All SEC form types

Form Type SEC Description
10-12B Initial general form for registration of a class of securities pursuant to section 12(b)
10-12B/A Amendment to Initial general form for registration of a class of securities pursuant to section 12(b)
10-12G Initial general form for registration of a class of securities pursuant to section 12(g)
10-12G/A Amendment to Initial general form for registration of a class of securities pursuant to section 12(g)
10-D Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17
10-D/A Amendment to Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17
10-K Annual report pursuant to section 13 and 15(d)
10-K/A Amendment to Annual report pursuant to section 13 and 15(d)
10-KT Transition report pursuant to Rule 13a-10 or 15d-10
10-KT/A Amendment to Transition report pursuant to Rule 13a-10 or 15d-10
10-Q Quarterly report pursuant to sections 13 or 15(d)
10-Q PF Pro forma version of Quarterly report pursuant to sections 13 or 15(d)
10-Q/A Amendment to Quarterly report pursuant to sections 13 or 15(d)
10-QT Transition report pursuant to Rule 13a-10 or 15d-10
10-QT/A Amendment to Transition report pursuant to Rule 13a-10 or 15d-10
11-K Annual report of employee stock purchase, savings and similar plans
11-K/A Amendment to Annual report of employee stock purchase, savings and similar plans
11-KT Transition report pursuant to rule 13a-10 or 15d10
11-KT/A Amendment to Transition report pursuant to rule 13a-10 or 15d10
13F-HR Initial Quarterly Form 13F Holdings report filed by institutional managers
13F-HR/A Amendment to Initial Quarterly Form 13F Holdings report filed by institutional managers
13F-NT Initial Quarterly Form 13F Notice Report filed by institutional managers
13F-NT/A Amendment to Initial Quarterly Form 13F Notice Report filed by institutional managers
144 Filing for proposed sale of securities under Rule 144
144/A Amendment to Filing for proposed sale of securities under Rule 144
15-12B Notice of termination of registration of a class of securities under Section 12(b)
15-12B/A Amendment to Notice of termination of registration of a class of securities under Section 12(b)
15-12G Notice of termination of registration of a class of securities under Section 12(g)
15-12G/A Amendment to Notice of termination of registration of a class of securities under Section 12(g)
15-15D Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
15-15D/A Amendment to Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
15F-12B Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b)
15F-12B/A Amendment to Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b)
15F-12G Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g)
15F-12G/A Amendment to Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g)
15F-15D Notice of a foreign private issuer’s suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
15F-15D/A Amendment to Notice of a foreign private issuer’s suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
18-12B Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b)
18-12B/A Amendment to Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b)
18-12G Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g)
18-12G/A Amendment to Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g)
18-K Annual report for foreign governments and political subdivisions
18-K/A Amendment to Annual report for foreign governments and political subdivisions
1-E Notification by Small Business Investment Companies and Business Development Companies
1-E/A Amendment to Notification by Small Business Investment Companies and Business Development Companies
20-F Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d)
20-F/A Amendment to Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d)
20FR12B Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b)
20FR12B/A Amendment to Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b)
20FR12G Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g)
20FR12G/A Amendment to Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g)
24F-2NT Rule 24F-2 notice filed on Form 24F-2
24F-2NT/A Amendment to Rule 24F-2 notice filed on Form 24F-2
25 Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange
25/A Amendment to Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange
2-E Report of Sales of Securities
2-E/A Amendment to Report of Sales of Securities
3 Initial statement of beneficial ownership of securities
3/A Amendment to Initial statement of beneficial ownership of securities
305B2 Application for designation of a new trustee under the Trust Indenture Act
305B2/A Amendment to Application for designation of a new trustee under the Trust Indenture Act
4 Statement of changes in beneficial ownership of securities
4/A Amendment to Statement of changes in beneficial ownership of securities
40-17F1 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
40-17F1/A Amendment 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
40-17F2 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
40-17F2/A Amendment 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
40-17G Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17G/A Amendment to Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940
40-17GCS Filings of claim or settlement pursuant to rule 17g-1(g)(1)(2) or (3) of the Investment Company Act of 1940
40-17GCS/A Amendment to Filings of claim or settlement pursuant to rule 17g-1(g)(1)(2) or (3) of the Investment Company Act of 1940
40-24B2 Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940
40-24B2/A Amendment to Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940
40-33 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
40-33/A Amendment 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
40-6B Application under the Investment Company Act by an employees’ securities company
40-6B/A Amendment to Application under the Investment Company Act by an employees’ securities company
40-8B25 Application Requesting Extension of Time for Filing Certain Information, Documents or Reports
40-8F-2 Initial application for deregistration pursuant to Investment Company Act Rule 0-2
40-8F-2/A Amendment to Initial application for deregistration pursuant to Investment Company Act Rule 0-2
40-APP Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-APP/A Amendment to Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-F Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4
40-F/A Amendment to Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4
40FR12B Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act
40FR12B/A Amendment to Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act
40FR12G Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act
40FR12G/A Amendment to Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act
40-OIP Applications under the Investment Company Act reviewed by Office of Insurance Products
40-OIP/A Amendment to Applications under the Investment Company Act reviewed by Office of Insurance Products
424A Prospectus filed pursuant to Rule 424(a)
424B1 Prospectus filed pursuant to Rule 424(b)(1)
424B2 Prospectus filed pursuant to Rule 424(b)(2)
424B3 Prospectus filed pursuant to Rule 424(b)(3)
424B4 Prospectus filed pursuant to Rule 424(b)(4)
424B5 Prospectus filed pursuant to Rule 424(b)(5)
424B7 Prospectus filed pursuant to Rule 424(b)(7)
424B8 Prospectus filed pursuant to Rule 424(b)(8)
425 Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions
485APOS Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)
485BPOS Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing)
485BXT Post-effective amendment filed pursuant to Securities Act Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)
486APOS Post-effective amendment to filing filed pursuant to Securities Act Rule 486(a)
486BPOS Post-effective amendment to filing filed pursuant to Securities Act Rule 486(b)
487 Pre-effective pricing amendment filed pursuant to Securities Act Rule 487
497 Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497
497AD Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 and the Note to Rule 482(c)
497H2 Filings made pursuant to Rule 497(h)(2)
497J Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497
497K Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k) Cannot be used until March 31, 2009.
5 Annual statement of changes in beneficial ownership of securities
5/A Amendment to Annual statement of changes in beneficial ownership of securities
6-K Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments
6-K/A Amendment to Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments
8-A12B Form for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b)
8-A12B/A Amendment to Form for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b)
8-A12G Form for registration of a class of securities pursuant to section 12(g)
8-A12G/A Amendment to Form for registration of a class of securities pursuant to section 12(g)
8-K Current report filing
8-K/A Amendment to Current report filing
8-K12B Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(b)
8-K12B/A Amendment to Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(b)
8-K12G3 Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(g)
8-K12G3/A Amendment to Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(g)
8-K15D5 Notification of assumption of duty to report by successor issue under section 15(d)
8-K15D5/A Amendment to Notification of assumption of duty to report by successor issue under section 15(d)
ANNLRPT Periodic Development Bank filing, submitted annually
ANNLRPT/A Amendment to Periodic Development Bank filing, submitted annually
APP WD Withdrawal of an application for exemptive or other relief from the federal securities laws
APP WD/A Amendment to Withdrawal of an application for exemptive or other relief from the federal securities laws
ARS Annual report to security holders
ARS/A Amendment to Annual report to security holders
AW Withdrawal of amendment to a registration statement filed under the Securities Act
AW WD Withdrawal of a request for withdrawal of an amendment to a registration statement
CB Notification form filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons
CB/A Amendment 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
CORRESP A correspondence can be sent as a document with another submission type or can be sent as a separate submission.
COVER A cover letter must be sent as a document with another submission type.
DEF 14A Definitive proxy statements
DEF 14C Definitive information statements
DEFA14A Additional definitive proxy solicitation materials
DEFA14C Definitive additional information statement materials including Rule 14(a)(12) material
DEFC14A Definitive proxy statement in connection with contested solicitations
DEFC14C Definitive information statement – contested solicitations
DEFM14A Definitive proxy statement relating to a merger,acquisition, or disposition
DEFM14C Definitive information statement relating to merger or acquisition
DEFN14A Definitive proxy statement filed by non management
DEFR14A Definitive revised proxy soliciting materials
DEFR14C Definitive revised information statement materials
DEL AM Separately filed delaying amendment under Securities Act Rule 473 to delay effectiveness of a 1933 Act registration statement
DFAN14A Definitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material
DFRN14A Revised definitive proxy statement filed by non-management
DSTRBRPT Distribution of primary obligations Development Bank report
DSTRBRPT/A Amendment to Distribution of primary obligations Development Bank report
F-1 Registration statement for securities of certain foreign private issuers
F-1/A Amendment to Registration statement for securities of certain foreign private issuers
F-10 Registration statement for securities of certain Canadian issuers under the Securities Act of 1933
F-10/A Amendment to Registration statement for securities of certain Canadian issuers under the Securities Act of 1933
F-10EF Auto effective registration statement for securities of certain Canadian issuers under the Securities Act of 1933
F-10POS Post-effective amendment to a F-10EF registration
F-1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-1
F-3 Registration statement for specified transactions by certain foreign private issuers
F-3/A Amendment to Registration statement for specified transactions by certain foreign private issuers
F-3ASR Automatic shelf registration statement of securities of well-known seasoned issuers
F-3D Registration statement for dividend or interest reinvestment plan securities of foreign private issuers
F-3DPOS Post-Effective amendment to a F-3D registration
F-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 3
F-4 Registration statement for securities issued by foreign private issuers in certain business combination transactions
F-4 POS Post-effective amendment to a F-4EF registration
F-4/A Amendment to Registration statement for securities issued by foreign private issuers in certain business combination transactions
F-4EF Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions
F-4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 4
F-6 Registration statement for American Depositary Receipts representing securities of certain foreign private issuers
F-6 POS Post-effective amendment to a F-6EF registration
F-6/A Amendment to Registration statement for American Depositary Receipts representing securities of certain foreign private issuers
F-6EF Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers
F-7 Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933
F-7 POS Post-effective amendment to a F-7 registration
F-7/A Amendment 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-8 Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933
F-8 POS Post-effective amendment to a F-8 registration
F-8/A Amendment 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-80 Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933
F-80/A Amendment 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-80POS Post-effective amendment to a F-80 registration
F-9 Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933
F-9 POS Post-effective amendment to a F-9EF registration
F-9/A Amendment 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-9EF Auto effective registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933
F-N Notification of the appointment of an agent for service by certain foreign institutions
F-N/A Amendment to Notification of the appointment of an agent for service by certain foreign institutions
FWP Filing under Securities Act Rules 163/433 of free writing prospectuses
F-X For appointment of agent for service of process by issuers registering securities
F-X/A Amendment to For appointment of agent for service of process by issuers registering securities