List of Supported Forms
Submission Type |
Description |
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Initial general form for registration of a class of securities pursuant to section |
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12(b) |
Amendment |
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Initial general form for registration of a class of securities pursuant to section |
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12(g) |
Amendment |
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Periodic Distribution Reports by |
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Amendment |
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Annual report pursuant to section 13 and 15(d) |
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Amendment |
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Transition report pursuant to Rule |
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Amendment |
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Quarterly report pursuant to sections 13 or 15(d) |
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Amendment |
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Transition report pursuant to Rule |
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Amendment |
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10KSB |
Optional form for annual and transition reports of small business issuers under |
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section 13 or 15(d) |
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10KSB/A |
Amendment |
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10QSB |
Optional form for quarterly and transition reports of small business issuers under |
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section 13 or 15(d) |
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10QSB/A |
Amendment |
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10SB12B |
Form for initial registration of a class of securities for small business issuers |
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pursuant to section 12(b) |
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10SB12B/A |
Amendment |
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10SB12G |
Form for initial registration of a class of securities for small business issuers |
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pursuant to section 12(g) |
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10SB12G/A |
Amendment |
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11-K |
Annual report of employee stock purchase, savings and similar plans |
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11-K/A |
Amendment |
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11-KT |
Transition report pursuant to rule |
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11-KT/A |
Amendment |
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144 |
Filing for proposed sale of securities under Rule 144 |
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144/A |
Amendment to Form 144 |
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15-12B |
Notice of termination of registration of a class of securities under Section 12(b) |
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15-12B/A |
Amendment |
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15-12G |
Notice of termination of registration of a class of securities under Section 12(g) |
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15-12G/A |
Amendment |
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15-15D |
Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of |
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the Act |
15-15D/A |
Amendment |
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15F-12B |
Notice of termination of a foreign private issuer's registration of a class of |
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securities under Section 12(b) |
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15F-12B/A |
Amendment |
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15F-12G |
Notice of termination of a foreign private issuer's registration of a class of |
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securities under Section 12(g) |
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15F-12G/A |
Amendment |
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15F-15D |
Notice of a foreign private issuer's suspension of duty to file reports pursuant to |
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Section 13 and 15(d) of the Act |
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15F-15D/A |
Amendment |
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18-12B |
Form for initial registration of securities of foreign governments or political |
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subdivisions pursuant to section 12(b) |
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18-12B/A |
Amendment |
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18-12G |
Form for initial registration of securities of foreign governments or political |
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subdivisions thereof pursuant to section 12(g) |
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18-12G/A |
Amendment |
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18-K |
Annual report for foreign governments and political subdivisions |
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18-K/A |
Amendment |
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20-F |
Annual and transition report of foreign private issuers pursuant to sections 13 or |
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15(d) |
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20-F/A |
Amendment |
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20FR12B |
Form for initial registration of a class of securities of foreign private issuers |
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pursuant to section 12(b) |
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20FR12B/A |
Amendment |
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20FR12G |
Form for initial registration of a class of securities of foreign private issuers |
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pursuant to section 12(g) |
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20FR12G/A |
Amendment |
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24F-2NT |
Rule |
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24F-2NT /A |
Amendment |
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25 |
Notification filed by national securities exchange to report the removal from |
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listing and registration of matured, redeemed or retired securities |
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25/A |
Amendment |
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305B2 |
Application for designation of a new trustee under the “Trust Indenture Act” |
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305B2/A |
Amendment |
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40-17F1 |
Initial certificate of accounting of securities and similar investments in the custody |
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of management investment companies filed pursuant to Rule |
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Investment Company Act of 1940 filed on Form |
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40-17F1/A |
Amendment |
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40-17F2 |
Initial certificate of accounting of securities and similar investments in the custody |
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of management investment companies filed pursuant to Rule |
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Investment Company Act of 1940 filed on Form |
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40-17F2/A |
Amendment |
40-17G |
Fidelity bond filed pursuant to Rule |
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1940 |
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40-17G/A |
Amendment |
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40-17GCS |
Filings of claim or settlement pursuant to rule |
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“Investment Company Act of 1940” |
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40-17GCS/A |
Amendment |
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40-24B2 |
Filing of sales literature pursuant to Rule |
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Act of 1940” |
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40-24B2/A |
Amendment |
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40-33 |
Copies of all stockholder derivative actions filed with a court against an |
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investment company or an affiliate thereof pursuant to Section 33 of the |
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“Investment Company Act of 1940” |
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40-33/A |
Amendment |
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40-8B25 |
Filing by investment company of application under Investment Company Act Rule |
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8b-25(a) requesting extension of time for filing certain information, document or |
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report |
40-8F-2 |
Initial application for deregistration pursuant to Investment Company Act Rule |
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40-8F-2/A |
Amendment |
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40-F |
Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and |
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Rule 15d-4 |
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40-F/A |
Amendment |
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40FR12B |
Registration of a class of securities of certain Canadian issuers pursuant to Section |
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12(b) of the 1934 Act |
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40FR12B/A |
Amendment |
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40FR12G |
Registration of a class of securities of certain Canadian issuers pursuant to Section |
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12(g) of the 1934 Act |
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40FR12G/A |
Amendment |
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424A |
Prospectus filed pursuant to Rule 424(a) |
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424B1 |
Prospectus filed pursuant to Rule 424(b)(1) |
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424B2 |
Prospectus filed pursuant to Rule 424(b)(2) |
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424B3 |
Prospectus filed pursuant to Rule 424(b)(3) |
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424B4 |
Prospectus filed pursuant to Rule 424(b)(4) |
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424B5 |
Prospectus filed pursuant to Rule 424(b)(5) |
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424B7 |
Prospectus filed pursuant to Rule 424(b)(7) |
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424B8 |
Prospectus filed pursuant to Rule 424(b)(8) |
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425 |
Filing under Securities Act Rule 425 of certain prospectuses and communications |
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in connection with business combination transactions |
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485APOS |
Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing |
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cannot be submitted as a 1940 Act only filing) |
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485BPOS |
Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing |
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cannot be submitted as a 1940 Act only filing) |
485BXT |
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designate a new effective date for a |
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pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 |
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Act only filing) |
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486APOS |
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486BPOS |
Post-effective amendment to filing filed pursuant to Securities Act Rule 486(b) |
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487 |
Pre-effective pricing amendment filed pursuant to Securities Act Rule 487 |
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497 |
Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities |
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Act Rule 497 |
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497AD |
Filing by certain investment companies of Securities Act Rule 482 advertising in |
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accordance with Securities Act Rule 497 and the Note to Rule 482(c) |
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497H2 |
Filings made pursuant to Rule 497(h)(2) |
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497J |
Certification of no change in definitive materials under paragraph (j) of Securities |
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Act Rule 497 |
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497K1 |
Profiles for certain |
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to Securities Act Rule 497(k)(1)(i) |
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497K2 |
Profiles for certain |
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to Securities Act Rule 497(k)(1)(ii) |
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497K3A |
Profiles for certain |
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to Securities Act Rule 497(k)(1)(iii)(A) |
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497K3B |
Profiles for certain |
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to Securities Act Rule 497(k)(1)(iii)(B) |
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Current report of foreign issuer pursuant to Rules |
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Amendments |
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Form for the registration / listing of a class of securities on a national securities |
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exchange pursuant to section 12(b) |
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Amendment |
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Form for registration of a class of securities pursuant to section 12(g) |
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Amendment |
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Current report filing |
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Amendment |
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Notification that a class of securities of successor issuer is deemed to be |
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registered pursuant to section 12(b) |
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Amendment |
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Notification that a class of securities of successor issuer is deemed to be |
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registered pursuant to section 12(g) |
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Amendment |
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Notification of assumption of duty to report by successor issue under section |
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15(d) |
Amendment |
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ANNLRPT |
Periodic Development Bank filing, submitted annually |
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ANNLRPT/A |
Amendment |
ARS |
Annual report to security holders |
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ARS/A |
Amendment |
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AW |
Withdrawal of amendment to a registration statement filed under the Securities |
|
Act |
AW WD |
Withdrawal of a request for withdrawal of an amendment to a registration |
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statement |
CB |
Notification form filed in connection with certain tender offers, business |
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combinations and rights offerings, in which the subject company is a foreign |
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private issuer of which less than 10% of its securities are held by U.S. persons |
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CB/A |
Amendment |
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CORRESP |
A correspondence can be sent as a document with another submission type or can |
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be sent as a separate submission. Correspondence is not publicly disseminated |
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immediately. The SEC staff may release all or portions of these documents |
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electronically if they relate to the staff’s review process (see SEC Press Release |
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DEF 14A |
Definitive proxy statements |
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DEF 14C |
Definitive information statements |
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DEFA14A |
Definitive additional proxy soliciting materials including Rule 14(a)(12) material |
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DEFA14C |
Definitive additional information statement materials including Rule 14(a)(12) |
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material |
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DEFC14A |
Definitive proxy statement in connection with contested solicitations |
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DEFC14C |
Definitive information statement – contested solicitations |
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DEFM14A |
Definitive proxy statement relating to merger or acquisition |
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DEFM14C |
Definitive information statement relating to merger or acquisition |
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DEFN14A |
Definitive proxy statement filed by |
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DEFR14A |
Definitive revised proxy soliciting materials |
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DEFR14C |
Definitive revised information statement materials |
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DEL AM |
Separately filed delaying amendment under Securities Act Rule 473 to delay |
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effectiveness of a 1933 Act registration statement |
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DFAN14A |
Definitive additional proxy soliciting materials filed by |
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Rule 14(a)(12) material |
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DFRN14A |
Revised definitive proxy statement filed by |
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DSTRBRPT |
Distribution of primary obligations Development Bank report |
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DSTRBRPT/A |
Amendment |
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Registration statement for certain foreign private issuers |
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Registration statement for securities of certain Canadian issuers under the |
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“Securities Act of 1933” |
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Auto effective registration statement for securities of certain Canadian issuers |
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under the “Securities Act of 1933” |
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A new registration statement filed under Rule 462(b) to add securities to a prior |
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related effective registration statement filed on Form |
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Registration statement for specified transactions by certain foreign private issuers |
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Automatic shelf registration statement of securities of |
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issuers |
Registration statement for dividend or interest reinvestment plan securities of |
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foreign private issuers |
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A new registration statement filed under Rule 462(b) to add securities to a prior |
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related effective registration statement filed on Form |
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Registration statement for securities issued by foreign private issuers in certain |
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business combination transactions |
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Auto effective registration statement for securities by certain foreign private |
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issuers in connection with certain business combination transactions |
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Amendment |
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A new registration statement filed under Rule 462(b) to add securities to a prior |
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related effective registration statement filed on Form |
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Registration statement for American Depositary Receipts representing securities |
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of certain foreign private issuers |
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Auto effective registration statement for American Depositary Receipts |
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representing securities of certain foreign private issuers |
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Registration statement for securities of certain Canadian issuers offered for cash |
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upon the exercise of rights granted to existing security holders under the |
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Securities Act of 1933 |
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Registration statement for securities of certain Canadian issuers to be issued in |
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exchange offers or a business combination under the “Securities Act of 1933” |
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Registration of securities of certain Canadian issuers to be issued in exchange |
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offers or a business combination under the “Securities Act of 1933” |
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Registration of securities of certain investment grade debt or investment grade |
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preferred securities of certain Canadian issuers under the “Securities Act of 1933” |
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Auto effective registration of securities of certain investment grade debt or |
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investment grade preferred securities of certain Canadian issuers under the |
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“Securities Act of 1933” |
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Notification of the appointment of an agent for service by certain foreign |
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institutions |
Amendment |
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For appointment of agent for service of process by issuers registering securities (if |
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filed on Form |
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reports on Form |
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by any person acting as trustee with respect to securities registered on form |
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Amendment |
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FWP |
Filing under Securities Act Rules 163/433 of free writing prospectuses |
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IRANNOTICE |
Notice of disclosure filed in Exchange Act quarterly and annual reports pursuant to |
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Section 219 of the “Iran Threat Reduction and Syria Human Rights Act of |
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2012” and Section 13(r) of the Exchange Act |
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MODULE |
Modules and Segments are information that is stored on the |
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storage area of EDGAR |
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Initial registration statement filed on Form |
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investment companies |
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end management investment companies (this filing cannot be submitted as a |
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1940 Act only filing) |
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Initial registration statement filed on Form |
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company (business combinations) |
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Initial registration statement filed on Form |
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company (business combinations) |
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Initial registration statement filed on Form |
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company with automatic effectiveness under Rule 488 (business combinations) |
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A new registration statement filed on Form |
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companies filed under Securities Act Rule 462(b) of up to an additional 20% of |
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securities for an offering that was registered on Form |
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N-18F1 |
Initial notification of election pursuant to Rule |
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N-18F1/A |
Amendment |
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N-1A |
Initial registration statement filed on Form |
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investment companies |
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end management investment companies (this filing cannot be submitted as a |
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1940 Act only filing) |
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Initial filing of a registration statement on Form |
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companies |
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investment companies (this filing cannot be submitted as a 1940 Act only filing) |
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N-23C-2 |
Notice by |
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own securities under Investment Company Act Rule |
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N-23C-2/AP |
Amendment |
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Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only |
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Amendment |
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Filing pursuant to Rule |
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Amendment |
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Filing pursuant to Rule |
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Amendment |
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Accounting for segregated trust accounts on Form |
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Amendment |
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A new registration statement on Form |
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by |
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an offering that was registered on Form |
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Initial registration statement on Form |
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investment companies) |
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accounts (management investment companies)(this filing cannot be submitted as |
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a 1940 Act only filing) |
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Periodic and interim reports mailed to investment company shareholders (other |
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than annual and |
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Initial annual and |
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shareholders pursuant to Rule |
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as part of Form |
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Amendment |
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Initial registration statement on Form |
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trusts) |
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accounts (unit investment trusts)(this filing cannot be submitted as a 1940 Act |
|
only filing) |
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Registration statement for small business investment companies |
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business investment companies (this filing cannot be submitted as a 1940 Act only filling |
Notification of election by business development companies filed on Form |
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Amendment |
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Notification of withdrawal by business development companies filed on Form N- |
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54C |
Amendment |
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Registration statement for separate accounts (unit investment trusts) |
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separate accounts (unit investment trusts) |
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Notice of intent by business development companies to elect to be subject to |
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Sections 55 through 65 of the 1940 Act filed on Form |
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Amendment |
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Initial notification of registration under section 8(a) filed on Form |
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Amendment |
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Initial registration statement for unit investment trusts filed on Form |
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Amendment |
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Initial registration statement for periodic payment plans filed on Form |
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Amendment |
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Initial registration statement for |
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on Form |
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Amendment |
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Application for deregistration made on Form |
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Amendment |
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Certified annual shareholder report of registered management investment |
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companies filed on Form |
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Amendment |
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Certified |
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companies filed on Form |
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Amendment |
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Annual Report of Proxy Voting Record of Registered Management Investment |
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Companies filed on Form |
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Amendment |
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Quarterly Schedule of Portfolio Holdings of Registered Management Investment |
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Company filed on Form |
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Amendment |
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Amendment |
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Transitional |
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Amendment |
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Annual report for management companies filed on Form |
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Amendment |
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Transitional annual report filed on Form |
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Amendment |
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Annual report for unit investment trusts filed on Form |
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Amendment |
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Notice under Exchange Act Rule |
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(annual or |
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Amendment |
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Notice under Exchange Act Rule |
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|
Amendment |
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NT |
Notice under Rule 12b25 of inability to timely file all or part of a Form |
|
|
NT |
Amendment |
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|
NT |
Notice under Rule 12b25 of inability to timely file all or part of a form |
|
KSB, or |
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NT |
Amendment |
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|
NT |
Notice under Rule 12b25 of inability to timely file all or part of a form |
|
QSB |
NT |
Amendment |
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|
NT |
Notice under Rule 12b25 of inability to timely file all or part of a form |
|
|
NT |
Amendment |
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|
NT 15D2 |
Notice under Rule 12b25 of inability to timely file a special report pursuant to |
|
section |
|
|
NT 15D2/A |
Amendment |
|
|
NT |
Notice under Rule 12b25 of inability to timely file all or part of an annual report of |
|
aform |
|
|
NT |
Amendment |
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POS 8C |
|
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and 1940 Acts pursuant to Section 8(c) of the 1933 Act by |
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companies (this filing cannot be submitted as a 1940 Act only filing) |
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POS AM |
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effective upon filing |
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POS AMI |
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POS EX |
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POS462B |
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POS462C |
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POSASR |
|
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on Form |
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PRE 14A |
Preliminary proxy statement not related to a contested matter or merger / |
|
acquisition |
|
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PRE 14C |
Preliminary information statement not related to a contested matter or |
|
merger/acquisition |
|
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PREC14A |
Preliminary proxy statement in connection with contested solicitations |
|
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PREC14C |
Preliminary information statements – contested solicitations |
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PREM14A |
Preliminary proxy statements relating to merger or acquisition |
|
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PREM14C |
Preliminary information statements relating to merger or acquisition |
PREN14A |
Preliminary proxy statement filed by |
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|
PRER14A |
Preliminary revised proxy soliciting materials |
|
|
PRER14C |
Preliminary revised information statements |
|
|
PRRN14A |
Revised preliminary proxy statement filed by |
|
|
PX14A6G |
Notice of exempt solicitation |
|
|
PX14A6N |
Notice of exempt solicitation for the purpose of determining whether to solicit |
|
proxies, consents, or authorizations in opposition to a proposed |
|
transaction filed pursuant to Rule 14a6(g) of the “Securities Exchange Act of 1934” |
|
|
QRTLYRPT |
Periodic Development Bank filing, submitted quarterly |
|
|
QRTLYRPT/A |
Amendment |
|
|
RW |
Registration Withdrawal Request |
|
|
RW WD |
Withdrawal of a Registration Withdrawal Request |
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|
General form of registration statement for all companies including |
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certificate companies |
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Registration statement for securities to be issued by real estate companies |
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A new registration statement filed under Rule 462(b) to add securities to a prior |
|
|
related effective registration statement filed on Form |
|
|
A new registration statement filed under Rule 462(b) to add securities to a prior |
|
|
related effective registration statement filed on Form |
|
|
Registration statement for standardized options |
|
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|
|
Registration statement for specified transactions by certain issuers |
|
|
|
|
|
Automatic shelf registration statement of securities of |
|
|
issuers. |
Automatically effective registration statement for securities issued pursuant to |
|
|
dividend or interest reinvestment plans |
|
|
|
|
A new registration statement filed under Rule 462(b) to add securities to a prior |
|
|
related effective registration statement filed on Form |
|
|
Registration of securities issued in business combination transactions |
|
|
|
|
|
|
|
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 |
|
|
Amendment |
|
|
|
A new registration statement filed under Rule 462(b) to add securities to a prior |
|
|
related effective registration statement filed on Form |
|
|
Initial registration statement filed on Form |
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|
|
Initial registration statement for securities to be offered to employees pursuant to |
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employee benefit plans |
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Registration statement for securities of foreign governments and subdivisions |
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thereof under the “Securities Act of 1933” (Schedule B) |
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A new registration statement filed under Rule 462(b) to add securities to a prior |
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related effective registration statement filed on Form |
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Optional form for the initial registration of securities to be sold to the public by |
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small business issuers |
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A new registration statement filed under Rule 462(b) to add securities to a prior |
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related effective registration statement filed on Form |
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SB-2 |
Optional form for the registration of securities to be sold to the public by small |
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business issuers |
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SB-2/A |
Pre-effective amendment |
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SB-2MEF |
A new registration statement filed under Rule 462(b) to add securities to a prior |
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related effective registration statement filed on Form |
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SC 13D |
Schedule filed to report acquisition of beneficial ownership of 5% or more of a |
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class of equity securities |
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SC 13D/A |
Amendment |
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SC 13E1 |
Schedule |
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SC 13E1/A |
Amendment |
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SC 13E3 |
Schedule filed to report going private transactions |
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SC 13E3/A |
Amendment |
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SC 13G |
Schedule filed to report acquisition of beneficial ownership of 5% or more of a |
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class of equity securities by passive investors and certain institutions |
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SC 13G/A |
Amendment |
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SC 14D9 |
Tender offer solicitation / recommendation statements filed under Rule |
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SC 14D9/A |
Amendment |
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SC 14F1 |
Statement regarding change in majority of directors pursuant to Rule |
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SC 14F1/A |
Amendment |
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SC TO-C |
Written communication relating to an issuer or third party tender offer |
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SC TO-I |
Issuer tender offer statement |
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SC TO-I/A |
Amendment |
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SC TO-T |
Third party tender offer statement |
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SC TO-T/A |
Amendment |
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SC13E4F |
Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers |
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SC13E4F/A |
Amendment |
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SC14D1F |
Third party tender offer statement filed pursuant to Rule |
SC14D1F/A |
Amendment |
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SC14D9C |
Written communication by the subject company relating to a third party tender |
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offer |
SC14D9F |
Solicitation/recommendation statement pursuant to Section 14(d)(4) of the |
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“Securities Exchange Act of 1934” and Rules |
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issuers |
SC14D9F/A |
Amendment |
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SEGMENT |
Modules and Segments are information that is stored on the |
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storage area of EDGAR |
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Reporting certain information about short sales and short sales by those who |
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filedForm 13F as of June 30, 2008 |
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Amendment |
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Notice of Late Filing of a |
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Amendment |
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SP 15D2 |
Special Financial Report filed under Rule |
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SP 15D2/A |
Amendment |
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SUPPL |
Voluntary supplemental material filed pursuant to Section 11(a) of the Securities |
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Act of 1933 by foreign issuers |
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Initial application for qualification of trust indentures |
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Application for determination of eligibility of a foreign person to act as |
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institutional trustee filed pursuant to Section 310(a)(1) of the “Trust Indenture Act |
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of 1939” |
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UNDER |
Initial undertaking to file reports |
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UNDER/A |
Amendment |
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