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Descriptions Of Edgar Form And Submission Types From Edgar Filer ...

3.
INDEX TO FORMS
As a filer, you will first need to determine whether you must meet your filing obligation via
EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for
Electronic Filings, outline which filings are mandated as electronic. This means that they must be
filed on EDGAR unless there is a case for Temporary or Permanent Hardship. (The rules for
each form and hardship exemptions may differ, so please see the regulation for specific
information.) Once you determine the form you need to file is electronic, then you need to
identify the submission type to use. For each submission type, there are specific tools that you
can use.
As the EDGAR system has evolved using new technologies, tools have been added, changed,
and sometimes updated. There is no longer a single tool for preparing an EDGAR submission.
Your guide to the tools is this index. The first index allows you to lookup EDGAR electronic
submission types easily if all you know is the submission form type. Included in the last two
columns is detailed information about the tools that are used to create and/or assemble the filing.
The second index is easiest to use if you are more comfortable looking up your submission type
by Act.
Before using the indexes, it is important to understand the difference between the Code of
Federal Regulations (CFR) Form/Schedule/Rule column reference and the EDGAR Submission
Type column. The index entries under the CFR Form/Schedule/Rule column refer to the titles of
the actual Form, Schedule or Rule named in the CFR. The Submission Type refers to Form
variations filers use on the electronic filing system to fulfill their filing obligation. For example,
the paper Form 15 is implemented on EDGAR as a number of different submission types
including: 15-12B, 15-12G, and 15-15D. The last three digits represent the sections of the 34 Act
under which the filer is registered.
Using either Index, find the submission type, check that the description of the form matches your
understanding of the purpose of the form, and identify the tool 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 7 PREPARING AND TRANSMITTING
EDGARLINK SUBMISSIONS describes EDGARLink. Chapter 8 PREPARING AND
TRANSMITTING EDGARLITE SUBMISSIONS describes EDGARLite. Chapter 9,
PREPARING AND TRANSMITTING ONLINE SUBMISSIONS, describes online submissions
using the EDGAR OnlineForms/XML Website. The column entitled Filer-Constructed Technical
Specifications should only be used by filers who want to create their submissions without the use
of EDGAR tools. These Technical Specifications are available on the SEC’s Public Website. The
Technical Specifications are delivered separately and are not part of the Filer Manual.
Note: In Section 3.1 for simplicity we include both the initial form and the associated
amendment in the Submission Type column.
September 2009
3-1
EDGAR Filer Manual (Volume II)
3.1 Alpha/Numeric
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
1-E, 1-E/A
Notification under Regulation E by small
EDGARLink
XFDL Technical
business investment companies and business
Template 3
Specification
development companies.
1-E AD, 1-E AD/A
Sales material filed pursuant to Rule 607 under
EDGARLink
XFDL Technical
Regulation E.
Template 3
Specification
2-E, 2-E/A
Report of sales of securities pursuant to Rule
EDGARLink
XFDL Technical
609 under Regulation E.
Template 3
Specification
10-12B, 10-12B/A
Initial general form for registration of a class of
EDGARLink
XFDL Technical
securities pursuant to section 12(b)
Template 3
Specification
10-12G, 10-12G/A Initial general form for registration of a class of
EDGARLink
XFDL Technical
securities pursuant to section 12(g)
Template 3
Specification
10-D, 10-D/A
Periodic distribution reports by Asset-Backed
EDGARLink
XFDL Technical
issuers pursuant to Rule 13a-17 or 15d-17
Template 3
Specification
10-K, 10-K/A
Annual report pursuant to section 13 and 15(d)
EDGARLink
XFDL Technical
Template 3
Specification
10KSB, 10KSB/A
Optional form for annual and transition reports of EDGARLink
XFDL Technical
small business issuers under section 13 or 15(d) Template 3
Specification
Will no longer be accepted as of March 16, 2009
10-KT, 10-KT/A
Transition report pursuant to Rule 13a-10 or
EDGARLink
XFDL Technical
15d-10
Template 3
Specification
10-Q, 10-Q/A
Quarterly report pursuant to sections 13 or 15(d) EDGARLink
XFDL Technical
Template 3
Specification
10-QT, 10-QT/A
Transition report pursuant to Rule 13a-10 or
EDGARLink
XFDL Technical
15d-10
Template 3
Specification
11-K, 11-K/A
Annual report of employee stock purchase,
EDGARLink
XFDL Technical
savings and similar plans
Template 3
Specification
11-KT, 11-KT/A
Transition report pursuant to rule 13a-10 or 15d­
EDGARLink
XFDL Technical
10
Template 3
Specification
13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings report filed
EDGARLink
XFDL Technical
by institutional managers
Template 3
Specification
13F-NT, 13F-NT/A Initial Quarterly Form 13F Notice Report filed by EDGARLink
XFDL Technical
institutional managers
Template 3
Specification
144, 144/A
Filing for proposed sale of securities under Rule EDGARLink
XFDL Technical
144
Template 2
Specification
15-12B, 15-12B/A
Notice of termination of registration of a class of
EDGARLink
XFDL Technical
securities under Section 12(b)
Template 3
Specification
15-12G, 15-12G/A Notice of termination of registration of a class of
EDGARLink
XFDL Technical
securities under Section 12(g)
Template 3
Specification
15-15D, 15-15D/A
Notice of suspension of duty to file reports
EDGARLink
XFDL Technical
EDGAR Filer Manual (Volume II)
3-2
September 2009
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
pursuant to Section 13 and 15(d) of the Act
Template 3
Specification
15F-12B, 15F­
Notice of termination of a foreign private issuer’s EDGARLink
XFDL Technical
12B/A
registration of a class of securities under Section Template 3
Specification
12(b).
15F-12G,
Notice of termination of a foreign private issuer’s EDGARLink
XFDL Technical
15F12G/A
registration of a class of securities under Section Template 3
Specification
12(g).
15F-15D,
Notice of a foreign private issuer’s suspension of EDGARLink
XFDL Technical
15F15D/A
duty to file reports pursuant to Section 13 and
Template 3
Specification
15(d) of the Act
18-12B, 18-12B/A
Form for initial registration of securities of foreign EDGARLink
XFDL Technical
governments or political subdivisions pursuant to Template 3
Specification
section 12(b)
18-12G, 18-12G/A Form for initial registration of securities of foreign EDGARLink
XFDL Technical
governments or political subdivisions thereof
Template 3
Specification
pursuant to section 12(g)
18-K, 18-K/A
Annual report for foreign governments and
EDGARLink
XFDL Technical
political subdivisions
Template 3
Specification
20-F, 20-F/A
Annual and transition report of foreign private
EDGARLink
XFDL Technical
issuers pursuant to sections 13 or 15(d)
Template 3
Specification
20FR12B,
Form for initial registration of a class of
EDGARLink
XFDL Technical
20FR12B/A
securities of foreign private issuers pursuant to
Template 3
Specification
section 12(b)
20FR12G,
Form for initial registration of a class of
EDGARLink
XFDL Technical
20FR12G/A
securities of foreign private issuers pursuant to
Template 3
Specification
section 12(g)
24F-2NT,
Rule 24F-2 notice filed on Form 24F-2
EDGARLink
XFDL Technical
24F-2NT/A
Template 1
Specification
25, 25/A
Notification filed by issuer to voluntarily withdraw EDGARLink
XFDL Technical
a class of securities from listing and registration
Template 3
Specification
on a national securities exchange
25-NSE, 25-NSE/A Notification filed by national security exchange to Distributed to Distributed to
report the removal from listing and registration of National
National
matured, redeemed or retired securities
Securities
Securities
Exchanges
Exchanges only
only
3, 3/A
Initial statement of beneficial ownership of
OnlineForms Ownership XML
securities
Technical
Specification
305B2, 305B2/A
Application for designation of a new trustee
EDGARLink
XFDL Technical
under the Trust Indenture Act
Template 3
Specification
September 2009
3-3
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
4, 4/A
Statement of changes in beneficial ownership of OnlineForms Ownership XML
securities
Technical
Specification
40-6B, 40-6B/A
Application under the Investment Company Act
EDGARLink
XFDL Technical
by an employees’ securities company
Template 3
Specification
40-17F1,
Initial certificate of accounting of securities and
EDGARLink
XFDL Technical
40-17F1/A
similar investments in the custody of
Template 2
Specification
management investment companies filed
pursuant to Rule 17f-1 of the Investment
Company Act of 1940 filed on Form N-17F-1
40-17F2,
Initial certificate of accounting of securities and
EDGARLink
XFDL Technical
40-17F2/A
similar investments in the custody of
Template 2
Specification
management investment companies filed
pursuant to Rule 17f-2 of the Investment
Company Act of 1940 filed on Form N-17F-2
40-17G, 40-17G/A Fidelity bond filed pursuant to Rule 17g1(g)(1) of EDGARLink
XFDL Technical
the Investment Company Act of 1940
Template 2
Specification
40-17GCS,
Filings of claim or settlement pursuant to rule
EDGARLink
XFDL Technical
4017GCS/A
17g-1(g)(1)(2) or (3) of the Investment Company Template 2
Specification
Act of 1940
40-24B2,
Filing of sales literature pursuant to Rule 24b2
EDGARLink
XFDL Technical
40-24B2/A
under the Investment Company Act of 1940
Template 2
Specification
40-33, 40-33/A
Copies of all stockholder derivative actions filed
EDGARLink
XFDL Technical
with a court against an investment company or
Template 2
Specification
an affiliate thereof pursuant to Section 33 of the
Investment Company Act of 1940
40-8B25
Document or report
EDGARLink
XFDL Technical
Template 2
Specification
40-8F-2, 40-8F-2/A Initial application for deregistration pursuant to
EDGARLink
XFDL Technical
Investment Company Act Rule 0-2
Template 2
Specification
40-APP, 40-APP/A Applications under the Investment Company Act EDGARLink
XFDL Technical
other than those reviewed by Office of Insurance Template 3
Specification
Products
40-F, 40-F/A
Annual reports filed by certain Canadian issuers EDGARLink
XFDL Technical
pursuant to Section 15(d) and Rule 15d-4
Template 3
Specification
40FR12B,
Registration of a class of securities of certain
EDGARLink
XFDL Technical
40FR12B/A
Canadian issuers pursuant to Section 12(b) of
Template 3
Specification
the 1934 Act
40FR12G,
Registration of a class of securities of certain
EDGARLink
XFDL Technical
40FR12G/A
Canadian issuers pursuant to Section 12(g) of
Template 3
Specification
the 1934 Act
40-OIP, 40-OIP/A
Applications under the Investment Company Act EDGARLink
XFDL Technical
reviewed by Office of Insurance Products
Template 3
Specification
EDGAR Filer Manual (Volume II)
3-4
September 2009
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
424A
Prospectus filed pursuant to Rule 424(a)
EDGARLink
XFDL Technical
Template 3
Specification
424B1
Prospectus filed pursuant to Rule 424(b)(1)
EDGARLink
XFDL Technical
Template 1
Specification
424B2
Prospectus filed pursuant to Rule 424(b)(2)
EDGARLink
XFDL Technical
Template 1
Specification
424B3
Prospectus filed pursuant to Rule 424(b)(3)
EDGARLink
XFDL Technical
Template 1
Specification
424B4
Prospectus filed pursuant to Rule 424(b)(4)
EDGARLink
XFDL Technical
Template 1
Specification
424B5
Prospectus filed pursuant to Rule 424(b)(5)
EDGARLink
XFDL Technical
Template 1
Specification
424B7
Prospectus filed pursuant to Rule 424(b)(7)
EDGARLink
XFDL Technical
Template 1
Specification
424B8
Prospectus filed pursuant to Rule 424(b)(8)
EDGARLink
XFDL Technical
Template 1
Specification
425
Filing under Securities Act Rule 425 of certain
EDGARLink
XFDL Technical
prospectuses and communications in connection Template 2
Specification
with business combination transactions
485APOS
Post-effective amendment filed pursuant to
EDGARLink
XFDL Technical
Securities Act Rule 485(a) (this filing cannot be
Template 3
Specification
submitted as a 1940 Act only filing)
485BPOS
Post-effective amendment filed pursuant to
EDGARLink
XFDL Technical
Securities Act Rule 485(b) (this filing cannot be
Template 3
Specification
submitted as a 1940 Act only filing)
485BXT
Post-effective amendment filed pursuant to Securities EDGARLink
XFDL Technical
Act Rule 485(b)(1)(iii) to designate a new effective
Template 3
Specification
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)
486APOS
Post-effective amendment to filing filed pursuant EDGARLink
XFDL Technical
to Securities Act Rule 486(a)
Template 3
Specification
486BPOS
Post-effective amendment to filing filed pursuant EDGARLink
XFDL Technical
to Securities Act Rule 486(b)
Template 3
Specification
487
Pre-effective pricing amendment filed pursuant
EDGARLink
XFDL Technical
to Securities Act Rule 487
Template 1
Specification
497
Definitive materials filed under paragraph (a),
EDGARLink
XFDL Technical
(b), (c), (d), (e) or (f) of Securities Act Rule 497
Template 3
Specification
497AD
Filing by certain investment companies of
EDGARLink
XFDL Technical
Securities Act Rule 482 advertising in
Template 3
Specification
accordance with Securities Act Rule 497 and the
Note to Rule 482(c)
September 2009
3-5
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
497H2
Filings made pursuant to Rule 497(h)(2)
EDGARLink
XFDL Technical
Template 3
Specification
497J
Certification of no change in definitive materials
EDGARLink
XFDL Technical
under paragraph (j) of Securities Act Rule 497
Template 3
Specification
497K
Summary Prospectus for certain open-end
EDGARLink
XFDL Technical
management investment companies filed
Template 3
Specification
pursuant to Securities Act Rule 497(k)
Cannot be used until March 31, 2009.
497K1
Profiles for certain open-end management
EDGARLink
XFDL Technical
investment companies filed pursuant to
Template 3
Specification
Securities Act Rule 497(k)(1)(i)
Will no longer be accepted after close of
business (5:30 PM EST) on March 30, 2009.
497K2
Profiles for certain open-end management
EDGARLink
XFDL Technical
investment companies filed pursuant to
Template 3
Specification
Securities Act Rule 497(k)(1)(ii)
Will no longer be accepted after close of
business (5:30 PM EST) on March 30, 2009.
497K3A
Profiles for certain open-end management
EDGARLink
XFDL Technical
investment companies filed pursuant to
Template 3
Specification
Securities Act Rule 497(k)(1)(iii)(A)
Will no longer be accepted after close of
business (5:30 PM EST) on March 30, 2009.
497K3B
Profiles for certain open-end management
EDGARLink
XFDL Technical
investment companies filed pursuant to
Template 3
Specification
Securities Act Rule 497(k)(1)(iii)(B)
Will no longer be accepted after close of
business (5:30 PM EST) on March 30, 2009.
5, 5/A
Annual statement of changes in beneficial
OnlineForms Ownership XML
ownership of securities
Technical
Specification
6-K, 6-K/A
Current report of foreign issuer pursuant to
EDGARLink
XFDL Technical
Rules 13a-16 and 15d-16 Amendments
Template 3
Specification
8-A12B, 8-A12B/A Form for the registration / listing of a class of
EDGARLink
XFDL Technical
securities on a national securities exchange
Template 3
Specification
pursuant to section 12(b)
8-A12G, 8-A12G/A Form for registration of a class of securities
EDGARLink
XFDL Technical
pursuant to section 12(g)
Template 3
Specification
8-K, 8-K/A
Current report filing
EDGARLink
XFDL Technical
Template 3
Specification
EDGAR Filer Manual (Volume II)
3-6
September 2009
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
8-K12B, 8-K12B/A Notification that a class of securities of
EDGARLink
XFDL Technical
successor issuer is deemed to be registered
Template 3
Specification
pursuant to section 12(b)
8-K12G3,
Notification that a class of securities of
EDGARLink
XFDL Technical
8-K12G3/A
successor issuer is deemed to be registered
Template 3
Specification
pursuant to section 12(g)
8-K15D5,
Notification of assumption of duty to report by
EDGARLink
XFDL Technical
8-K15D5/A
successor issue under section 15(d)
Template 3
Specification
ANNLRPT,
Periodic Development Bank filing, submitted
EDGARLink
XFDL Technical
ANNLRPT/A
annually
Template 2
Specification
APP WD,
Withdrawal of an application for exemptive or
EDGARLink
XFDL Technical
APP WD/A
other relief from the federal securities laws
Template 3
Specification
ARS, ARS/A
Annual report to security holders
EDGARLink
XFDL Technical
Template 3
Specification
AW
Withdrawal of amendment to a registration
EDGARLink
XFDL Technical
statement filed under the Securities Act
Template 3
Specification
AW WD
Withdrawal of a request for withdrawal of an
EDGARLink
XFDL Technical
amendment to a registration statement
Template 1
Specification
CB, CB/A
Notification form filed in connection with certain
EDGARLink
XFDL Technical
tender offers, business combinations and rights
Template 2
Specification
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
CORRESP
A correspondence can be sent as a document
EDGARLink
XFDL Technical
with another submission type or can be sent as
Template 4
Specification
a separate submission.
D, D/A
Official notice of an offering of securities that is
Online Forms N/A
made without registration under the Securities
Act in reliance on an exemption provided by
Regulation D and Section 4(6) under the Act.
DEF 14A
Definitive proxy statements
EDGARLink
XFDL Technical
Template 2
Specification
DEF 14C
Definitive information statements
EDGARLink
XFDL Technical
Template 2
Specification
DEFA14C
Definitive additional information statement
EDGARLink
XFDL Technical
materials including Rule 14(a)(12) material
Template 2
Specification
DEFC14A
Definitive proxy statement in connection with
EDGARLink
XFDL Technical
contested solicitations
Template 2
Specification
DEFC14C
Definitive information statement - contested
EDGARLink
XFDL Technical
solicitations
Template 2
Specification
DEFM14A
Definitive proxy statement relating to a
EDGARLink
XFDL Technical
merger,acquisition, or disposition
Template 2
Specification
September 2009
3-7
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
DEFM14C
Definitive information statement relating to
EDGARLink
XFDL Technical
merger or acquisition
Template 2
Specification
DEFN14A
Definitive proxy statement filed by non
EDGARLink
XFDL Technical
management
Template 2
Specification
DEFR14A
Definitive revised proxy soliciting materials
EDGARLink
XFDL Technical
Template 2
Specification
DEFR14C
Definitive revised information statement
EDGARLink
XFDL Technical
materials
Template 2
Specification
DEL AM
Separately filed delaying amendment under
EDGARLink
XFDL Technical
Securities Act Rule 473 to delay effectiveness of Template 3
Specification
a 1933 Act registration statement
DFAN14A
Definitive additional proxy soliciting materials
EDGARLink
XFDL Technical
filed by non-management including Rule
Template 2
Specification
14(a)(12) material
DFRN14A
Revised definitive proxy statement filed by non-
EDGARLink
XFDL Technical
management
Template 2
Specification
DSTRBRPT,
Distribution of primary obligations Development
EDGARLink
XFDL Technical
DSTRBRPT/A
Bank report
Template 2
Specification
F-1, F-1/A
Registration statement for securities of certain
EDGARLink
XFDL Technical
foreign private issuers
Template 1
Specification
F-10, F-10/A
Registration statement for securities of certain
EDGARLink
XFDL Technical
Canadian issuers under the Securities Act of
Template 1
Specification
1933
F-10EF
Auto effective registration statement for
EDGARLink
XFDL Technical
securities of certain Canadian issuers under the
Template 1
Specification
Securities Act of 1933
F-10POS
Post-effective amendment to a F-10EF
EDGARLink
XFDL Technical
registration
Template 1
Specification
F-1MEF
A new registration statement filed under Rule
EDGARLink
XFDL Technical
462(b) to add securities to a prior related
Template 1
Specification
effective registration statement filed on Form F-1
F-3, F-3/A
Registration statement for specified transactions EDGARLink
XFDL Technical
by certain foreign private issuers
Template 1
Specification
F-3ASR
Automatic shelf registration statement of
EDGARLink
XFDL Technical
securities of well-known seasoned issuers
Template 1
Specification
F-3D
Registration statement for dividend or interest
EDGARLink
XFDL Technical
reinvestment plan securities of foreign private
Template 1
Specification
issuers
F-3DPOS
Post-Effective amendment to a F-3D registration EDGARLink
XFDL Technical
Template 1
Specification
EDGAR Filer Manual (Volume II)
3-8
September 2009
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
F-3MEF
A new registration statement filed under Rule
EDGARLink
XFDL Technical
462(b) to add securities to a prior related
Template 1
Specification
effective registration statement filed on Form F 3
F-4 POS
Post-effective amendment to a F-4EF
EDGARLink
XFDL Technical
registration
Template 1
Specification
F-4, F-4/A
Registration statement for securities issued by
EDGARLink
XFDL Technical
foreign private issuers in certain business
Template 1
Specification
combination transactions
F-4EF
Auto effective registration statement for
EDGARLink
XFDL Technical
securities by certain foreign private issuers in
Template 1
Specification
connection with certain business combination
transactions
F-4MEF
A new registration statement filed under Rule
EDGARLink
XFDL Technical
462(b) to add securities to a prior related
Template 1
Specification
effective registration statement filed on Form F 4
F-6 POS
Post-effective amendment to a F-6EF
EDGARLink
XFDL Technical
registration
Template 1
Specification
F-6, F-6/A
Registration statement for American Depositary
EDGARLink
XFDL Technical
Receipts representing securities of certain
Template 1
Specification
foreign private issuers
F-6EF
Auto effective registration statement for
EDGARLink
XFDL Technical
American Depositary Receipts representing
Template 1
Specification
securities of certain foreign private issuers
F-7 POS
Post-effective amendment to a F-7 registration
EDGARLink
XFDL Technical
Template 1
Specification
F-7, F-7/A
Registration statement for securities of certain
EDGARLink
XFDL Technical
Canadian issuers offered for cash upon the
Template 1
Specification
exercise of rights granted to existing security
holders under the Securities Act of 1933
F-8 POS
Post-effective amendment to a F-8 registration
EDGARLink
XFDL Technical
Template 1
Specification
F-8, F-8/A
Registration statement for securities of certain
EDGARLink
XFDL Technical
Canadian issuers to be issued in exchange
Template 1
Specification
offers or a business combination under the
Securities Act of 1933
F-80, F-80/A
Registration of securities of certain Canadian
EDGARLink
XFDL Technical
issuers to be issued in exchange offers or a
Template 1
Specification
business combination under the Securities Act of
1933
F-80POS
Post-effective amendment to a F-80 registration EDGARLink
XFDL Technical
Template 1
Specification
F-9 POS
Post-effective amendment to a F-9EF
EDGARLink
XFDL Technical
registration
Template 1
Specification
September 2009
3-9
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
F-9, F-9/A
Registration of securities of certain investment
EDGARLink
XFDL Technical
grade debt or investment grade preferred
Template 1
Specification
securities of certain Canadian issuers under the
Securities Act of 1933
F-9EF
Auto effective registration of securities of certain EDGARLink
XFDL Technical
investment grade debt or investment grade
Template 1
Specification
preferred securities of certain Canadian issuers
under the Securities Act of 1933
F-N, F-N/A
Notification of the appointment of an agent for
EDGARLink
XFDL Technical
service by certain foreign institutions
Template 2
Specification
FWP
Filing under Securities Act Rules 163/433 of free EDGARLink
XFDL Technical
writing prospectuses
Template 2
Specification
F-X, F-X/A
For appointment of agent for service of process
EDGARLink
XFDL Technical
by issuers registering securities
Template 2
Specification
N-1, N-1/A
Initial registration statement filed on Form N-1
EDGARLink
XFDL Technical
for open-end management investment
Template 1
Specification
companies.
N-14 8C, N-14
Initial registration statement filed on Form N14
EDGARLink
XFDL Technical
8C/A
by closed-end investment company (business
Template 1
Specification
combinations)
N-14, N-14/A
Initial registration statement filed on Form N14
EDGARLink
XFDL Technical
for open-end investment company, including
Template 1
Specification
those filed with automatic effectiveness under
Rule 488 (business combinations)
N-14MEF
A new registration statement filed on Form N14
EDGARLink
XFDL Technical
by closed end investment companies filed under Template 1
Specification
Securities Act Rule 462(b) of up to an additional
20% of securities for an offering that was
registered on Form N-14
N-18F1, N-18F1/A
Initial notification of election pursuant to Rule
EDGARLink
XFDL Technical
18f-1 filed on Form N-18F-1
Template 2
Specification
N-1A, N-1A/A
Initial registration statement filed on Form N1A
EDGARLink
XFDL Technical
for open-end management investment
Template 1
Specification
companies
N-2, N-2/A
Initial filing of a registration statement on Form
EDGARLink
XFDL Technical
N-2 for closed-end investment companies
Template 1
Specification
N-23C-2,
Notice by closed-end investment companies of
EDGARLink
XFDL Technical
N-23C-2/A
intention to call or redeem their own securities
Template 2
Specification
under Investment Company Act Rule 23c-2
N-23C3A,
Notification of periodic repurchase offer Filed
EDGARLink
XFDL Technical
N23C3A/A
pursuant to Rule 23c-3(b) only
Template 2
Specification
N-23C3B,
Filing pursuant to Rule 23c-3(c) only on Form N­
EDGARLink
XFDL Technical
N23C3B/A
23C-3
Template 2
Specification
EDGAR Filer Manual (Volume II)
3-10
September 2009
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
N-23C3C,
Filing pursuant to Rule 23c-3(b) and (c) on Form EDGARLink
XFDL Technical
N23C3C/A
N-23C-3
Template 2
Specification
N-27D-1,
Accounting for segregated trust accounts on
EDGARLink
XFDL Technical
N-27D-1/A
Form N-27D-1
Template 2
Specification
N-2MEF
A new registration statement on Form N-2 filed
EDGARLink
XFDL Technical
under Securities Act Rule 462(b) by closed-end
Template 1
Specification
investment companies of up to an additional
20% of securities for an offering that was
registered on Form N-2
N-3, N-3/A
Initial registration statement on Form N-3 for
EDGARLink
XFDL Technical
separate accounts (management investment
Template 1
Specification
companies)
N-30B-2
Periodic and interim reports mailed to
EDGARLink
XFDL Technical
investment company shareholders (other than
Template 3
Specification
annual and semi-annual reports mailed to
shareholders pursuant to Rule 30e-1)
N-30D, N-30D/A
Initial annual and semi-annual reports mailed to
EDGARLink
XFDL Technical
investment company shareholders pursuant to
Template 3
Specification
Rule 30e-1 (other than those required to be
submitted as part of Form NCSR)
N-4, N-4/A
Initial registration statement on Form N-4 for
EDGARLink
XFDL Technical
separate accounts (unit investment trusts)
Template 1
Specification
N-5, N-5/A
Registration statement for small business
EDGARLink
XFDL Technical
investment companies
Template 1
Specification
N-54A, N-54A/A
Notification of election by business development EDGARLink
XFDL Technical
companies filed on Form N-54A
Template 2
Specification
N-54C, N-54C/A
Notification of withdrawal by business
EDGARLink
XFDL Technical
development companies filed on Form N-54C
Template 2
Specification
N-6, N-6/A
Registration statement for separate accounts
EDGARLink
XFDL Technical
(unit investment trusts)
Template 1
Specification
N-6F, N-6F/A
Notice of intent by business development
EDGARLink
XFDL Technical
companies to elect to be subject to Sections 55
Template 2
Specification
through 65 of the 1940 Act filed on Form N-6F
N-8A, N-8A/A
Initial notification of registration under section
EDGARLink
XFDL Technical
8(a) filed on Form N-8A
Template 2
Specification
N-8B-2, N-8B-2/A
Initial registration statement for unit investment
EDGARLink
XFDL Technical
trusts filed on Form N-8B-2
Template 2
Specification
N-8B-3, N-8B-3/A
Initial registration statement for periodic payment EDGARLink
XFDL Technical
plans filed on Form N-8B-3
Template 2
Specification
N-8B-4, N-8B-4/A
Initial registration statement for face-amount
EDGARLink
XFDL Technical
certificate companies filed on Form N-8B-4
Template 2
Specification
September 2009
3-11
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
N-8F, N-8F/A
Application for deregistration made on Form N­
EDGARLink
XFDL Technical
8F
Template 2
Specification
N-CSR, N-CSR/A
Certified annual shareholder report of registered EDGARLink
XFDL Technical
management investment companies filed on
Template 3
Specification
Form N-CSR
N-CSRS, N­
Certified semi-annual shareholder report of
EDGARLink
XFDL Technical
CSRS/A
registered management investment companies
Template 3
Specification
filed on Form N-CSR
N-PX, N-PX/A
Annual Report of Proxy Voting Record of
EDGARLink
XFDL Technical
Registered Management Investment Companies Template 3
Specification
filed on Form N-PX
N-Q, N-Q/A
Quarterly Schedule of Portfolio Holdings of
EDGARLink
XFDL Technical
Registered Management Investment Company
Template 3
Specification
filed on Form N-Q
NSAR-A, NSAR­
Semi-annual report for management companies EDGARLink
XFDL Technical
A/A
filed on Form N-SAR
Template 3
Specification
NSAR-AT,
Transitional semi-annual report filed on Form N­
EDGARLink
XFDL Technical
NSARAT/A
SAR
Template 3
Specification
NSAR-B, NSAR­
Annual report for management companies filed
EDGARLink
XFDL Technical
B/A
on Form N-SAR
Template 3
Specification
NSAR-BT,
Transitional annual report filed on Form NSAR
EDGARLink
XFDL Technical
NSARBT/A
Template 3
Specification
NSAR-U, NSAR­
Annual report for unit investment trusts filed on
EDGARLink
XFDL Technical
U/A
Form N-SAR
Template 3
Specification
NT 10-K, NT 10­
Notice under Rule 12b25 of inability to timely file EDGARLink
XFDL Technical
K/A
all or part of a Form 10-K, 10-KSB, or 10KT
Template 3
Specification
NT 10-D, NT 10­
Notice under Rule 12b25 of inability to timely file EDGARLink
XFDL Technical
D/A
all or part of a Form 10-D
Template 3
Specification
NT 10-Q, NT 10­
Notice under Rule 12b25 of inability to timely file EDGARLink
XFDL Technical
Q/A
all or part of a form 10-Q or 10-QSB
Template 3
Specification
NT 11-K, NT 11­
Notice under Rule 12b25 of inability to timely file EDGARLink
XFDL Technical
K/A
all or part of a form 11-K
Template 3
Specification
NT 15D2, NT
Notice under Rule 12b25 of inability to timely file EDGARLink
XFDL Technical
15D2/A
a special report pursuant to section 15d-2
Template 3
Specification
NT 20-F, NT 20­
Notice under Rule 12b25 of inability to timely file EDGARLink
XFDL Technical
F/A
all or part of an annual report of form 20-F
Template 3
Specification
NT-NCSR,
Notice under Exchange Act Rule 12b-25 of
EDGARLink
XFDL Technical
NTNCSR/A
inability to timely file Form N-CSR (annual or
Template 3
Specification
semi-annual report)
NT-NSAR,
Notice under Exchange Act Rule 12b-25 of
EDGARLink
XFDL Technical
NTNSAR/A
inability to timely file Form N-SAR
Template 3
Specification
EDGAR Filer Manual (Volume II)
3-12
September 2009
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
POS 8C
Post-effective amendment filed under the 1933
EDGARLink
XFDL Technical
Act only or under both the 1933 and 1940 Acts
Template 3
Specification
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 AM
Post-effective amendment to a registration
EDGARLink
XFDL Technical
statement that is not immediately effective upon
Template 1
Specification
filing
POS AMI
Post-effective amendment (for filings made
EDGARLink
XFDL Technical
under the 1940 Act only)
Template 3
Specification
POSASR
Post-effective Amendment to an automatic shelf EDGARLink
XFDL Technical
registration statement on Form S-3ASR or Form Template 1
Specification
F-3ASR
POS EX
Post-effective amendment filed solely to add
EDGARLink
XFDL Technical
exhibits to a registration statement
Template 3
Specification
POS462B
Post-effective amendment to Securities Act Rule EDGARLink
XFDL Technical
462(b) registration statement
Template 3
Specification
POS462C
Post-effective amendment to a registration
EDGARLink
XFDL Technical
statement filed under Rule 462(c)
Template 3
Specification
PRE 14A
Preliminary proxy statement not related to a
EDGARLink
XFDL Technical
contested matter or merger/acquisition
Template 2
Specification
PRE 14C
Preliminary information statement not related to
EDGARLink
XFDL Technical
a contested matter or merger/acquisition
Template 2
Specification
PREC14A
Preliminary proxy statement in connection with
EDGARLink
XFDL Technical
contested solicitations
Template 2
Specification
PREC14C
Preliminary information statements - contested
EDGARLink
XFDL Technical
solicitations
Template 2
Specification
PREM14A
Preliminary proxy statement relating to a merger, EDGARLink
XFDL Technical
acquisition, or disposition
Template 2
Specification
PREM14C
Preliminary information statements relating to
EDGARLink
XFDL Technical
merger or acquisition
Template 2
Specification
PREN14A
Preliminary proxy statement filed by non-
EDGARLink
XFDL Technical
management
Template 2
Specification
PRER14A
Preliminary revised proxy soliciting materials
EDGARLink
XFDL Technical
Template 2
Specification
PRER14C
Preliminary revised information statements
EDGARLink
XFDL Technical
Template 2
Specification
PRRN14A
Revised preliminary proxy statement filed by
EDGARLink
XFDL Technical
non-management
Template 2
Specification
PX14A6G
Notice of exempt solicitation
EDGARLink
XFDL Technical
Template 2
Specification
September 2009
3-13
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
PX14A6N
Notice of exempt solicitation for the purpose of
EDGARLink
XFDL Technical
determining whether to solicit proxies, consents, Template 2
Specification
or authorizations in opposition to a proposed roll-
up transaction filed pursuant to Rule 14a6(g) of
the Securities Exchange Act of 1934
QRTLYRPT,
Periodic Development Bank filing, submitted
EDGARLink
XFDL Technical
QRTLYRPT/A
quarterly
Template 2
Specification
RW
Registration Withdrawal Request
EDGARLink
XFDL Technical
Template 3
Specification
RW WD
Withdrawal of a Registration Withdrawal
EDGARLink
XFDL Technical
Request
Template 1
Specification
S-1, S-1/A
General form of registration statement for all
EDGARLink
XFDL Technical
companies including face-amount certificate
Template 1
Specification
companies
S-11, S-11/A
Registration statement for securities to be issued EDGARLink
XFDL Technical
by real estate companies
Template 1
Specification
S-11MEF
A new registration statement filed under Rule
EDGARLink
XFDL Technical
462(b) to add securities to a prior related
Template 1
Specification
effective registration statement filed on Form S
11
S-1MEF
A new registration statement filed under Rule
EDGARLink
XFDL Technical
462(b) to add securities to a prior related
Template 1
Specification
effective registration statement filed on Form S 1
S-20, S-20/A
Registration statement for standardized options EDGARLink
XFDL Technical
Template 1
Specification
S-3, S-3/A
Registration statement for specified transactions EDGARLink
XFDL Technical
by certain issuers
Template 1
Specification
S-3ASR
Automatic shelf registration statement of
EDGARLink
XFDL Technical
securities of well-known seasoned issuers
Template 1
Specification
S-3D
Automatically effective registration statement for EDGARLink
XFDL Technical
securities issued pursuant to dividend or interest Template 1
Specification
reinvestment plans
S-3DPOS
Post-effective amendment to a S-3D registration EDGARLink
XFDL Technical
statement
Template 1
Specification
S-3MEF
A new registration statement filed under Rule
EDGARLink
XFDL Technical
462(b) to add securities to a prior related
Template 1
Specification
effective registration statement filed on Form S 3
S-4 POS
Post-effective amendment to a S-4EF
EDGARLink
XFDL Technical
registration statement
Template 1
Specification
S-4, S-4/A
Registration of securities issued in business
EDGARLink
XFDL Technical
combination transactions
Template 1
Specification
EDGAR Filer Manual (Volume II)
3-14
September 2009
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
S-4EF
Auto effective registration statement for securities EDGARLink
XFDL Technical
issued in connection with the formation of a bank Template 1
Specification
or savings and loan holding company in
compliance with General Instruction G
S-4MEF
A new registration statement filed under Rule
EDGARLink
XFDL Technical
462(b) to add securities to a prior related
Template 1
Specification
effective registration statement filed on Form S-4
S-6, S-6/A
Initial registration statement filed on Form S-6 for EDGARLink
XFDL Technical
unit investment trusts
Template 1
Specification
S-8
Initial registration statement for securities to be
EDGARLink
XFDL Technical
offered to employees pursuant to employee
Template 1
Specification
benefit plans
S-8 POS
Post-effective amendment to a S-8 registration
EDGARLink
XFDL Technical
statement
Template 1
Specification
S-B, S-B/A
Registration statement for securities of foreign
EDGARLink
XFDL Technical
governments and subdivisions thereof under the Template 1
Specification
Securities Act of 1933 (Schedule B)
S-BMEF
A new registration statement filed under Rule
EDGARLink
XFDL Technical
462(b) to add securities to a prior related
Template 1
Specification
effective registration statement filed on Form S-B
SC 13D, SC 13D/A Schedule filed to report acquisition of beneficial
EDGARLink
XFDL Technical
ownership of 5% or more of a class of equity
Template 2
Specification
securities
SC 13E1, SC
Schedule 13-E1 statement of issuer required by
EDGARLink
XFDL Technical
13E1/A
Rule 13e-1
Template 2
Specification
SC 13E3, SC
Schedule filed to report going private
EDGARLink
XFDL Technical
13E3/A
transactions
Template 2
Specification
SC 13G, SC 13G/A Schedule filed to report acquisition of beneficial
EDGARLink
XFDL Technical
ownership of 5% or more of a class of equity
Template 2
Specification
securities by passive investors and certain
institutions
SC 14D9,
Tender offer solicitation / recommendation
EDGARLink
XFDL Technical
SC 14D9/A
statements filed under Rule 14d-9
Template 2
Specification
SC 14F1, SC
Statement regarding change in majority of
EDGARLink
XFDL Technical
14F1/A
directors pursuant to Rule 14f-1
Template 2
Specification
SC TO-C
Written communication relating to an issuer or
EDGARLink
XFDL Technical
third party tender offer
Template 2
Specification
SC TO-I,
Issuer tender offer statement
EDGARLink
XFDL Technical
SC TO-I/A
Template 2
Specification
SC TO-T,
Third party tender offer statement
EDGARLink
XFDL Technical
SC TO-T/A
Template 2
Specification
September 2009
3-15
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
SC13E4F,
Issuer tender offer statement filed pursuant to
EDGARLink
XFDL Technical
SC13E4F/A
Rule 13(e)(4) by foreign issuers
Template 2
Specification
SC14D1F,
Third party tender offer statement filed pursuant
EDGARLink
XFDL Technical
SC14D1F/A
to Rule 14d-1(b) by foreign issuers
Template 2
Specification
SC14D9C
Written communication by the subject company
EDGARLink
XFDL Technical
relating to a third party tender offer
Template 2
Specification
SC14D9F,
Solicitation/recommendation statement pursuant EDGARLink
XFDL Technical
SC14D9F/A
to Section 14(d)(4) of the Securities Exchange
Template 2
Specification
Act of 1934 and Rules 14d-1(b) and 14e-2(c) by
foreign issuers
SH-ER,
Weekly Form SH Entries Report Filed by
EDGARLink
SH-ER
SH-ER/A
Institutional Investment Managers
Template 3
Information
Table XML
Technical
Specification
XFDL Technical
Specification
SH-NT,
Weekly Form SH Notice Report Filed by
EDGARLink
XFDL Technical
SH-NT/A
Institutional Investment Managers
Template 3
Specification
SP 15D2,
Special Financial Report filed under Rule 15d-2 EDGARLink
XFDL Technical
SP 15D2/A
Template 3
Specification
SUPPL
Voluntary supplemental material filed pursuant
EDGARLink
XFDL Technical
to Section 11(a) of the Securities Act of 1933 by Template 2
Specification
foreign issuers
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
EDGARLink
XFDL Technical
indentures
Template 1
Specification
T-6, T-6/A
Application for determination of eligibility of a
EDGARLink
XFDL Technical
foreign person to act as institutional trustee filed Template 1
Specification
pursuant to Section 310(a)(1) of the Trust
Indenture Act of 1939
TA-1, TA-1/A
Application for registration as a transfer agent
EDGARLite
TA-1 XML
filed pursuant to the Securities Exchange Act of
TA-1
Technical
1934
Template
Specification
TA-2, TA-2/A
Annual report of transfer agent activities filed
EDGARLite
TA-2 XML
pursuant to the Securities Exchange Act of 1934 TA-2
Technical
Template
Specification
EDGAR Filer Manual (Volume II)
3-16
September 2009
Submission Type
Description
Tool/
Filer-
Template
Constructed
Number
Form Spec.
TA-W
Notice of withdrawal from registration as transfer EDGARLite
TA-W XML
agent filed pursuant to the Securities Exchange
TA-W
Technical
Act of 1934
Template
Specification
UNDER, UNDER/A Initial undertaking to file reports
EDGARLink
XFDL Technical
Template 3
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
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:
3 3/A
4 4/A
5 5/A
F-1MEF
F-3MEF F-4MEF N-14MEF
N-2MEF
POS462B S-11MEF S-1MEF
S-3MEF S-4MEF
S-BMEF
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.
September 2009
3-17
EDGAR Filer Manual (Volume II)
Electronic Form Types by Act List of Tables
Table 3-1: Securities Act Submission Types Accepted by EDGAR ......................................... 3-19
Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed
Pursuant to Section 14 Submission Types Accepted by EDGAR ........................... 3-29
Table 3-3: Securities Exchange Act - Registration and Report Submission Types Accepted by
EDGAR.................................................................................................................... 3-32
Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR................................ 3-41
Table 3-5: Investment Company Submission Types Accepted by EDGAR ............................. 3-44
Table 3-6: Development Bank Submission Types Accepted by EDGAR................................. 3-61
Table 3-7: Correspondence Submission Types.......................................................................... 3-61
EDGAR Filer Manual (Volume II)
3-18
September 2009
Table 3-1: Securities Act Submission Types Accepted by EDGAR
CFR Form/
Description Submission
Tool/
Filer-
Schedule/
Type
Template
Constructed
Rule
Number
Form Spec.
D
Official notice of an offering of
D
Online Forms N/A
securities that is made without
registration under the Securities Act
in reliance on an exemption
provided by Regulation D and
Section 4(6) under the Act
Amendment
D/A
Online Forms N/A
F-1
Registration statement for securities F-1
EDGARLink
XFDL
of certain foreign private issuers
Template 1
Technical
Specification
Pre-effective amendment
F-1/A
EDGARLink
XFDL
Template 1
Technical
Specification
Post-effective amendment to a
POS AM
EDGARLink
XFDL
registration statement that is not
Template 1
Technical
immediately effective upon filing
Specification
F-1MEF
A new registration statement filed
F-1MEF EDGARLink
XFDL
under Rule 462(b) to add securities
Template 1
Technical
to a prior related effective
Specification
registration statement filed on Form
F-1
Post-effective amendment to
POS462B EDGARLink
XFDL
Securities Act Rule 462(b)
Template 3
Technical
registration statement
Specification
F-3
Registration statement for specified
F-3
EDGARLink
XFDL
transactions by certain foreign
Template 1
Technical
private issuers
Specification
Pre-Effective amendment
F-3/A
EDGARLink
XFDL
Template 1
Technical
Specification
Post-effective amendment to a
POS AM
EDGARLink
XFDL
registration statement that is not
Template 1
Technical
immediately effective upon filing
Specification
Automatic shelf registration
F-3ASR EDGARLink
XFDL
statement of securities of well-
Template 1
Technical
known seasoned issuers
Specification
Post-effective Amendment to an
POSASR
EDGARLink
XFDL
automatic shelf registration
Template 1
Technical
statement on Form S-3ASR or
Specification
Form F-3ASR
September 2009
3-19
EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-
Schedule/
Type
Template
Constructed
Rule
Number
Form Spec.
Registration statement for dividend
F-3D EDGARLink
XFDL
or interest reinvestment plan
Template 1
Technical
securities of foreign private issuers
Specification
Post-Effective amendment to a
F-3DPOS
EDGARLink
XFDL
F-3D registration
Template 1
Technical
Specification
F-3MEF
A new registration statement filed
F-3MEF EDGARLink
XFDL
under Rule 462(b) to add securities
Template 1
Technical
to a prior related effective
Specification
registration statement filed on Form
F-3
Post-effective amendment to
POS462B EDGARLink
XFDL
Securities Act Rule 462(b)
Template 3
Technical
registration statement
Specification
F-4
Registration statement for securities F-4
EDGARLink
XFDL
issued by foreign private issuers in
Template 1
Technical
certain business combination
Specification
transactions
Pre-effective amendment
F-4/A
EDGARLink
XFDL
Template 1
Technical
Specification
Post-effective amendment to a
POS AM
EDGARLink
XFDL
registration statement that is not
Template 1
Technical
immediately effective upon filing
Specification
Auto effective registration statement F-4EF
EDGARLink
XFDL
for securities by certain foreign
Template 1
Technical
private issuers in connection with
Specification
certain business combination
transactions
Post-effective amendment to a
F-4 POS
EDGARLink
XFDL
F-4EF registration
Template 1
Technical
Specification
F-4MEF
A new registration statement filed
F-4MEF EDGARLink
XFDL
under Rule 462(b) to add securities
Template 1
Technical
to a prior related effective
Specification
registration statement filed on Form
F-4
Post-effective amendment to
POS462B EDGARLink
XFDL
Securities Act Rule 462(b)
Template 3
Technical
registration statement
Specification
F-6
Registration statement for American F-6
EDGARLink
XFDL
Depositary Receipts representing
Template 1
Technical
securities of certain foreign private
Specification
issuers
EDGAR Filer Manual (Volume II)
3-20
September 2009
CFR Form/
Description Submission
Tool/
Filer-
Schedule/
Type
Template
Constructed
Rule
Number
Form Spec.
Pre-effective amendment
F-6/A
EDGARLink
XFDL
Template 1
Technical
Specification
Post-effective amendment to a
POS AM
EDGARLink
XFDL
registration statement that is not
Template 1
Technical
immediately effective upon filing
Specification
Auto effective registration statement F 6EF
EDGARLink
XFDL
for American Depositary Receipts
Template 1
Technical
representing securities of certain
Specification
foreign private issuers
Post-effective amendment to a
F-6 POS
EDGARLink
XFDL
F-6EF registration
Template 1
Technical
Specification
F-7
Registration statement for securities F-7
EDGARLink
XFDL
of certain Canadian issuers offered
Template 1
Technical
for cash upon the exercise of rights
Specification
granted to existing security holders
under the Securities Act of 1933
Pre-effective amendment
F-7/A
EDGARLink
XFDL
Template 1
Technical
Specification
Post-effective amendment to a F-7
F-7 POS
EDGARLink
XFDL
registration
Template 1
Technical
Specification
F-8
Registration statement for securities F-8
EDGARLink
XFDL
of certain Canadian issuers to be
Template 1
Technical
issued in exchange offers or a
Specification
business combination under the
Securities Act of 1933
Pre-effective amendment
F-8/A
EDGARLink
XFDL
Template 1
Technical
Specification
Post-effective amendment to a F-8
F-8 POS
EDGARLink
XFDL
registration
Template 1
Technical
Specification
F-9
Registration of securities of certain
F-9
EDGARLink
XFDL
investment grade debt or
Template 1
Technical
investment grade preferred
Specification
securities of certain Canadian
issuers under the Securities Act of
1933
Pre-effective amendment
F-9/A
EDGARLink
XFDL
Template 1
Technical
Specification
September 2009
3-21
EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-
Schedule/
Type
Template
Constructed
Rule
Number
Form Spec.
Auto effective registration of
F-9EF
EDGARLink
XFDL
securities of certain investment
Template 1
Technical
grade debt or investment grade
Specification
preferred securities of certain
Canadian issuers under the
Securities Act of 1933
Post-effective amendment to a
F-9 POS
EDGARLink
XFDL
F-9EF registration
Template 1
Technical
Specification
F-10
Registration statement for securities F-10 EDGARLink
XFDL
of certain Canadian issuers under
Template 1
Technical
the Securities Act of 1933
Specification
Pre-effective amendment
F-10/A
EDGARLink
XFDL
Template 1
Technical
Specification
Auto effective registration statement F-10EF
EDGARLink
XFDL
for securities of certain Canadian
Template 1
Technical
issuers under the Securities Act of
Specification
1933
Post-effective amendment to a
F-10POS
EDGARLink
XFDL
F10EF registration
Template 1
Technical
Specification
F-80
Registration of securities of certain
F-80 EDGARLink
XFDL
Canadian issuers to be issued in
Template 1
Technical
exchange offers or a business
Specification
combination under the Securities
Act of 1933
Pre-effective amendment
F-80/A
EDGARLink
XFDL
Template 1
Technical
Specification
Post-effective amendment to a F-80 F-80POS
EDGARLink
XFDL
registration
Template 1
Technical
Specification
S-1
General form of registration
S-1
EDGARLink
XFDL
statement for all companies
Template 1
Technical
including face-amount certificate
Specification
companies
Pre-effective amendment
S-1/A
EDGARLink
XFDL
Template 1
Technical
Specification
Post-effective amendment to a
POS AM
EDGARLink
XFDL
registration statement that is not
Template 1
Technical
immediately effective upon filing
Specification
EDGAR Filer Manual (Volume II)
3-22
September 2009
CFR Form/
Description Submission
Tool/
Filer-
Schedule/
Type
Template
Constructed
Rule
Number
Form Spec.
S-1MEF
A new registration statement filed
S-1MEF EDGARLink
XFDL
under Rule 462(b) to add securities
Template 1
Technical
to a prior related effective
Specification
registration statement filed on Form
S-1
Post-effective amendment to
POS462B EDGARLink
XFDL
Securities Act Rule 462(b)
Template 3
Technical
registration statement
Specification
S-3
Registration statement for specified
S-3
EDGARLink
XFDL
transactions by certain issuers
Template 1
Technical
Specification
Pre-effective amendment
S-3/A
EDGARLink
XFDL
Template 1
Technical
Specification
Post-effective amendment to a
POS AM
EDGARLink
XFDL
registration statement that is not
Template 1
Technical
immediately effective upon filing
Specification
Automatic shelf registration
S-3ASR
EDGARLink
XFDL
statement of securities of
Template 1
Technical
well-known seasoned issuers
Specification
Post-effective Amendment to an
POSASR
EDGARLink
XFDL
automatic shelf registration
Template 1
Technical
statement on Form S-3ASR or
Specification
Form F-3ASR
Automatically effective registration
S-3D EDGARLink
XFDL
statement for securities issued
Template 1
Technical
pursuant to dividend or interest
Specification
reinvestment plans
Post-effective amendment to a
S-3DPOS EDGARLink
XFDL
S-3D registration statement
Template 1
Technical
Specification
S-3MEF
A new registration statement filed
S-3MEF EDGARLink
XFDL
under Rule 462(b) to add securities
Template 1
Technical
to a prior related effective registration
Specification
statement filed on Form S-3
Post-effective amendment to
POS462B EDGARLink
XFDL
Securities Act Rule 462(b)
Template 3
Technical
registration statement
Specification
S-4
Registration of securities issued in
S-4
EDGARLink
XFDL
business combination transactions
Template 1
Technical
Specification
Pre-effective amendment
S-4/A
EDGARLink
XFDL
Template 1
Technical
Specification
September 2009
3-23
EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-
Schedule/
Type
Template
Constructed
Rule
Number
Form Spec.
Post-effective amendment to a
POS AM
EDGARLink
XFDL
registration statement that is not
Template 1
Technical
immediately effective upon filing
Specification
Auto effective registration statement S-4EF
EDGARLink
XFDL
for securities issued in connection
Template 1
Technical
with the formation of a bank or
Specification
savings and loan holding company
in compliance with General
Instruction G
Post-effective amendment to a S­
S-4 POS
EDGARLink
XFDL
4EF registration statement
Template 1
Technical
Specification
S-4MEF
A new registration statement filed
S-4MEF
EDGARLink
XFDL
under Rule 462(b) to add securities
Template 1
Technical
to a prior related effective
Specification
registration statement filed on Form
S-4
Post-effective amendment to
POS462B EDGARLink
XFDL
Securities Act Rule 462(b)
Template 3
Technical
registration statement
Specification
S-8
Initial registration statement for
S-8
EDGARLink
XFDL
securities to be offered to
Template 1
Technical
employees pursuant to employee
Specification
benefit plans
Post-effective amendment to a S-8
S-8 POS
EDGARLink
XFDL
registration statement
Template 1
Technical
Specification
S-11
Registration statement for securities S-11
EDGARLink
XFDL
to be issued by real estate
Template 1
Technical
companies
Specification
Pre-effective amendment
S-11/A
EDGARLink
XFDL
Template 1
Technical
Specification
Post-effective amendment to a
POS AM
EDGARLink
XFDL
registration statement that is not
Template 1
Technical
immediately effective upon filing
Specification
S-11MEF
A new registration statement filed
S-11MEF
EDGARLink
XFDL
under Rule 462(b) to add securities
Template 1
Technical
to a prior related effective
Specification
registration statement filed on Form
S-11
Post-effective amendment to
POS462B EDGARLink
XFDL
Securities Act Rule 462(b)
Template 3
Technical
registration statement
Specification
EDGAR Filer Manual (Volume II)
3-24
September 2009
CFR Form/
Description Submission
Tool/
Filer-
Schedule/
Type
Template
Constructed
Rule
Number
Form Spec.
S-20
Registration statement for
S-20
EDGARLink
XFDL
standardized options
Template 1
Technical
Specification
Pre-effective amendment
S-20/A
EDGARLink
XFDL
Template 1
Technical
Specification
Post-effective amendment to a
POS AM
EDGARLink
XFDL
registration statement that is not
Template 1
Technical
immediately effective upon filing
Specification
S-B
Registration statement for securities S-B
EDGARLink
XFDL
of foreign governments and
Template 1
Technical
subdivisions thereof under the
Specification
Securities Act of 1933 (Schedule B)
Pre-effective amendment
S-B/A
EDGARLink
XFDL
Template 1
Technical
Specification
Post-effective amendment to a
POS AM
EDGARLink
XFDL
registration statement that is not
Template 1
Technical
immediately effective upon filing
Specification
S-BMEF
A new registration statement filed
S-BMEF
EDGARLink
XFDL
under Rule 462(b) to add securities
Template 1
Technical
to a prior related effective
Specification
registration statement filed on Form
S-B
Post-effective amendment to
POS462B
EDGARLink
XFDL
Securities Act Rule 462(b)
Template 3
Technical
registration statement
Specification
POS462B
Post-effective amendment to
POS462B EDGARLink
XFDL
Securities Act Rule 462(b)
Template 3
Technical
registration statement
Specification
POS462C
Post-effective amendment to a
POS462C EDGARLink
XFDL
registration statement filed under
Template 3
Technical
Rule 462(c)
Specification
POS AM
Post-effective amendment to a
POS AM
EDGARLink
XFDL
registration statement that is not
Template 1
Technical
immediately effective upon filing
Specification
POS EX
Post-effective amendment filed
POS EX
EDGARLink
XFDL
solely to add exhibits to a
Template 3
Technical
registration statement
Specification
PROSPECTUSES FILED PURSUANT TO RULE 424
Prospectus filed pursuant to Rule
424A
EDGARLink
XFDL
424(a)
Template 3
Technical
Specification
September 2009
3-25
EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-
Schedule/
Type
Template
Constructed
Rule
Number
Form Spec.
Prospectus filed pursuant to Rule
424B1
EDGARLink
XFDL
424(b)(1)
Template 1
Technical
Specification
Prospectus filed pursuant to Rule
424B2
EDGARLink
XFDL
424(b)(2)
Template 1
Technical
Specification
Prospectus filed pursuant to Rule
424B3
EDGARLink
XFDL
424(b)(3)
Template 1
Technical
Specification
Prospectus filed pursuant to Rule
424B4 EDGARLink
XFDL
424(b)(4)
Template 1
Technical
Specification
Prospectus filed pursuant to Rule
424B5 EDGARLink
XFDL
424(b)(5)
Template 1
Technical
Specification
Prospectus filed pursuant to Rule
424B7
EDGARLink
XFDL
424(b)(7)
Template 1
Technical
Specification
Prospectus filed pursuant to Rule
424B8 EDGARLink
XFDL
424(b)(8)
Template 1
Technical
Specification
FREE WRITING PROSPECTUS
Filing under Securities Act Rules
FWP EDGARLink
XFDL
163/433 of free writing
Template 2
Technical
prospectuses
Specification
FILINGS PURSUANT TO THE TRUST INDENTURE ACT
305B2
Application for designation of a new
305B2
EDGARLink
XFDL
trustee under the Trust Indenture
Template 3
Technical
Act
Specification
Amendment
305B2/A
EDGARLink
XFDL
Template 3
Technical
Specification
T-3
Initial application for qualification of
T-3
EDGARLink
XFDL
trust indentures
Template 1
Technical
Specification
Pre-effective amendment
T-3/A
EDGARLink
XFDL
Template 1
Technical
Specification
T-6
Application for determination of
T-6
EDGARLink
XFDL
eligibility of a foreign person to act
Template 1
Technical
as institutional trustee filed pursuant
Specification
to Section 310(a)(1) of the Trust
EDGAR Filer Manual (Volume II)
3-26
September 2009
CFR Form/
Description Submission
Tool/
Filer-
Schedule/
Type
Template
Constructed
Rule
Number
Form Spec.
Indenture Act of 1939
Pre-effective amendment
T-6/A
EDGARLink
XFDL
Template 1
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
144
EDGARLink
XFDL
securities under Rule 144
Template 2
Technical
Specification
Amendment to Form 144
144/A EDGARLink
XFDL
Note: Form 144 may be filed
Template 2
Technical
electronically on a voluntary basis
Specification
if the issuer of the securities is a
public company.
MISCELLANEOUS FILINGS
APP WD
Withdrawal of an application for
APP WD
EDGARLink
XFDL
exemptive or other relief from the
Template 3
Technical
federal securities laws
Specification
Amendment to Form APP WD
APP WD/A
EDGARLink
XFDL
Template 3
Technical
Specification
DEL AM
Separately filed delaying
DEL AM
EDGARLink
XFDL
amendment under Securities Act
Template 3
Technical
Rule 473 to delay effectiveness of a
Specification
1933 Act registration statement
UNDER
Initial undertaking to file reports
UNDER
EDGARLink
XFDL
Template 3
Technical
Specification
Amendment UNDER/A
EDGARLink
XFDL
Template 3
Technical
Specification
SUPPL
Voluntary supplemental material
SUPPL
EDGARLink
XFDL
filed pursuant to Section 11(a) of
Template 2
Technical
the Securities Act of 1933 by
Specification
foreign issuers
RW Registration
Withdrawal Request
RW
EDGARLink
XFDL
Template 3
Technical
September 2009
3-27
EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-
Schedule/
Type
Template
Constructed
Rule
Number
Form Spec.
Specification
RW WD
Withdrawal of a Registration
RW WD
EDGARLink
XFDL
Withdrawal Request
Template 1
Technical
Specification
AW
Withdrawal of amendment to a
AW EDGARLink
XFDL
registration statement filed under
Template 3
Technical
the Securities Act
Specification
AW WD
Withdrawal of a request for
AW WD
EDGARLink
XFDL
withdrawal of an amendment to a
Template 1
Technical
registration statement
Specification
425
Filing under Securities Act Rule 425
425 EDGARLink
XFDL
of certain prospectuses and
Template 2
Technical
communications in connection with
Specification
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
F-X
For appointment of agent for
F-X
EDGARLink
XFDL
service of process by issuers
Template 2
Technical
registering securities (if filed on
Specification
Form F-8, F-9, F-10 or F-80, or
registering securities or filing
periodic reports on Form 40-F, 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
Amendment
F-X/A
EDGARLink
XFDL
Template 2
Technical
Specification
F-N
Notification of the appointment of an F-N
EDGARLink
XFDL
agent for service by certain foreign
Template 2
Technical
institutions
Specification
Amendment
F-N/A
EDGARLink
XFDL
Template 2
Technical
Specification
EDGAR Filer Manual (Volume II)
3-28
September 2009
Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements
Filed Pursuant to Section 14 Submission Types Accepted by EDGAR
CFR Form/
Description Submission
Tool/
Filer-Constructed
Schedule/
Type
Template
Form Spec.
Rule
Number
PRELIMINARY PROXY SOLICITING MATERIALS
Preliminary proxy statement
PREM14A
EDGARLink
XFDL Technical
relating to a merger,
Template 2
Specification
acquisition, or disposition
Preliminary proxy statement in
PREC14A EDGARLink XFDL Technical
connection with contested
Template 2
Specification
solicitations
Preliminary proxy statement
PREN14A EDGARLink XFDL Technical
filed by non-management
Template 2
Specification
Preliminary proxy statement
PRE 14A
EDGARLink
XFDL Technical
not related to a contested
Template 2
Specification
matter or merger / acquisition
PRELIMINARY INFORMATION STATEMENTS
Preliminary
information
PREM14C
EDGARLink
XFDL Technical
statements relating to merger
Template 2
Specification
or acquisition
Preliminary
information
PREC14C EDGARLink XFDL Technical
statements – contested
Template 2
Specification
solicitations
Preliminary
information
PRE 14C
EDGARLink
XFDL Technical
statement not related to a
Template 2
Specification
contested matter or
merger/acquisition
REVISED PRELIMINARY MATERIALS
Preliminary revised proxy
PRER14A
EDGARLink
XFDL Technical
soliciting materials
Template 2
Specification
Revised preliminary proxy
PRRN14A EDGARLink XFDL Technical
statement filed by non-
Template 2
Specification
management
Preliminary revised information
PRER14C EDGARLink XFDL Technical
statements
Template 2
Specification
DEFINITIVE MATERIALS (PROXY MATERIALS)
Definitive proxy statement
DEFM14A
EDGARLink
XFDL Technical
relating to a
Template 2
merger,acquisition, or
disposition
Definitive proxy statement in
DEFC14A EDGARLink XFDL Technical
connection with contested
Template 2
Specification
solicitations
September 2009
3-29
EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-Constructed
Schedule/
Type
Template
Form Spec.
Rule
Number
Definitive proxy statement filed
DEFN14A EDGARLink XFDL Technical
by non-management
Template 2
Specification
Revised definitive proxy
DFRN14A EDGARLink XFDL Technical
statement filed by non-
Template 2
Specification
management
Definitive revised proxy
DEFR14A EDGARLink XFDL Technical
soliciting materials
Template 2
Specification
Definitive additional proxy
DEFA14A EDGARLink XFDL Technical
soliciting materials including
Template 2
Specification
Rule 14(a)(12) material
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
DFAN14A EDGARLink XFDL Technical
soliciting materials filed by non-
Template 2
Specification
management 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 proxy statements
DEF 14A
EDGARLink
XFDL Technical
Template 2
Specification
Notice of exempt solicitation
PX14A6G
EDGARLink
XFDL Technical
Template 2
Specification
Notice of exempt solicitation for PX14A6N EDGARLink XFDL Technical
the purpose of determining
Template 2
Specification
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
DEFINITIVE MATERIALS (INFORMATION STATEMENTS)
EDGAR Filer Manual (Volume II)
3-30
September 2009
CFR Form/
Description Submission
Tool/
Filer-Constructed
Schedule/
Type
Template
Form Spec.
Rule
Number
Definitive
information
DEFM14C
EDGARLink
XFDL Technical
statement relating to merger or
Template 2
Specification
acquisition
Definitive
information
DEFC14C EDGARLink XFDL Technical
statement – contested
Template 2
Specification
solicitations
Definitive
information
DEF 14C
EDGARLink
XFDL Technical
statements
Template 2
Specification
Definitive additional information DEFA14C EDGARLink XFDL Technical
statement materials including
Template 2
Specification
Rule 14(a)(12) material
Definitive revised information
DEFR14C EDGARLink XFDL Technical
statement materials
Template 2
Specification
September 2009
3-31
EDGAR Filer Manual (Volume II)
Table 3-3: Securities Exchange Act - Registration and
Report Submission Types Accepted by EDGAR
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
REGISTRATION STATEMENTS
8-A
Form for the registration /
8-A12B
EDGARLink
XFDL
listing of a class of securities
Template 3
Technical
on a national securities
Specification
exchange pursuant to section
12(b)
Amendment 8-A12B/A
EDGARLink
Template 3
Form for registration of a
8-A12G EDGARLink
XFDL
class of securities pursuant to
Template 3
Technical
section 12(g)
Specification
Amendment 8-A12G/A
EDGARLink
Template 3
10
Initial general form for
10-12B
EDGARLink
XFDL
registration of a class of
Template 3
Technical
securities pursuant to section
Specification
12(b)
Amendment 10-12B/A
EDGARLink
Template 3
Initial general form for
10-12G EDGARLink
XFDL
registration of a class of
Template 3
Technical
securities pursuant to section
Specification
12(g)
Amendment 10-12G/A
EDGARLink
Template 3
20-F
Form for initial registration of
20FR12B
EDGARLink
XFDL
a class of securities of foreign
Template 3
Technical
private issuers pursuant to
Specification
section 12(b)
Amendment 20FR12B/A
EDGARLink
Template 3
Form for initial registration of
20FR12G
EDGARLink
XFDL
a class of securities of foreign
Template 3
Technical
private issuers pursuant to
Specification
section 12(g)
Amendment 20FR12G/A
EDGARLink
Template 3
40-F
Registration of a class of
40FR12B
EDGARLink
XFDL
securities of certain Canadian
Template 3
Technical
issuers pursuant to Section
Specification
12(b) of the 1934 Act
Amendment 40FR12B/A
EDGARLink
Template 3
EDGAR Filer Manual (Volume II)
3-32
September 2009
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Registration of a class of
40FR12G EDGARLink XFDL
securities of certain Canadian
Template 3
Technical
issuers pursuant to Section
Specification
12(g) of the 1934 Act
Amendment 40FR12G/A
EDGARLink
Template 3
18
Form for initial registration of
18-12B
EDGARLink
XFDL
securities of foreign
Template 3
Technical
governments or political
Specification
subdivisions pursuant to
section 12(b)
Amendment 18-12B/A
EDGARLink
Template 3
Form for initial registration of
18-12G
EDGARLink
XFDL
securities of foreign
Template 3
Technical
governments or political
Specification
subdivisions thereof pursuant
to section 12(g)
Amendment
18- 12G/A
EDGARLink
Template 3
ANNUAL, QUARTERLY, AND PERIODIC REPORTS
ARS
Annual report to security
ARS
EDGARLink
XFDL
holders
Template 3
Technical
Specification
Amendment ARS/A EDGARLink
Template 3
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
Current report of foreign
6-K
EDGARLink
XFDL
issuer pursuant to Rules 13a­
Template 3
Technical
16 and 15d-16
Specification
Amendments
6-K/A
EDGARLink
Template 3
10-Q
Quarterly report pursuant to
10-Q
EDGARLink
XFDL
sections 13 or 15(d)
Template 3
Technical
Specification
September 2009
3-33
EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
ANNUAL, QUARTERLY, AND PERIODIC REPORTS
Amendment 10-Q/A
EDGARLink
Template 3
Transition report pursuant to
10-QT EDGARLink
XFDL
Rule 13a-10 or 15d-10
Template 3
Technical
Specification
10-K
Annual report pursuant to
10-K
EDGARLink
XFDL
section 13 and 15(d)
Template 3
Technical
Specification
Amendment 10-K/A
EDGARLink
Template 3
Transition report pursuant to
10-KT EDGARLink
XFDL
Rule 13a-10 or 15d-10
Template 3
Technical
Specification
Amendment 10-KT/A
EDGARLink
Template 3
10KSB
Optional form for annual and
10KSB EDGARLink
XFDL
transition reports of small
Template 3
Technical
business issuers under
Specification
section 13 or 15(d)
Will no longer be accepted as
of March 16, 2009
Amendment 10KSB/A EDGARLink
Template 3
Will no longer be accepted as
of March 16, 2009
10-D
Periodic distribution reports
10-D
EDGARLink
XFDL
by Asset-Backed issuers
Template 3
Technical
pursuant to Rule 13a-17 or
Specification
15d-17
Amendment 10-D/A
EDGARLink
Template 3
8-K
Current report filing
8-K
EDGARLink
XFDL
Template 3
Technical
Specification
Amendment 8-K/A
EDGARLink
Template 3
Notification that a class of
8-K12G3
EDGARLink
XFDL
securities of successor issuer
Template 3
Technical
is deemed to be registered
Specification
pursuant to section 12(g)
Amendment
8-K12G3/A
EDGARLink
Template 3
Notification of assumption of
8-K15D5 EDGARLink
XFDL
duty to report by successor
Template 3
Technical
issue under section 15(d)
Specification
EDGAR Filer Manual (Volume II)
3-34
September 2009
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
ANNUAL, QUARTERLY, AND PERIODIC REPORTS
Amendment 8-K15D5/A
EDGARLink
Template 3
11-K
Annual report of employee
11-K
EDGARLink
XFDL
stock purchase, savings and
Template 3
Technical
similar plans
Specification
Amendment 11-K/A
EDGARLink
Template 3
Transition report pursuant to
11-KT
EDGARLink
XFDL
rule 13a-10 or 15d-10
Template 3
Technical
Specification
Amendment 11-KT/A
EDGARLink
Template 3
18-K
Annual report for foreign
18-K
XFDL
governments and political
Technical
subdivisions
Specification
Amendment 18-K/A
20-F
Annual and transition report
20-F
EDGARLink
XFDL
of foreign private issuers
Template 3
Technical
pursuant to sections 13 or
Specification
15(d)
Amendment 20-F/A
EDGARLink
Template 3
40-F
Annual report filed by certain
40-F
EDGARLink
XFDL
Canadian issuers pursuant to
Template 3
Technical
Section 15(d) and Rule 15d-4
Specification
40-F/A EDGARLink
Amendment
Template 3
12b-25
Notice under Rule 12b25 of
NT 10-Q
EDGARLink
XFDL
inability to timely file all or
Template 3
Technical
part of a form 10-Q or 10­
Specification
QSB
Amendment NT
10-Q/A
EDGARLink
Template 3
Notice under Rule 12b25 of
NT 10-K
EDGARLink
XFDL
inability to timely file all or
Template 3
Technical
part of a form 10-K, 10-KSB,
Specification
or 10-KT
Amendment
NT 10-K/A
EDGARLink
Template 3
Notice under Rule 12b25 of
NT 10-D
EDGARLink
XFDL
inability to timely file all or
Template 3
Technical
part of a Form 10-D
Specification
September 2009
3-35
EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
ANNUAL, QUARTERLY, AND PERIODIC REPORTS
Amendment NT
10-D/A
EDGARLink
Template 3
Notice under Rule 12b25 of
NT 11-K
EDGARLink
XFDL
inability to timely file all or
Template 3
Technical
part of a form 11-K
Specification
Amendment NT
11-K/A
EDGARLink
Template 3
Notice under Rule 12b25 of
NT 15D2
EDGARLink
XFDL
inability to timely file a special
Template 3
Technical
report pursuant to section
Specification
15d-2
Amendment
NT 15D2/A
EDGARLink
Template 3
Notice under Rule 12b25 of
NT 20-F
EDGARLink
XFDL
inability to timely file all or
Template 3
Technical
part of an annual report of
Specification
form 20-F
Amendment
NT 20-F/A
EDGARLink
Template 3
15
Notice of termination of
15-12B EDGARLink
XFDL
registration of a class of
Template 3
Technical
securities under Section
Specification
12(b)
Amendment 15-12B/A
EDGARLink
Template 3
Notice of termination of
15-12G
EDGARLink
XFDL
registration of a class of
Template 3
Technical
securities under Section
Specification
12(g)
Amendment 15-12G/A
EDGARLink
Template 3
Notice of suspension of duty
15-15D
EDGARLink
XFDL
to file reports pursuant to
Template 3
Technical
Section 13 and 15(d) of the
Specification
Act
Amendment 15-15D/A
EDGARLink
Template 3
See Rule 15d-2
Special Financial Report filed
SP 15D2
EDGARLink
XFDL
under Rule 15d-2
Template 3
Technical
Specification
Amendment SP
15D2/A
EDGARLink
Template 3
EDGAR Filer Manual (Volume II)
3-36
September 2009
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
ANNUAL, QUARTERLY, AND PERIODIC REPORTS
15F
Notice of termination of a
15F-12B
EDGARLink
XFDL
foreign private issuer’s
Template 3
Technical
registration of a class of
Specification
securities under Section
12(b)
Amendment 15F-12B/A
EDGARLink
Template 3
Notice of termination of a
15F-12G
EDGARLink
XFDL
foreign private issuer’s
Template 3
Technical
registration of a class of
Specification
securities under Section
12(g)
Amendment 15-12G/A
EDGARLink
Template 3
15F
Notice of a foreign private
15F-15D EDGARLink
XFDL
issuer’s suspension of duty to
Template 3
Technical
file reports pursuant to
Specification
Section 13 and 15(d) of the
Act
Amendment 15-15D/A
EDGARLink
Template 3
MISCELLANEOUS SUBMISSION TYPES/FILINGS
Form 13 F
Initial Quarterly Form 13F
13F-HR EDGARLink
XFDL
Holdings report filed by
Template 3
Technical
institutional managers
Specification
Amendment 13F-HR/A
EDGARLink
Template 3
Initial Quarterly Form 13F
13F-NT EDGARLink
XFDL
Notice Report filed by
Template 3
Technical
institutional managers
Specification
Amendment 13F-NT/A
EDGARLink
Template 3
Form APP WD
Withdrawal of an application
APP WD
EDGARLink
XFDL
for exemptive or other relief
APP WD/A
Template 3
Technical
from the federal securities
Specification
laws
September 2009
3-37
EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Form SH
Weekly Form SH Entries
SH-ER EDGARLink
SH-ER
Report Filed by Institutional
Template 3
Information
Investment Managers
table only:
SH-ER
Information
Table
XML Technical
Specification;
XFDL
Technical
Specification
MISCELLANEOUS SUBMISSION TYPES/FILINGS
Amendment SH-ER/A
EDGARLink
SH-ER/A
Template 3
Information
table only:
SH-ER
Information
Table
XML Technical
Specification;
XFDL
Technical
Specification
Weekly Form SH Notice
SH-NT EDGARLink
XFDL
Report Filed by Institutional
Template 3
Technical
Investment Managers
Specification
Amendment SH-NT/A
EDGARLink
XFDL
Template 3
Technical
Specification
Form RW
Registration Withdrawal
RW EDGARLink
XFDL
Request
Template 3
Technical
Specification
Withdrawal of a registration
RW WD
EDGARLink
XFDL
withdrawal statement
Template 3
Technical
Specification
Form AW
Withdrawal of an amendment
AW
EDGARLink
XFDL
to a registration statement
Template 3
Technical
filed under the Securities Act
Specification
Withdrawal of an amendment
AW WD
EDGARLink
XFDL
registration withdrawal
Template 3
Technical
statement
Specification
Form 425
Filing under Securities Act
425 EDGARLink
XFDL
Rule 425 of certain
Template 3
Technical
prospectuses and
Specification
communications in
connection with business
combination transactions
EDGAR Filer Manual (Volume II)
3-38
September 2009
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
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.
MISCELLANEOUS SUBMISSION TYPES/FILINGS
Form 25
Notification filed by issuer to
25
EDGARLink
XFDL
voluntarily withdraw a class of
Template 3
Technical
securities from listing and
Specification
registration on a national
securities exchange
Amendment 25/A
EDGARLink
Template 3
Form 25
Notification filed by national
25-NSE Distributed
to
Distributed to
security exchange to report
National
National
the removal from listing and
Securities
Securities
registration of matured,
Exchanges
Exchanges
redeemed or retired
only
only
securities
Amendment 25-NSE/A
Distributed
to
Distributed to
National
National
Securities
Securities
Exchanges
Exchanges
only
only
SECTION 16 OWNERSHIP FORMS/FILINGS
Form 3
Initial statement of beneficial
3 Online
Forms
Ownership
ownership of securities
XML Technical
Specification
Amendment 3/A
Online
Forms
Ownership
XML Technical
Specification
Form 4
Statement of changes in
4
Online Forms
Ownership
beneficial ownership of
XML Technical
securities
Specification
Amendment 4/A
Online
Forms
Ownership
XML Technical
Specification
Form 5
Annual statement of changes
5 Online
Forms
Ownership
in beneficial ownership of
XML Technical
securities
Specification
Amendment 5/A
Online
Forms
Ownership
XML Technical
Specification
SECTION 17A TRANSFER AGENT FORMS/FILINGS
September 2009
3-39
EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
TA-1
Application for registration as
TA-1
EDGARLite
TA-1 XML
a transfer agent filed
TA-1 Template
Technical
pursuant to the Securities
Specification
Exchange Act of 1934
Amendment TA-1/A
EDGARLite
TA-1 XML
TA-1 Template
Technical
Specification
TA-2
Annual report of transfer
TA-2
EDGARLite
TA-1 XML
agent activities filed pursuant
TA-1 Template
Technical
to the Securities Exchange
Specification
Act of 1934
Amendment TA-2/A
EDGARLite
TA-1 XML
TA-1 Template
Technical
Specification
TA-W
Notice of withdrawal from
TA-W EDGARLite
TA-1 XML
registration as transfer agent
TA-1 Template
Technical
filed pursuant to the
Specification
Securities Exchange Act of
1934
EDGAR Filer Manual (Volume II)
3-40
September 2009
Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Schedule 13D
Schedule filed to report
SC 13D
EDGARLink
XFDL Technical
acquisition of beneficial
Template 2
Specification
ownership of 5% or more of a
class of equity securities
Amendment
SC 13D/A
EDGARLink
Template 2
Schedule 13-E1
Schedule 13-E1 statement of
SC 13E1
EDGARLink
XFDL Technical
issuer required by Rule 13e-1
Template 2
Specification
Amendment SC
13E1/A
EDGARLink
Template 2
Schedule 13E-3
Schedule filed to report going
SC 13E3
EDGARLink
XFDL Technical
private transactions
Template 2
Specification
Amendment SC
13E3/A
EDGARLink
Template 2
Schedule 13E4F
Issuer tender offer statement
SC13E4F
EDGARLink
XFDL Technical
filed pursuant to Rule
Template 2
Specification
13(e)(4) by foreign issuers
Amendment SC13E4F/A
EDGARLink
Template 2
Schedule 13G
Schedule filed to report
SC 13G
EDGARLink
XFDL Technical
acquisition of beneficial
Template 2
Specification
ownership of 5% or more of a
class of equity securities by
passive investors and certain
institutions
Amendment SC
13G/A
EDGARLink
Template 2
Schedule TO-I
Issuer tender offer statement
SC TO-I SC
EDGARLink
XFDL Technical
Template 2
Specification
Amendment
TO-I/A SC
EDGARLink
Template 2
Schedule TO-T
Third party tender offer
TO-T SC
EDGARLink
XFDL Technical
statement
Template 2
Specification
September 2009
3-41
EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Amendment TO-T/A
EDGARLink
Template 2
Schedule TO-C
Written communication
SC TO-C
EDGARLink
XFDL Technical
relating to an issuer or third
Template 2
Specification
party tender offer
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
SC14D1F
EDGARLink
XFDL Technical
statement filed pursuant to
Template 2
Specification
Rule 14d-1(b) by foreign
issuers
Amendment
SC14D1F/A
EDGARLink
Template 2
Schedule 14D9-C
Written communication by the
SC14D9C
EDGARLink
XFDL Technical
subject company relating to a
Template 2
Specification
third party tender offer
Schedule 14D9
Tender offer solicitation /
SC 14D9
EDGARLink
XFDL Technical
recommendation statements
Template 2
Specification
filed under Rule 14-d9
Amendment
SC 14D9/A
EDGARLink
Template 2
Schedule 14D9F
Solicitation/recommendation
SC14D9F
EDGARLink
XFDL Technical
statement pursuant to
Template 2
Specification
Section 14(d)(4) of the
Securities Exchange Act of
1934 and Rules 14d-1(b) and
14e-2(c) by foreign issuers
Amendment
SC14D9F/A
EDGARLink
Template 2
Schedule 14f-1
Statement regarding change
SC 14F1
EDGARLink
XFDL Technical
in majority of directors
Template 2
Specification
pursuant to Rule 14f-1
EDGAR Filer Manual (Volume II)
3-42
September 2009
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Amendment
SC 14F1/A
EDGARLink
Template 2
CB
Notification form filed in
CB
EDGARLink
XFDL Technical
connection with certain
Template 2
Specification
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
Amendment
CB/A
EDGARLink
Template 2
September 2009
3-43
EDGAR Filer Manual (Volume II)
Table 3-5: Investment Company Submission Types Accepted by EDGAR
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Forms S-1 & S-3
Registration statement for face-
amount certificate companies
General form of registration
S-1
EDGARLink
XFDL
statement for all companies
Template 1
Technical
including face-amount certificate
Specification
companies
Pre-effective amendment
S-1/A
EDGARLink
Template 1
Registration statement for
S-3 EDGARLink
XFDL
specified transactions by certain
Template 1
Technical
issuers including face-amount
Specification
certificate companies
Pre-effective amendment
S-3/A
EDGARLink
Template 1
Post-effective amendment to a
POS AM
EDGARLink
XFDL
registration statement that is not
Template 1
Technical
immediately effective upon filing
Specification
Definitive materials filed under
497
EDGARLink
XFDL
paragraph (a), (b), (c), (d), (e) or
Template 3
Technical
(f) of Securities Act Rule 497
Specification
Certification of no change in
497J EDGARLink
XFDL
definitive materials under
Template 3
Technical
paragraph (j) of Securities Act
Specification
Rule 497
Forms N-1 &
Registration statement for open-
N-1A
end management investment
companies
Initial registration statement filed
N-1A
EDGARLink
XFDL
on Form N-1A for open-end
Template 1
Technical
management investment
Specification
companies
Pre-effective amendment to a
N-1A/A EDGARLink
XFDL
registration statement filed on
Template 1
Technical
Form N-1A for open-end
Specification
management investment
companies (this filing cannot be
submitted as a 1940 Act only
filing)
Initial registration statement filed
N-1 EDGARLink
XFDL
on Form N-1 for open-end
Template 1
Technical
management investment
Specification
companies
EDGAR Filer Manual (Volume II)
3-44
September 2009
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Pre-effective amendment to a
N-1/A
EDGARLink
XFDL
registration statement filed on
Template 1
Technical
Form N-1 for open-end
Specification
management investment
companies (this filing cannot be
submitted as a 1940 Act only
filing)
Post-effective amendment filed
485APOS
EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(a) (this filing cannot be
Specification
submitted as a 1940 Act only
filing)
Post-effective amendment filed
485BPOS EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(b) (this filing cannot be
Specification
submitted as a 1940 Act only
filing)
Post-effective amendment (for
POS AMI
EDGARLink
XFDL
filings made under the 1940 Act
Template 3
Technical
only)
Specification
Post-effective amendment filed
485BXT EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(b)(1)(iii) to designate a new
Specification
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)
Definitive materials filed under
497
EDGARLink
XFDL
paragraph (a), (b), (c), (d), (e) or
Template 3
Technical
(f) of Securities Act Rule 497
Specification
Certification of no change in
497J EDGARLink
XFDL
definitive materials under
Template 3
Technical
paragraph (j) of Securities Act
Specification
Rule 497
Rule 498
Summary Prospectus for certain
497K EDGARLink
XFDL
open-end management
Template 3
Technical
investment companies filed
Specification
pursuant to Securities Act Rule
497(k)
Cannot be used until March 31,
2009.
September 2009
3-45
EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Profiles for certain open-end
497K1 EDGARLink
XFDL
management investment
Template 3
Technical
companies filed pursuant to
Specification
Securities Act Rule 497(k)(1)(i)
Will no longer be accepted after
close of business (5:30 PM EST)
on March 30, 2009.
Profiles for certain open-end
497K2 EDGARLink
XFDL
management investment
Template 3
Technical
companies filed pursuant to
Specification
Securities Act Rule 497(k)(1)(ii)
Will no longer be accepted after
close of business (5:30 PM EST)
on March 30, 2009.
Profiles for certain open-end
497K3A EDGARLink
XFDL
management investment
Template 3
Technical
companies filed pursuant to
Specification
Will no longer be accepted after
close of business (5:30 PM EST)
on March 30, 2009.
Securities Act Rule
497(k)(1)(iii)(A)
Profiles for certain open-end
497K3B EDGARLink
XFDL
management investment
Template 3
Technical
companies filed pursuant to
Specification
Securities Act Rule
497(k)(1)(iii)(B)
Will no longer be accepted after
close of business (5:30 PM EST)
on March 30, 2009.
Form N-2
Initial filing of a registration
N-2 EDGARLink
XFDL
statement on Form N-2 for
Template 1
Technical
closed-end investment companies
Specification
Pre-effective amendment to a
N-2/A
EDGARLink
XFDL
registration statement on Form N­
Template 1
Technical
2 for closed-end investment
Specification
companies (this filing cannot be
submitted as a 1940 Act only
filing)
Post-effective amendment (for
POS AMI
EDGARLink
XFDL
filings made under the 1940 Act
Template 3
Technical
only)
Specification
EDGAR Filer Manual (Volume II)
3-46
September 2009
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Post-effective amendment filed
POS 8C
EDGARLink
XFDL
under the 1933 Act only or under
Template 3
Technical
both the 1933 and 1940 Acts
Specification
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)
Initial filing of a registration
N-2 EDGARLink
XFDL
statement on Form N-2 for
Template 1
Technical
closed-end investment companies
Specification
filed pursuant to Securities Act
Rule 486(a)
Post-effective amendment to filing 486APOS
EDGARLink
XFDL
filed pursuant to Securities Act
Template 3
Technical
Rule 486(a)
Specification
Initial filing of a registration
N-2
EDGARLink
XFDL
statement on Form N-2 for
Template 1
Technical
closed-end investment companies
Specification
filed pursuant to Securities Act
Rule 486(b)
Post-effective amendment to filing 486BPOS
EDGARLink
XFDL
filed pursuant to Securities Act
Template 3
Technical
Rule 486(b)
Specification
Definitive materials filed under
497 EDGARLink
XFDL
paragraph (a), (b), (c), (d), (e) or
Template 3
Technical
(f) of Securities Act Rule 497
Specification
Certification of no change in
497J
EDGARLink
XFDL
definitive materials
Template 3
Technical
Specification
A new registration statement on
N-2MEF
EDGARLink
XFDL
Form N-2 filed under Securities
Template 1
Technical
Act Rule 462(b) by closed-end
Specification
investment companies of up to an
additional 20% of securities for an
offering that was registered on
Form N-2
Post-effective amendment to
POS462B EDGARLink
XFDL
Securities Act Rule 462(b)
Template 3
Technical
registration statement
Specification
Post-effective amendment to a
POS462C EDGARLink
XFDL
registration statement filed under
Template 3
Technical
Securities Act Rule 462(c)
Specification
Post-effective amendment filed
POS EX
EDGARLink
XFDL
solely to add exhibits to a
Template 3
Technical
registration statement
Specification
September 2009
3-47
EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Definitive materials filed under
497
EDGARLink
XFDL
paragraph (a), (b), (c), (d), (e) or
Template 3
Technical
(f) of Securities Act Rule 497
Specification
Filings made pursuant to Rule
497H2 EDGARLink
XFDL
497(h)(2)
Template 3
Technical
Specification
Form N-3
Initial registration statement on
N-3
EDGARLink
XFDL
Form N-3 for separate accounts
Template 1
Technical
(management investment
Specification
companies)
Pre-effective amendment to a
N-3/A
EDGARLink
XFDL
registration statement on Form N­
Template 1
Technical
3 for separate accounts
Specification
(management investment
companies) (this filing cannot be
submitted as a 1940 Act only
filing)
Post-effective amendment filed
485APOS EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(a) (this filing cannot be
Specification
submitted as a 1940 Act only
filing)
Post-effective amendment filed
485BPOS
EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(b) (this filing cannot be
Specification
submitted as a 1940 Act only
filing)
Post-effective amendment (for
POS AMI
EDGARLink
XFDL
filings made under the 1940 Act
Template 3
Technical
only)
Specification
Post-effective amendment filed
485BXT EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(b)(1)(iii) to designate a new
Specification
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)
Definitive materials filed under
497
EDGARLink
XFDL
paragraph (a), (b), (c), (d), (e) or
Template 3
Technical
(f) of Securities Act Rule 497
Specification
Certification of no change in
497J EDGARLink
XFDL
definitive materials under
Template 3
Technical
paragraph (j) of Securities Act
Specification
Rule 497
EDGAR Filer Manual (Volume II)
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September 2009
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Form N-4
Initial registration statement on
N-4
EDGARLink
XFDL
Form N-4 for separate accounts
Template 1
Technical
(unit investment trusts)
Specification
Pre-effective amendment to a
N-4/A
EDGARLink
XFDL
registration statement on Form N­
Template 1
Technical
4 for separate accounts (unit
Specification
investment trusts) (this filing
cannot be submitted as a 1940
Act only filing)
Pre-effective pricing amendment
487
EDGARLink
XFDL
filed pursuant to Securities Act
Template 1
Technical
Rule 487
Specification
Post-effective amendment filed
485APOS EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(a) (this filing cannot be
Specification
submitted as a 1940 Act only
filing)
Post-effective amendment filed
485BPOS
EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(b) (this filing cannot be
Specification
submitted as a 1940 Act only
filing)
Post-effective amendment filed
485BXT
EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(b)(1)(iii) to designate a new
Specification
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)
Post-effective amendment (for
POS AMI
EDGARLink
XFDL
filings made under the 1940 Act
Template 3
Technical
only)
Specification
Definitive materials filed under
497 EDGARLink
XFDL
paragraph (a), (b), (c), (d), (e) or
Template 3
Technical
(f) of Securities Act Rule 497
Specification
Certification of no change in
497J
EDGARLink
XFDL
definitive materials under
Template 3
Technical
paragraph (j) of Securities Act
Specification
Rule 497
Form N-6
Registration statement for
N-6
EDGARLink
XFDL
separate accounts (unit
Template 1
Technical
investment trusts)
Specification
Pre-effective amendment to a
N-6/A
EDGARLink
XFDL
registration statement filed on
Template 1
Technical
September 2009
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Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Form N-6 for separate accounts
Specification
(unit investment trusts)
Pre-effective pricing amendment
487
EDGARLink
XFDL
filed pursuant to Securities Act
Template 1
Technical
Rule 487
Specification
Post-effective amendment filed
485APOS EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(a) (this filing cannot be
Specification
submitted as a 1940 Act only
filing)
Post-effective amendment filed
485BPOS
EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(b) (this filing cannot be
Specification
submitted as a 1940 Act only
filing)
Post-effective amendment filed
485BXT EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(b)(1)(iii) to designate a new
Specification
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)
Post-effective amendment (for
POS AMI
EDGARLink
XFDL
filings made under the 1940 Act
Template 3
Technical
only)
Specification
Definitive materials filed under
497
EDGARLink
XFDL
paragraph (a), (b), (c), (d), (e) or
Template 3
Technical
(f) of Securities Act Rule 497
Specification
Certification of no change in
497J EDGARLink
XFDL
definitive materials under
Template 3
Technical
paragraph (j) of Securities Act
Specification
Rule 497
Form S-6
Initial registration statement filed
S-6
EDGARLink
XFDL
on Form S-6 for unit investment
Template 1
Technical
trusts
Specification
Pre-effective amendment
S-6/A
EDGARLink
XFDL
Template 1
Technical
Specification
Pre-effective pricing amendment
487
EDGARLink
XFDL
filed pursuant to Securities Act
Template 1
Technical
Rule 487
Specification
Initial undertaking to file reports
UNDER
EDGARLink
XFDL
Template 3
Technical
Specification
EDGAR Filer Manual (Volume II)
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Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Amendment UNDER/A
EDGARLink
XFDL
Template 3
Technical
Specification
Post-effective amendment filed
485APOS
EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(a) (this filing cannot be
Specification
submitted as a 1940 Act only
filing)
Post-effective amendment filed
485BPOS
EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(b) (this filing cannot be
Specification
submitted as a 1940 Act only
filing)
Post-effective amendment filed
485BXT EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(b)(1)(iii) to designate a new
Specification
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)
Definitive materials filed under
497
EDGARLink
XFDL
paragraph (a), (b), (c), (d), (e) or
Template 3
Technical
(f) of Securities Act Rule 497
Specification
Certification of no change in
497J EDGARLink
XFDL
definitive materials under
Template 3
Technical
paragraph (j) of Securities Act
Specification
Rule 497
Form N-5
Registration statement for small
N-5
EDGARLink
XFDL
business investment companies
Template 1
Technical
Specification
Pre-effective amendment to a
N-5/A
EDGARLink
registration statement on Form N­
Template 1
5 for small business investment
companies (this filing cannot be
submitted as a 1940 Act only
filing)
Post-effective amendment (for
POS AMI
EDGARLink
XFDL
filings made under the 1940 Act
Template 3
Technical
only)
Specification
Post-effective amendment filed
POS 8C
EDGARLink
XFDL
under the 1933 Act only or under
Template 3
Technical
both the 1933 and 1940 Acts
Specification
pursuant to Section 8(c) of the
1933 Act by closed-end
investment companies (this filing
September 2009
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Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
cannot be submitted as a 1940
Act only filing)
Definitive materials filed under
497
EDGARLink
XFDL
paragraph (a), (b), (c), (d), (e) or
Template 3
Technical
(f) of Securities Act Rule 497
Specification
Certification of no change in
497J EDGARLink
XFDL
definitive materials under
Template 3
Technical
paragraph (j) of Securities Act
Specification
Rule 497
Form N-14
Initial registration statement filed
N-14
EDGARLink
XFDL
on Form N-14 for open-end
Template 1
Technical
investment company, including
Specification
those filed with automatic
effectiveness under Rule 488
(business combinations)
Pre-effective amendment
N-14/A
EDGARLink
Template 1
Post-effective amendment filed
485APOS
EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(a) (this filing cannot be
Specification
submitted as a 1940 Act only
filing)
Post-effective amendment filed
485BPOS EDGARLink
XFDL
pursuant to Securities Act Rule
Template 3
Technical
485(b) (this filing cannot be
Specification
submitted as a 1940 Act only
filing)
Initial registration statement filed
N-14 8C
EDGARLink
XFDL
on Form N-14 by closed-end
Template 1
Technical
investment company (business
Specification
combinations)
Pre-effective amendment
N-14 8C/A
EDGARLink
Template 1
Post-effective amendment filed
POS 8C
EDGARLink
XFDL
under the 1933 Act only or under
Template 3
Technical
both the 1933 and 1940 Acts
Specification
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)
Definitive materials filed under
497
EDGARLink
XFDL
paragraph (a), (b), (c), (d), (e) or
Template 3
Technical
(f) of Securities Act Rule 497
Specification
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Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Certification of no change in
497J
EDGARLink
XFDL
definitive materials under
Template 3
Technical
paragraph (j) of Securities Act
Specification
Rule 497
A new registration statement filed
N-14MEF EDGARLink
XFDL
on Form N-14 by closed end
Template 1
Technical
investment companies filed under
Specification
Securities Act Rule 462(b) of up
to an additional 20% of securities
for an offering that was registered
on Form N-14
Post-effective amendment to
POS462B EDGARLink
XFDL
Securities Act Rule 462(b)
Template 3
Technical
registration statement
Specification
Post-effective amendment to
POS462C EDGARLink
Securities Act Rule 462(c)
Template 3
registration statement
Definitive materials filed under
497 EDGARLink
XFDL
paragraph (a), (b), (c), (d), (e) or
Template 3
Technical
(f) of Securities Act Rule 497
Specification
MISCELLANEOUS FILINGS UNDER THE SECURITIES ACT
Rule 425
Filing under Securities Act Rule
425
EDGARLink
XFDL
425 of certain prospectuses and
Template 2
Technical
communications in connection
Specification
with business combination
transactions
Note: Form 425 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
Rule 473
Separately filed delaying
DEL AM
EDGARLink
XFDL
amendment under Securities Act
Template 3
Technical
Rule 473 to delay effectiveness of
Specification
a 1933 Act registration statement
Rule 477
Withdrawal of an application for
APP WD
EDGARLink
XFDL
exemptive or other relief from the
Template 3
Technical
federal securities laws
Specification
Withdrawal of an amendment to
XFDL
APP WD/A
EDGARLink
an application for exemptive or
Template 3
Technical
other relief from the federal
Specification
securities laws
XFDL
EDGARLink
Registration Withdrawal Request
RW
Technical
Template 3
Specification
September 2009
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Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Withdrawal of a request for
RW WD
EDGARLink
XFDL
withdrawal of a registration
Template 1
Technical
statement
Specification
Withdrawal of amendment to a
AW
EDGARLink
XFDL
registration statement filed under
Template 3
Technical
the Securities Act
Specification
Withdrawal of a request for
AW WD
EDGARLink
XFDL
withdrawal of an amendment to a
Template 1
Technical
registration statement
Specification
Rule 482
Filing by certain investment
497AD EDGARLink
XFDL
companies of Securities Act Rule
Template 3
Technical
482 advertising in accordance
Specification
with Securities Act Rule 497 and
the Note to Rule 482(c)
REGISTRATION OF SECURITIES BY CERTAIN INVESTMENT COMPANIES PURSUANT TO RULE
24F-2
Rule 24F-2
Rule 24f-2 notice filed on Form
24F-2NT
EDGARLink
XFDL
24F-2
Template 1
Technical
Specification
Amendment
24F-2NT/A
EDGARLink
XFDL
Template 1
Technical
Specification
OTHER COMPANY ACT REGISTRATION STATEMENTS
Form N-8A
Initial notification of registration
N-8A
EDGARLink
XFDL
under section 8(a) filed on Form
Template 2
Technical
N-8A
Specification
Amendment N-8A/A
EDGARLink
Template 2
Form N-8B-2
Initial registration statement for
N-8B-2
EDGARLink
XFDL
unit investment trusts filed on
Template 2
Technical
Form N-8B-2
Specification
Amendment
N-8B-2/A
EDGARLink
Template 2
Form N-8B-3
Initial registration statement for
N-8B-3
EDGARLink
XFDL
periodic payment plans filed on
Template 2
Technical
Form N-8B-3
Specification
Amendment
N-8B-3/A
EDGARLink
Template 2
Form N-8B-4
Initial registration statement for
N-8B-4
EDGARLink
XFDL
face-amount certificate
Template 2
Technical
companies filed on Form N-8B-4
Specification
Amendment
N-8B-4/A
EDGARLink
Template 2
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Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
SUBMISSION TYPES FOR BUSINESS DEVELOPMENT COMPANIES
Form N-6F
Notice of intent by business
N-6F
EDGARLink
XFDL
development companies to elect
Template 2
Technical
to be subject to Sections 55
Specification
through 65 of the 1940 Act filed
on Form N-6F
Amendment
N-6F/A
EDGARLink
Template 2
Form N-54A
Notification of election by
N-54A
EDGARLink
XFDL
business development companies
Template 2
Technical
filed on Form N-54A
Specification
Amendment
N-54A/A
EDGARLink
Template 2
Form N-54C
Notification of withdrawal by
N-54C
EDGARLink
XFDL
business development companies
Template 2
Technical
filed on Form N-54C
Specification
Amendment
N-54C/A
EDGARLink
Template 2
OTHER INVESTMENT COMPANY SUBMISSION TYPES
Rule 8b-25(a)
Filing by investment company of
40-8B25
EDGARLink
XFDL
application under Investment
Template 2
Technical
Company Act Rule 8b-25(a)
Specification
requesting extension of time for
filing certain information,
document or report
Form 17F-1
Initial certificate of accounting of
40-17F1
EDGARLink
XFDL
securities and similar investments
Template 2
Technical
in the custody of management
Specification
investment companies filed
pursuant to Rule 17f-1 of the
Investment Company Act of 1940
filed on Form N-17F-1
Amendment
40-17F1/A
EDGARLink
Template 2
Form 17F-2
Initial certificate of accounting of
40-17F2
EDGARLink
XFDL
securities and similar investments
Template 2
Technical
in the custody of management
Specification
investment companies filed
pursuant to Rule 17f-2 of the
Investment Company Act of 1940
filed on Form N-17F-2
Amendment
40-17F2/A
EDGARLink
Template 2
September 2009
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Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Rule 17g-1(g)(1)
Fidelity bond filed pursuant to
40-17G
EDGARLink
XFDL
Rule 17g-1(g)(1) of the
Template 2
Technical
Investment Company Act of 1940
Specification
Amendment
40-17G/A
EDGARLink
Template 2
Rule 17g-1(g)(2)
Filings of claim or settlement
40-17GCS
EDGARLink
XFDL
or (3)
pursuant to rule 17g-1(g)(1)(2) or
Template 2
Technical
(3) of the Investment Company
Specification
Act of 1940
Amendment
40-17GCS/A
EDGARLink
Template 2
Rule 24b-2
Filing of sales literature pursuant
40-24B2
EDGARLink
XFDL
to Rule 24b-2 under the
Template 2
Technical
Investment Company Act of 1940
Specification
Amendment
40-24B2/A
EDGARLink
Template 2
ICA Section 33
Copies of all stockholder
40-33
EDGARLink
XFDL
derivative actions filed with a
Template 2
Technical
court against an investment
Specification
company or an affiliate thereof
pursuant to Section 33 of the
Investment Company Act of 1940
Amendment
40-33/A EDGARLink
Note: May be filed electronically
Template 2
on a voluntary basis.
Form N-18F-1
Initial notification of election
N-18F1
EDGARLink
XFDL
pursuant to Rule 18f-1 filed on
Template 2
Technical
Form N-18F-1
Specification
Amendment
N-18F1/A
EDGARLink
XFDL
Template 2
Technical
Specification
Rule 23c-2(b)
Notice by closed-end investment
N-23C-2
EDGARLink
XFDL
companies of intention to call or
Template 2
Technical
redeem their own securities under
Specification
Investment Company Act Rule
23c-2
Amendment
N-23C-2/A
EDGARLink
XFDL
Template 2
Technical
Specification
Form N-23C-3
Notification of periodic repurchase N-23C3A
EDGARLink
XFDL
offer Filed pursuant to Rule 23c­
Template 2
Technical
3(b) only
Specification
Amendment N-23C3A/A
EDGARLink
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Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Template 2
Filing pursuant to Rule 23c-3(c)
N-23C3B
EDGARLink
XFDL
only on Form N-23C-3
Template 2
Technical
Specification
Amendment
N-23C3B/A
EDGARLink
Template 2
Filing pursuant to Rule 23c-3(b)
N-23C3C EDGARLink
XFDL
and (c) on Form N-23C-3
Template 2
Technical
Specification
Amendment
N-23C3C/A
EDGARLink
Template 2
Form N-27D-1
Accounting for segregated trust
N-27D-1
EDGARLink
XFDL
accounts on Form N-27D-1
Template 2
Technical
Specification
Amendment N-27D-1/A
EDGARLink
Template 2
PERIODIC REPORTS FOR REGISTERED INVESTMENT COMPANIES
Form N-SAR
Semi-annual report for
NSAR-A
EDGARLink
XFDL
management companies filed on
Template 3
Technical
Form N-SAR
Specification
Amendment
NSAR-A/A
Transitional semi-annual report
NSAR-AT EDGARLink
XFDL
filed on Form N-SAR
Template 3
Technical
Specification
Amendment
NSAR-AT/A
Annual report for management
NSAR-B EDGARLink
XFDL
companies filed on Form N-SAR
Template 3
Technical
Specification
Amendment NSAR-B/A
EDGARLink
Template 3
Transitional annual report filed on
NSAR-BT
EDGARLink
XFDL
Form N-SAR
Template 3
Technical
Specification
Amendment
NSAR-BT/A
EDGARLink
Template 3
Annual report for unit investment
NSAR-U EDGARLink
XFDL
trusts filed on Form N-SAR
Template 3
Technical
Specification
Amendment NSAR-U/A
EDGARLink
Template 3
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Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Form N-CSR
Certified annual shareholder
N-CSR
EDGARLink
XFDL
report of registered management
Template 3
Technical
investment companies filed on
Specification
Form N-CSR
Amendment
N-CSR/A
EDGARLink
Template 3
Certified semi-annual shareholder N-CSRS EDGARLink
XFDL
report of registered management
Template 3
Technical
investment companies filed on
Specification
Form NCSR
Amendment
N-CSRS/A
EDGARLink
Template 3
Form N-PX
Annual Report of Proxy Voting
N-PX
EDGARLink
XFDL
Record of Registered
Template 3
Technical
Management Investment
Specification
Companies filed on Form N-PX
Amendment
N-PX/A
EDGARLink
Template 3
Form N-Q
Quarterly Schedule of Portfolio
N-Q
EDGARLink
XFDL
Holdings of Registered
Template 3
Technical
Management Investment
Specification
Company filed on Form N-Q
Amendment
N-Q/A
EDGARLink
Template 3
Rule 12b-25
Notice under Exchange Act Rule
NT-NSAR
EDGARLink
XFDL
12b-25 of inability to timely file
Template 3
Technical
Form NSAR
Specification
Amendment
NT-NSAR/A
EDGARLink
Template 3
Notice under Exchange Act Rule
NT-NCSR EDGARLink
XFDL
12b25 of inability to timely file
Template 3
Technical
Form NCSR (annual or semi­
Specification
annual report)
Amendment NT-NCSR/A
EDGARLink
Template 3
Rule 30b2-1
Initial annual and semi-annual
N-30D EDGARLink
XFDL
reports mailed to investment
Template 3
Technical
company shareholders pursuant
Specification
to Rule 30e-1 (other than those
required to be submitted as part
of Form N-CSR)
Amendment
N-30D/A
EDGARLink
Template 3
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Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Periodic and interim reports
N-30B-2 EDGARLink
XFDL
mailed to investment company
Template 3
Technical
shareholders (other than annual
Specification
and semi-annual reports mailed to
shareholders pursuant to Rule
30e-1)
REGULATION E FILINGS
Regulation E
Notification under Regulation E
1-E EDGARLink
XFDL
by small business investment
Template 3
Technical
companies and business
Specification
development companies filed on
Form 1-E.
Amendment to a notification
1-E/A EDGARLink
XFDL
under Regulation E by small
Template 3
Technical
business investment companies
Specification
and business development
companies filed on Form 1-E
Sales material filed pursuant to
1-E AD
EDGARLink
XFDL
Rule 607 under Regulation E
Template 3
Technical
Specification
Amendment to sales material filed 1-E AD/A
EDGARLink
XFDL
pursuant to Rule 607 under
Template 3
Technical
Regulation E
Specification
Report of sales of securities
2-E EDGARLink
XFDL
pursuant to Rule 609 under
Template 3
Technical
Regulation E filed on Form 2-E
Specification
Amendment of a report of sales of 2-E/A EDGARLink
XFDL
securities pursuant to Rule 609
Template 3
Technical
under Regulation E filed on Form
Specification
2-E
APPLICATION FOR AN ORDER UNDER THE INVESTMENT COMPANY ACT
Rule 0-2
Application under the Investment
40-OIP EDGARLink
XFDL
Company Act submitted pursuant
Template 3
Technical
to Investment Company Act Rule
Specification
0-2 reviewed by the Office of
Insurance Products
Amendment to an application
40-OIP/A EDGARLink
XFDL
under the Investment Company
Template 3
Technical
Act submitted pursuant to
Specification
Investment Company Act Rule 0­
2 reviewed by the Office of
Insurance Products
Application under the Investment
40-6B EDGARLink
XFDL
Company Act by an employees’
Template 3
Technical
securities company submitted
Specification
pursuant to Investment Company
September 2009
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EDGAR Filer Manual (Volume II)
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Act Rule 0-2
Amendment to an application
40-6B/A EDGARLink
XFDL
under the Investment Company
Template 3
Technical
Act by an employees’ securities
Specification
company submitted pursuant to
Investment Company Act Rule 0­
2
Application under the Investment
40-APP EDGARLink
XFDL
Company Act submitted pursuant
Template 3
Technical
to Investment Company Act Rule
Specification
0-2 other than those reviewed by
Office of Insurance Products
Amendment to an application
40-APP/A EDGARLink
XFDL
under the Investment Company
Template 3
Technical
Act submitted pursuant to
Specification
Investment Company Act Rule 0­
2 other than those reviewed by
Office of Insurance Products
APPLICATION FOR DEREGISTRATION OF INVESTMENT COMPANIES
Form N-8F
Application for deregistration
N-8F EDGARLink
made on Form N-8F
Template 2
Amendment
N-8F/A
EDGARLink
Template 2
Rule 0-2
Initial application for deregistration
40-8F-2
EDGARLink
XFDL
pursuant to Investment Company
Template 2
Technical
Act Rule 0-2
Specification
Amendment
40-8F-2/A
EDGARLink
Template 2
EDGAR Filer Manual (Volume II)
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September 2009
Table 3-6: Development Bank Submission Types Accepted by EDGAR
CFR Form/
Description Submission
Tool/
Filer-
Schedule/
Type
Template
Constructed
Rule
Number
Form Spec.
QRTLYRPT
Periodic Development Bank
QRTLYRPT
EDGARLink
XFDL
filing, submitted quarterly
Template 2
Technical
Specification
Amendment QRTLYRPT/
A
EDGARLink
Template 2
ANNLRPT
Periodic Development Bank
ANNLRPT
EDGARLink
XFDL
filing, submitted annually
Template 2
Technical
Specification
Amendment ANNLRPT/A
EDGARLink
Template 2
DSTRBRPT
Distribution of primary
DSTRBRPT
EDGARLink
XFDL
obligations Development Bank
Template 2
Technical
report
Specification
Amendment DSTRBRPT/A
EDGARLink
Template 2
Notes: (1) These submission types are to be filed ONLY by the Development Banks. BW-2 and BW-3
submission types have been rescinded; please use QRTLYRPT, ANNLRPT, and DSTRBRPT Form
Types.
Table 3-7: Correspondence Submission Types
CFR Form/
Description Submission
Tool/
Filer-
Schedule/ Rule
Type
Template
Constructed
Number
Form Spec.
Correspondence A correspondence can be sent
CORRESP
EDGARLink
XFDL
as a document with another
Template 4
Technical
submission type or can be sent
Specification
as a separate submission.
Correspondence is not publicly
disseminated immediately. The
SEC staff may release all or
portions of these documents
electronically if they relate to
the staff’s review process. See
SEC Press Release 2004-89,
“SEC Staff to Publicly Release
Comment Letters and
Responses.”
September 2009
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