All SEC form types

Form TypeSEC Description
10-12BInitial general form for registration of a class of securities pursuant to section 12(b)
10-12B/AAmendment to Initial general form for registration of a class of securities pursuant to section 12(b)
10-12GInitial general form for registration of a class of securities pursuant to section 12(g)
10-12G/AAmendment to Initial general form for registration of a class of securities pursuant to section 12(g)
10-DPeriodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17
10-D/AAmendment to Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17
10-KAnnual report pursuant to section 13 and 15(d)
10-K/AAmendment to Annual report pursuant to section 13 and 15(d)
10-KTTransition report pursuant to Rule 13a-10 or 15d-10
10-KT/AAmendment to Transition report pursuant to Rule 13a-10 or 15d-10
10-QQuarterly report pursuant to sections 13 or 15(d)
10-Q PFPro forma version of Quarterly report pursuant to sections 13 or 15(d)
10-Q/AAmendment to Quarterly report pursuant to sections 13 or 15(d)
10-QTTransition report pursuant to Rule 13a-10 or 15d-10
10-QT/AAmendment to Transition report pursuant to Rule 13a-10 or 15d-10
11-KAnnual report of employee stock purchase, savings and similar plans
11-K/AAmendment to Annual report of employee stock purchase, savings and similar plans
11-KTTransition report pursuant to rule 13a-10 or 15d10
11-KT/AAmendment to Transition report pursuant to rule 13a-10 or 15d10
13F-HRInitial Quarterly Form 13F Holdings report filed by institutional managers
13F-HR/AAmendment to Initial Quarterly Form 13F Holdings report filed by institutional managers
13F-NTInitial Quarterly Form 13F Notice Report filed by institutional managers
13F-NT/AAmendment to Initial Quarterly Form 13F Notice Report filed by institutional managers
144Filing for proposed sale of securities under Rule 144
144/AAmendment to Filing for proposed sale of securities under Rule 144
15-12BNotice of termination of registration of a class of securities under Section 12(b)
15-12B/AAmendment to Notice of termination of registration of a class of securities under Section 12(b)
15-12GNotice of termination of registration of a class of securities under Section 12(g)
15-12G/AAmendment to Notice of termination of registration of a class of securities under Section 12(g)
15-15DNotice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
15-15D/AAmendment to Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
15F-12BNotice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b)
15F-12B/AAmendment to Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b)
15F-12GNotice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g)
15F-12G/AAmendment to Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g)
15F-15DNotice of a foreign private issuer’s suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
15F-15D/AAmendment to Notice of a foreign private issuer’s suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
18-12BForm for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b)
18-12B/AAmendment to Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b)
18-12GForm for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g)
18-12G/AAmendment to Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g)
18-KAnnual report for foreign governments and political subdivisions
18-K/AAmendment to Annual report for foreign governments and political subdivisions
1-ENotification by Small Business Investment Companies and Business Development Companies
1-E/AAmendment to Notification by Small Business Investment Companies and Business Development Companies
20-FAnnual and transition report of foreign private issuers pursuant to sections 13 or 15(d)
20-F/AAmendment to Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d)
20FR12BForm for initial registration of a class of securities of foreign private issuers pursuant to section 12(b)
20FR12B/AAmendment to Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b)
20FR12GForm for initial registration of a class of securities of foreign private issuers pursuant to section 12(g)
20FR12G/AAmendment to Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g)
24F-2NTRule 24F-2 notice filed on Form 24F-2
24F-2NT/AAmendment to Rule 24F-2 notice filed on Form 24F-2
25Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange
25/AAmendment to Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange
2-EReport of Sales of Securities
2-E/AAmendment to Report of Sales of Securities
3Initial statement of beneficial ownership of securities
3/AAmendment to Initial statement of beneficial ownership of securities
305B2Application for designation of a new trustee under the Trust Indenture Act
305B2/AAmendment to Application for designation of a new trustee under the Trust Indenture Act
4Statement of changes in beneficial ownership of securities
4/AAmendment to Statement of changes in beneficial ownership of securities
40-17F1Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1 of the Investment Company Act of 1940 filed on Form N-17F-1
40-17F1/AAmendment to Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1 of the Investment Company Act of 1940 filed on Form N-17F-1
40-17F2Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17F2/AAmendment to Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2
40-17GFidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17G/AAmendment to Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17GCSFilings of claim or settlement pursuant to rule 17g-1(g)(1)(2) or (3) of the Investment Company Act of 1940
40-17GCS/AAmendment to Filings of claim or settlement pursuant to rule 17g-1(g)(1)(2) or (3) of the Investment Company Act of 1940
40-24B2Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940
40-24B2/AAmendment to Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940
40-33Copies of all stockholder derivative actions filed with a court against an investment company or an affiliate thereof pursuant to Section 33 of the Investment Company Act of 1940
40-33/AAmendment to Copies of all stockholder derivative actions filed with a court against an investment company or an affiliate thereof pursuant to Section 33 of the Investment Company Act of 1940
40-6BApplication under the Investment Company Act by an employees’ securities company
40-6B/AAmendment to Application under the Investment Company Act by an employees’ securities company
40-8B25Application Requesting Extension of Time for Filing Certain Information, Documents or Reports
40-8F-2Initial application for deregistration pursuant to Investment Company Act Rule 0-2
40-8F-2/AAmendment to Initial application for deregistration pursuant to Investment Company Act Rule 0-2
40-APPApplications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-APP/AAmendment to Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-FAnnual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4
40-F/AAmendment to Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4
40FR12BRegistration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act
40FR12B/AAmendment to Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act
40FR12GRegistration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act
40FR12G/AAmendment to Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act
40-OIPApplications under the Investment Company Act reviewed by Office of Insurance Products
40-OIP/AAmendment to Applications under the Investment Company Act reviewed by Office of Insurance Products
424AProspectus filed pursuant to Rule 424(a)
424B1Prospectus filed pursuant to Rule 424(b)(1)
424B2Prospectus filed pursuant to Rule 424(b)(2)
424B3Prospectus filed pursuant to Rule 424(b)(3)
424B4Prospectus filed pursuant to Rule 424(b)(4)
424B5Prospectus filed pursuant to Rule 424(b)(5)
424B7Prospectus filed pursuant to Rule 424(b)(7)
424B8Prospectus filed pursuant to Rule 424(b)(8)
425Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions
485APOSPost-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)
485BPOSPost-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing)
485BXTPost-effective amendment filed pursuant to Securities Act Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)
486APOSPost-effective amendment to filing filed pursuant to Securities Act Rule 486(a)
486BPOSPost-effective amendment to filing filed pursuant to Securities Act Rule 486(b)
487Pre-effective pricing amendment filed pursuant to Securities Act Rule 487
497Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497
497ADFiling by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 and the Note to Rule 482(c)
497H2Filings made pursuant to Rule 497(h)(2)
497JCertification of no change in definitive materials under paragraph (j) of Securities Act Rule 497
497KSummary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k) Cannot be used until March 31, 2009.
5Annual statement of changes in beneficial ownership of securities
5/AAmendment to Annual statement of changes in beneficial ownership of securities
6-KCurrent report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments
6-K/AAmendment to Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments
8-A12BForm for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b)
8-A12B/AAmendment to Form for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b)
8-A12GForm for registration of a class of securities pursuant to section 12(g)
8-A12G/AAmendment to Form for registration of a class of securities pursuant to section 12(g)
8-KCurrent report filing
8-K/AAmendment to Current report filing
8-K12BNotification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(b)
8-K12B/AAmendment to Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(b)
8-K12G3Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(g)
8-K12G3/AAmendment to Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(g)
8-K15D5Notification of assumption of duty to report by successor issue under section 15(d)
8-K15D5/AAmendment to Notification of assumption of duty to report by successor issue under section 15(d)
ANNLRPTPeriodic Development Bank filing, submitted annually
ANNLRPT/AAmendment to Periodic Development Bank filing, submitted annually
APP WDWithdrawal of an application for exemptive or other relief from the federal securities laws
APP WD/AAmendment to Withdrawal of an application for exemptive or other relief from the federal securities laws
ARSAnnual report to security holders
ARS/AAmendment to Annual report to security holders
AWWithdrawal of amendment to a registration statement filed under the Securities Act
AW WDWithdrawal of a request for withdrawal of an amendment to a registration statement
CBNotification form filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons
CB/AAmendment to Notification form filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons
CORRESPA correspondence can be sent as a document with another submission type or can be sent as a separate submission.
COVERA cover letter must be sent as a document with another submission type.
DEF 14ADefinitive proxy statements
DEF 14CDefinitive information statements
DEFA14AAdditional definitive proxy solicitation materials
DEFA14CDefinitive additional information statement materials including Rule 14(a)(12) material
DEFC14ADefinitive proxy statement in connection with contested solicitations
DEFC14CDefinitive information statement – contested solicitations
DEFM14ADefinitive proxy statement relating to a merger,acquisition, or disposition
DEFM14CDefinitive information statement relating to merger or acquisition
DEFN14ADefinitive proxy statement filed by non management
DEFR14ADefinitive revised proxy soliciting materials
DEFR14CDefinitive revised information statement materials
DEL AMSeparately filed delaying amendment under Securities Act Rule 473 to delay effectiveness of a 1933 Act registration statement
DFAN14ADefinitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material
DFRN14ARevised definitive proxy statement filed by non-management
DSTRBRPTDistribution of primary obligations Development Bank report
DSTRBRPT/AAmendment to Distribution of primary obligations Development Bank report
F-1Registration statement for securities of certain foreign private issuers
F-1/AAmendment to Registration statement for securities of certain foreign private issuers
F-10Registration statement for securities of certain Canadian issuers under the Securities Act of 1933
F-10/AAmendment to Registration statement for securities of certain Canadian issuers under the Securities Act of 1933
F-10EFAuto effective registration statement for securities of certain Canadian issuers under the Securities Act of 1933
F-10POSPost-effective amendment to a F-10EF registration
F-1MEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-1
F-3Registration statement for specified transactions by certain foreign private issuers
F-3/AAmendment to Registration statement for specified transactions by certain foreign private issuers
F-3ASRAutomatic shelf registration statement of securities of well-known seasoned issuers
F-3DRegistration statement for dividend or interest reinvestment plan securities of foreign private issuers
F-3DPOSPost-Effective amendment to a F-3D registration
F-3MEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 3
F-4Registration statement for securities issued by foreign private issuers in certain business combination transactions
F-4 POSPost-effective amendment to a F-4EF registration
F-4/AAmendment to Registration statement for securities issued by foreign private issuers in certain business combination transactions
F-4EFAuto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions
F-4MEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 4
F-6Registration statement for American Depositary Receipts representing securities of certain foreign private issuers
F-6 POSPost-effective amendment to a F-6EF registration
F-6/AAmendment to Registration statement for American Depositary Receipts representing securities of certain foreign private issuers
F-6EFAuto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers
F-7Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933
F-7 POSPost-effective amendment to a F-7 registration
F-7/AAmendment to Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933
F-8Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933
F-8 POSPost-effective amendment to a F-8 registration
F-8/AAmendment to Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933
F-80Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933
F-80/AAmendment to Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933
F-80POSPost-effective amendment to a F-80 registration
F-9Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933
F-9 POSPost-effective amendment to a F-9EF registration
F-9/AAmendment to Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933
F-9EFAuto effective registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933
F-NNotification of the appointment of an agent for service by certain foreign institutions
F-N/AAmendment to Notification of the appointment of an agent for service by certain foreign institutions
FWPFiling under Securities Act Rules 163/433 of free writing prospectuses
F-XFor appointment of agent for service of process by issuers registering securities
F-X/AAmendment to For appointment of agent for service of process by issuers registering securities