement
Amendments


SC 14F1
SC 14F1/A


2
2

CB
Notification form filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons
Initial statement
Amendments





CB
CB/A





2
2


TABLE 5. Public Utility Holding Company Act Submission Types Accepted by EDGAR
Filing Type
Description
Submission Type
Template Number

Form U-1
Annual report for mutual and subsidiary service companies filed pursuant to Rule 94
Initial filing
Amendments


U-13-60
U-13-60/A


3
3

Form U-3A-2
Statement by holding company claiming exemption from provisions of the act pursuant to Rule 2
Initial statement
Amendments


U-3A-2
U-3A-2/A


3
3

Form U-6B-2
Certificate of notification of security issue, renewal or guaranty filed pursuant to Rule 20(d)
Initial filing
Amendments


U-6B-2
U-6B-2/A


3
3

Form U5A
Notification of registration filed under section 5(a) of the act
Initial filing
Amendments


U5A
U5A/A


3
3

Form U5B
Registration statement filed under section 5 of the act
Initial statement
Amendments

U5B
U5B/A

3
3

Form U5S
Annual report for holding companies registered pursuant to section 5 of the act
Initial filing
Amendments


U5S
U5S/A


3
3

Form U-9C-3
Quarterly report concerning energy and gas-related companies pursuant to Rule 58 of the Act
Initial filing
Amendments


U-9C-3
U-9C-3/A


3
3

Form U-12-IA
Statement pursuant to section 12(i) of the Act by person employed or retained by a registered holding company or a subsidiary thereof
Initial statement
Amendments



U-12-IA
U-12-IA/A



2
2

Form U-12-IB
Three-year statement pursuant to section 12(i) of the Act by person regularly employed or retained by a registered holding company or a subsidiary thereof
Initial statement
Amendments



U-12-IB
U-12-IB/A



2
2

Form U-13E-l
Report by affiliate service companies or independent service companies filed pursuant to Rule 95
Initial filing
Amendments


U-13E-l
U-13E-l/A


2
2

Form U-33-S
Annual report Concerning Foreign Utility Companies pursuant to Section 33(e) of the Act
Initial filing
Amendments


U-33-S
U-33-S/A


3
3

Form U-57
Notification of Foreign Utility Company Status under Section 33(a)(2) of the Act
Initial filing
Amendments


U-57
U-57/A


2
2


TABLE 6. Investment Company Submission types Accepted by EDGAR
Filing Type
Description
Submission Type
Template Number

Forms S-1 & S-3
Registration statement for face-amount certificate companies
Initial statement (Form S-1)
Pre-effective amendments (Form S-1)
Initial statement (Form S-3)
Pre-effective amendments (Form S-3)

S-1
S-1/A
S-3
S-3/A

1
1
1
1


Post-effective amendments (Submission types S-1 and S-3)

POS AM

3


Definitive materials
Certification of no change in definitive materials
497
497J
3
3

Forms N-1 & N-1A
Registration statement for open-end management investment companies
Initial statement (Form N-1A)
Pre-effective amendments (Form N-1A)
Initial statement (Form N-1)
Pre-effective amendments (Form N-1)


N-1A
N-1A/A
N-1
N-1/A


1
1
1
1


Post-effective amendments
Filed pursuant to Rule 485(a)
Filed pursuant to Rule 485(b)
Filing submitted under the 1940 Act only
Filed pursuant to Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)
485APOS
485BPOS
POS AMI




485BXT
3
3
3




3


Definitive materials
Certification of no change in definitive materials
497
497J
3
3

Rule 498
Profiles for certain open-end management investment companies
Filed pursuant to Rule 497(k)(1)(i)
Filed pursuant to Rule 497(k)(1)(ii)
Filed pursuant to Rule 497(k)(1)(iii)(A)
Filed pursuant to Rule 497(k)(1)(iii)(B)


497K1
497K2
497K3A
497K3B


3
3
3
3

Form N-2
Registration statement for closed-end investment companies
Initial statement
Pre-effective amendments
Post-effective amendments
Filed under the 1940 Act only


N-2
N-2/A

POS AMI


1
1

3


Filed under the 1933 Act only or under both the 1933 and 1940 Acts pursuant to Section 8(c) of the 1933 Act:
Pursuant to Rule 486(a)
Initial statement
Post-effective amendment
Pursuant to Rule 486(b)
Initial statement
Post-effective amendment

POS 8C

N-2
486APOS

N-2
486BPOS

3

1
3

1
3


Definitive materials
Certification of no change in definitive materials
497
497J
3
3


Registration pursuant to Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on Form N-2


N-2MEF


1


Post-effective amendment to Securities Act Rule 462(b) registration statement

POS462B

3


Post-effective amendment to Securities Act Rule 462(c) registration statement

POS462C

3


Post-effective amendment filed pursuant to Rule 462(d) solely to add exhibits to a registration statement.

POS EX

3

Definitive materials
Filings made pursuant to Rule 497(h)(2)
497
497H2

3
3


Special Processing of Certain Submission Types

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:

N-2MEF
N-14MEF
POS462B


Additionally, any fee payment certification that is being made for the above listed submission types, pursuant to Rule 111(b), should be submitted using the "CORRESP" submission type.

TABLE 6. Investment Company Submission types Accepted by EDGAR (Continued)
Filing Type
Description
Submission Type
Template Number

Form N-3
Registration statement for separate accounts (management investment companies)
Initial statement
Pre-effective amendments

N-3
N-3/A

1
1


Post-effective amendments
Filed pursuant to Rule 485(a)
Filed pursuant to Rule 485(b)
Filed pursuant to Rule 8b-16 of the 1940 Act (for filings made under the 1940 Act only)
Filed pursuant to Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)
Definitive materials
Certification of no change in definitive materials
485APOS
485BPOS

POS AMI




485BXT
497
497J
3
3

3




3
3
3

Form N-4
Registration statement for separate accounts (unit investment trusts)
Initial statement
Pre-effective amendments


N-4
N-4/A


1
1


Pre-effective pricing amendments filed pursuant to Rule 487

487

1


Post-effective amendments
Filed pursuant to Rule 485(a)
Filed pursuant to Rule 485(b)
Filed pursuant to Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)
Filed pursuant to Rule 8b-16 of the 1940 Act (for filings made under the 1940 Act only)
485APOS
485BPOS




485BXT

POS AMI
3
3




3

3


Definitive materials
Certification of no change in definitive materials
497
497J
3
3

Form N-6
Registration statement for separate accounts (unit investment trusts)
Initial statement
Pre-effective amendments

Pre-effective pricing amendments filed pursuant to Rule 487

Post-effective amendments
Filed pursuant to Rule 485 (a)
Filed pursuant to Rule 485 (b)
Filed pursuant to Rule 485 (b) (1) (v) to designate a new effective date for a post-effective amendment previously filed pursuant to Rule 485 (a) (This filing cannot be submitted as a 1940 Act-only filing)
Filed pursuant to Rule 8b-16 of the 1940 Act (for filings made under the 1940 Act only)
Definitive materials
Certification of no change in definitive materials

N-6
N-6/A


487


485APOS
485BPOS




485BXT

POS AMI
497
497J

1
1


1


3
3




3

3
3
3

Form S-6
Registration statement for unit investment trusts
Initial statement
Pre-effective amendments

S-6
S-6/A

1
1


Pre-effective pricing amendments filed pursuant to Rule 487

487

1


Undertaking to file reports
Initial filing
Amendments

UNDER
UNDER/A

3
3


Post-effective amendments
Filed pursuant to Rule 485(a)
Filed pursuant to Rule 485(b)
Filed pursuant to Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Rule 485(a) (This filing cannot be submitted as a 1940 Act only filing.)
485APOS
485BPOS




485BXT
3
3




3


Definitive materials
Certification of no change in definitive materials
497
497J
3
3

Form N-5
Registration statement for small business investment companies
Initial statement
Pre-effective amendments


N-5
N-5/A


1
1



Post-effective amendments (for filings made under the1940 Act only)
Post-effective amendments filed by certain investment companies pursuant to Section 8(c) of the 1933 Act (this filing cannot be submitted as a 1940 Act only filing)

POS AMI



POS 8C

3



3


Definitive materials
Certification of no change in definitive materials
497
497J
3
3

Form N-14
Registration statement for open-end investment company (business combinations)
Initial statement
Pre-effective amendments
Initial statement with automatic effectiveness under Rule 488
Pre-effective amendments


N-14
N-14/A

N-14AE
N-14AE/A


1
1

1
1


Post-effective amendments
Filed pursuant to Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)
Filed pursuant to Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing)


485APOS

485BPOS


3

3


Registration statement for closed-end investment company (business combinations)
Initial statement
Pre-effective amendments
Post-effective amendments


N-14 8C
N-14 8C/A
POS 8C


1
1
3


Definitive materials
Certification of no change in definitive materials
497
497J
3
3


Registration pursuant to Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on Form N-14


N-14MEF


1


Post-effective amendment to Securities Act Rule 462(b) registration statement

POS462B

3


Post-effective amendment to Securities Act Rule 462(c) registration statement

POS462C

3


Definitive materials
497
3

MISCELLANEOUS FILINGS UNDER THE SECURITIES ACT

Rule 425
Filing of certain prospectuses and communications in connection with business combination transactions

425

2

Rule 473
Filing of certain delaying amendments to Securities Act registration statements

DEL AM

3

Rule 477
Withdrawal of registration statement filed under the Securities Act

Withdrawal of registration statement withdrawal request

Withdrawal of amendment to registration statement filed under the Securities Act

Withdrawal of registration statement amendment withdrawal request

RW

RW WD


AW


AW WD

3

1


3


1

Rule 482
Filing by certain investment companies of Rule 482 advertising in accordance with Rule 497 and the NOTE to Rule 482(c)


497AD


3

REGISTRATION OF SECURITIES BY CERTAIN INVESTMENT COMPANIES PURSUANT TO RULE 24F-2.

Rule 24F-2
Rule 24F-2 notice
Amendment to Rule 24F-2 notice
24F-2NT
24F-2NT /A
1
1

OTHER COMPANY ACT REGISTRATION STATEMENTS

Form N-8A
Notification of registration under section 8(a)
Initial filing
Amendments

N-8A
N-8A/A

2
2

Form N-8B-2
Registration statement for unit investment trusts
Initial filing
Amendments

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

2
2

Form N-8B-3
Registration statement for periodic payment Plans
Initial
Amendments

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

2
2

Form N-8B-4
Registration statement for face-amount certificate companies
Initial
Amendments


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


2
2

SUBMISSION TYPES FOR BUSINESS DEVELOPMENT COMPANIES

Form N-6F
Notice of intent by business development companies electing to be subject to Sections 55 through 65 of the 1940 Act
Initial filing
Amendments



N-6F
N-6F/A



2
2

Form N-54A
Notification of election by business development companies
Initial filing
Amendments


N-54A
N-54A/A


2
2

Form N-54C
Notification of withdrawal by business development companies
Amendments

N-54C
N-54C/A

2
2

OTHER INVESTMENT COMPANY SUBMISSION TYPES

Rule 8b-25(a)
Filing by investment company of application requesting extension of time for filing certain information, document or report.


40-8B25


2

Form 17F-1
Certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1
Initial filing
Amendments



40-17F1
40-17F1/A



2
2

Form 17F-2
Certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2
Initial filing
Amendments



40-17F2
40-17F2/A



2
2

Form N-18F-1
Notification of election pursuant to Rule 18f-1
Initial filing
Amendments

N-18F1
N-18F1/A

2
2

Form N-23C-1
Reports by closed-end investment companies of purchase of their own securities
Initial filing
Amendments


N-23C-1
N-23C-1/A


2
2

Rule 23c-2(b)
Notice by closed-end investment companies of intention to call or redeem their own securities
Initial filing
Amendments


N-23C-2
N-23C-2/A


2
2

Form N-23C-3
Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only
Initial filing
Amendments
Filed pursuant to Rule 23c-3(c) only
Initial filing
Amendments
Filed pursuant to Rule 23c-3(b) and (c)
Initial filing
Amendments


N-23C3A
N-23C3A/A

N-23C3B
N-23C3B/A

N-23C3C
N-23C3C/A


2
2

2
2

2
2

Form N-27D-1
Accounting for segregated trust accounts
Initial filing
Amendments

N-27D-1
N-27D-1/A

2
2

PERIODIC REPORTS FOR REGISTERED INVESTMENT COMPANIES

Form N-SAR
Semi-annual report for management companies
Amendments to semi-annual report
Transitional semi-annual report

Amendments to transitional semi-annual report
Annual report for management companies
Amendments to annual report
Transitional annual report

Amendments to transitional annual report
Annual report for unit investment trusts
Amendments to annual report for unit investment trusts
NSAR-A
NSAR-A/A
NSAR-AT

NSAR-AT/A
NSAR-B
NSAR-B/A
NSAR-BT

NSAR-BT/A
NSAR-U
NSAR-U/A
3
3
3

3
3
3
3

3
3
3

Form N-CSR
Certified annual shareholder report of registered management investment companies
Amendments

N-CSR
N-CSR/A

3
3


Certified semi-annual shareholder report of registered management investment companies
Amendments

N-CSRS
N-CSRS/A

3
3

Form N-PX
Annual Report of Proxy Voting Record of Registered Management Investment Companies
Amendments

N-PX
N-PX/A

3
3

Submission types N-Q and N-Q/A are to be used only in the event the SEC adopts Form N-Q.

Form N-Q
Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company
Amendments

N-Q
N-Q/A

3
3

Rule 12b-25
Notification of inability to timely file Form N-SAR
Initial Filing
Amendments

Notification of inability to timely file Form N-CSR
Initial filing
Amendments

NT-NSAR
NT-NSAR/A


NT-NCSR
NT-NCSR/A

3
3


3
3

Rule 30b2-1
Annual and semi-annual reports mailed to shareholders pursuant to Rule 30e-1 (other than those required to be submitted as part of Form N-CSR)
Amendments
Periodic and interim reports mailed to shareholders (other than annual and semi-annual reports mailed to shareholders pursuant to Rule 30e-1)


N-30D
N-30D/A


N-30B-2


3
3


3

APPLICATION FOR DEREGISTRATION OF INVESTMENT COMPANIES

Form N-8F
Application for deregistration
Under paragraph (a) of Instruction 1 of Form N-8F (Merger) Initial application
Amendments
Under paragraph (b) of Instruction 1 of Form N-8F (Liquidation)
Initial application
Amendments
Under paragraph (c) of Instruction 1 of Form N-8F (Abandonment of Registration)
Initial application
Amendments
Under paragraph (d) of Instruction 1 of Form N-8F (Business Development Company)
Initial application
Amendments


40-8F-M
40-8F-M/A


40-8F-L
40-8F-L/A


40-8F-A
40-8F-A/A


40-8F-B
40-8F-B/A


2
2


2
2


2
2


2
2

Rule 0-2
Application for deregistration
Pursuant to Rule 0-2
Initial application
Amendments


40-8F-2
40-8F-2/A


2
2


TABLE 7. Development Bank Submission Types Accepted by EDGAR
Filing Type
Description
Submission Type
Template Number

QRTLYRPT
Periodic Development Bank filing, submitted quarterly:
Initial filing
Amendments

QRTLYRPT
QRTLYRPT/A

2
2

ANNLRPT
Periodic Development Bank filing, submitted annually:
Initial filing
Amendments

ANNLRPT
ANNLRPT/A

2
2

DSTRBRPT
Distribution of primary obligations Development Bank report:
Initial filing
Amendments


DSTRBRPT
DSTRBRPT/A


2
2

Notes:
(1) These submission types are to be filed ONLY by the Development Banks.
(2) BW-2 and BW-3 submission types have been rescinded; please use QRTLYRPT,
ANNLRPT, and DSTRBRPT Form Types.


TABLE 8. Correspondence Submission Types
Filing Type
Description
Submission Type
Template Number

Correspondence
A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
Correspondence is not publicly disseminated.
CORRESP
4


http://www.sec.gov/info/edgar/forms/edgform.htm



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