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Form Types Used for Electronic Filing on EDGAR

For full list, go to http://www.sec.gov/edaux/forms/edgform.htm.

Forms for Due Diligence Investigation
TABLE FORM CONTENT
Table 1 144 Sale of securities
Table 3 10-Q
10-K
8-K
20-F
3
4
5
Quarterly report to shareholders
Annual report to shareholders
Interim report
Annual report of foreign issuer
Initial ownership
Change of ownership
Annual ownership (non-control investors)
Table 4 13D
13G
Initial ownership
Initial ownership by certain persons
Definition of "Insider" and explanation of related forms.

Note: When asked about the difference between Form 10-K405 and Form 10-K, the SEC staff responded as follows: "In substance, there is no difference between the Forms. The Form 10-K405 and Form 10-K only differentiate between filings where the Rule 405 box is checked or not checked. Checking the rule 405 box on the facing page of the Form 10-K indicates that no disclosure of delinquent ownership reports is required. Presumably, this is because the registrant has satisfied itself that there were no delinquencies. When the rule 405 box is checked, we ask that the filing be submitted as form type 10-K405 on EDGAR."


ANNUAL, QUARTERLY, AND PERIODIC REPORTS

June 1998

Note: This material is extracted and adapted from the v. 5.50 EDGAR Filer Manual

Form types that are accepted by the EDGAR system are listed in the tables below.

How Tables Are Organized

The tables are organized by the Act under which they are used. Each table has three columns: Form Type, Description, and Header Submission Type.

Form Type

Under the column for Form Types (first column), each table lists the form names as they have been known for paper filings and as they are listed in the Code of Federal Regulations (CFR).

Description

The Description (second) column explains the purpose of the form.

Header Submission Type

The Header Submission Type column (last column) shows the form type name as recognized by the EDGAR system.

Contents

Table 1 Securities Act Form Types Accepted by EDGAR
Table 2 Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant to Section 14 Form Types Accepted by EDGAR
Table 3 Securities Exchange Act - Registration and Report Form Types Accepted by EDGAR
Table 4 Williams Act Filing Form Types Accepted by EDGAR
Not Included Here (see the URL at top for SEC)
Table 5 Public Utility Holding Company Act Form Types Accepted by EDGAR
Table 6 Investment Company Filing Form Types Accepted by EDGAR
Table 7 World Bank Form Types Accepted by EDGAR (These form types are to be used only by the World Bank.)

 

Table 1. Securities Act Form Types Accepted by EDGAR

Form Type Description Header Submission Type
Form F-1 Registration statement for certain foreign private issuers:
    Initial statement
    Pre-effective amendments
    Post-effective amendments
F-1
F-1/A
POS AM
Form F-1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-1. F-1MEF
Form F-2 Registration statement for certain foreign private issuers:
    Initial statement
    Pre-effective amendments
    Post-effective amendments

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

 

F-2
F-2/A
POS AM

 

F-2D
F-2DPOS

Form F-2MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-2. F-2MEF
Form F-3 Registration statement for specified transactions by certain foreign private issuers:
    Initial statement
    Pre-effective amendments
    Post-effective amendments

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

 

F-3
F-3/A
POS AM

 

F-3D
F-3DPOS

Form F-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-3. F-3MEF
Form F-4 Registration statement for securities issued by foreign private issuers in certain business combination transactions:
    Initial statement
    Pre-effective amendments
    Post-effective amendments
 

 
F-4
F-4/A
POS AM

Form F-4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-4. F-4MEF
Form F-6 Registration statement for American Depositary Receipt shares that is not automatically effective upon filing:
    Initial statement
    Pre-effective amendments
    Post-effective amendments

Filing to become effective immediately upon filing:
    Initial statement
    Pre-effective amendments
    Post-effective amendments

F-6
F-6/A
POS AM
 

F-6EF
F-6EF/A
F-6 POS

Form F-9MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-9. F-9MEF
Form F-10MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-10. F-10MEF
Form S-1 General form of registration statement:
    Initial statement
    Pre-effective amendments
    Post-effective amendments

S-1
S-1/A
POS AM
Form S-1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-1. S-1MEF
Form S-2 Registration of securities of certain issuers:
    Initial statement
    Pre-effective amendments
    Post-effective amendments

S-2
S-2/A
POS AM
Form S-2MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-2. S-2MEF
Form S-3 Registration statement for specified transactions by certain issuers:
    Initial statement
    Pre-effective amendments
    Post-effective amendments

Registration of securities pursuant to dividend or interest reinvestment plans which become effective automatically upon filing:
    Initial statement
    Post-effective amendments

S-3
S-3/A
POS AM

 
 

S-3D
S-3DPOS

Form S-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-3. S-3MEF
Form S-4 Registration of securities issued in business combination transactions
    Initial statement
    Pre-effective amendments
    Post-effective amendments

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

S-4
S-4/A
POS AM

 
 

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

Form S-4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-4. S-4MEF
Form S-8 Securities to be offered to employees pursuant to employee benefit plans
    Initial statement
    Post-effective amendments
S-8
S-8 POS
Form S-11 Registration statement for securities to be issued by real estate companies:
    Initial statement
    Pre-effective amendments
    Post-effective amendments
S-11
S-11/A
POS AM
Form S-11MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-11. S-11MEF
Form S-20 For standardized options:
    Initial statement
    Pre-effective amendments
    Post-effective amendments

S-20
S-20/A
POS AM
Form SB-1 Optional form for the registration of securities to be sold to the public by small business issuers:
    Initial statement
    Pre-effective amendments
    Post-effective amendments
SB-1
SB-1/A
POS AM
Form SB-1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form SB-1. SB-1MEF
Form SB-2 Optional form for the registration of securities to be sold to the public by small business issuers:
    Initial statement
    Pre-effective amendments
    Post-effective amendments
SB-2
SB-2/A
POS AM
Form SB-2MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form SB-2. SB-2MEF
POS462B Post-effective amendment to Securities Act Rule 462(b) registration statement.
POS462B
POS462C Post-effective amendment to a registration statement filed under Rule 424(c).
POS462C
POS EX Post-effective amendment filed solely to add exhibits to a registration statement.
POS EX
POS AM Post-effective amendments (to provide updated prospectus information).
POS AM
  Filed pursuant to Rule 424(a).
Filed pursuant to Rule 424(b)(1).
Filed pursuant to Rule 424(b)(2).
Filed pursuant to Rule 424(b)(3).
Filed pursuant to Rule 424(b)(4).
Filed pursuant to Rule 424(b)(5).
Filed pursuant to Rule 424(b)(7).
424A
424B1
424B2
424B3
424B4
424B5
424B7
305B2 Initial statement
    Pre-effective amendments
305B2
305B2/A
T-3 Application for qualification of trust indentures:
    Initial statement
    Pre-effective amendments
Note: "Form types" T-1 and T-2 are not used as stand-alone forms on the EDGAR system. They are filed as EX-25 to registration statements.

T-3
T-3/A
Form 144 Report of proposed sale of securities:
    Initial filing
    Amendments
Note: Form 144 may be filed electronically on a voluntary basis if the issuer of the securities is a public company.

144
144/A
Form 425 Delaying amendment.
Information pursuant to Item 4 of Form S-6.
Amendment to information pursuant to Item 4 of Form S-6.

Registration Withdrawal Request

Amendment Withdrawal Request

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

DEL AM
UNDER

UNDER/A

RW

AW

425

Special Processing of Certain Forms

Issuers are advised that the form types listed below will receive a "Filing Date" identical to the EDGAR "Received Date." This means that filings in the listed group, even if received after 5:30 p.m. (Eastern time) will be considered to be filed with the SEC on the actual day of receipt. Unlike most EDGAR filings, they will not receive a filing date of the next business day if received between 5:30 p.m. and 10:00 p.m. These form types were necessitated by the rule changes adopted by the Commission effective June 7, 1995, regarding prospectus delivery issues arising from the T+3 initiative (Securities Act Release 33-7168).

The following form types will receive a filing date identical to the EDGAR "Received Date:"

F-1MEF     F-2MEF     F-3MEF     F-4MEF     F-10MEF    
POS462B     S-1MEF     S-2MEF     F-9MEF     S-4MEF    
SB-1MEF     SB-2MEF     S-3MEF     S-11MEF     N-2MEF    
N-14MEF            

You should designate any fee payment made to the Commission's lockbox for the above registration statements as "unrestricted." Additionally, you should submit any fee payment certification that you are making for the above-listed form types, pursuant to Rule 111(b), using the "CORRESP" form type.

Table 2. Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant to Section 14 Form Types Accepted by EDGAR

Form Type Description Header Submission Type
Preliminary Proxy Soliciting Materials
  Preliminary proxy statements relating to merger or acquisition PREM14A
  Preliminary proxy statements - contested solicitations PREC14A
  Preliminary proxy statements - special meeting PRES14A
  Non-management preliminary proxy statements not involving contested solicitations PREN14A
  All other preliminary proxy statements PRE 14A
Preliminary Information Statements
  Preliminary information statements relating to merger or acquisition PREM14C
  Preliminary information statements -contested solicitations PREC14C
  Preliminary information statements -special meeting PRES14C
  All other preliminary information statements PRE 14C
Revised Preliminary Materials
  Proxy soliciting materials PRER14A
  Non-management revised preliminary proxy soliciting materials for both contested solicitations and other situations. PRNN14A
  Information statements PRER14C
Definitive Materials (Proxy Materials)
  Definitive proxy statement relating to merger or acquisition DEFM14A
  Definitive proxy statement in connection with contested solicitations DEFC14A
  Definitive proxy statement filed by non-management not in connection with contested solicitations DEFN14A
  All other definitive proxy statements DEF 14A
  Revised definitive proxy statement filed by non-management DFRN14A
  Revised proxy soliciting materials -definitive DEFR14A
  Additional proxy soliciting materials -definitive DEFA14A
  Additional proxy soliciting materials-definitive - filed by non-management DFAN14A
  Definitive proxy statement for special meeting DEFS14A
  Notice of exempt solicitation PX14A6G
    PX14A6N
Definitive Materials (Information Statements)
  Definitive information statement relating to merger or acquisition DEFM14C
  Definitive information statement - contested solicitations DEFC14C
  All other definitive information statements DEF 14C
  Additional information statement materials - definitive DEFA14C
  Revised information statement materials - definitive DEFR14C
  Definitive information statement for special meeting DEFS14C

Table 3. Securities Exchange Act - Registration and Report Form Types Accepted by EDGAR

Form Type Description Header Submission Type
Registration Statements
Form 8A Registration of certain classes of securities pursuant to section 12(b) or (g)  
  Registration of securities pursuant to section 12(b)
    Initial filing
    Amendments
8-A12B
8-A12B/A
  Registration of securities pursuant to section 12(g)
    Initial filing
    Amendments
8-A12G
8-A12G/A
Form 10 General form for registration of securities pursuant to section 12(b) or (g)  
  Registration of securities pursuant to section 12(b)
    Initial filing
    Amendments
10-12B
10-12B/A
  Registration of securities pursuant to section 12(g)
    Initial filing
    Amendments
10-12G
10-12G/A
FORM 10-SB Registration of securities for small business issuers pursuant to section 12(b)
    Initial filing
    Amendments
10SB12B
10SB12B/A
  Registration of securities for small business pursuant to section 12(g)
    Initial filing
    Amendments
10SB12G
10SB12G/A
Form 20F Registration of securities of foreign private issuers pursuant to section 12(b) or (g)  
  Registration of securities pursuant to section 12(b)
    Initial filing
    Amendments
20FR12B
20FR12B/A
  Registration of securities pursuant to section 12(g)
    Initial filing
    Amendments
20FR12G
20FR12G/A
Form 18 Registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(b) or 12(g)  
  Registration of securities pursuant to section 12(b)
    Initial filing
    Amendments
18-12B
18-12B/A
  Registration of securities pursuant to section 12(g)
    Initial filing
    Amendments
18-12G
18-12G/A
Annual, Quarterly, And Periodic Reports
  Annual Report to Security Holders

Note: Use this submission type when furnishing the annual report to security holders for the information of the Commission pursuant to Rule 14a-3(c) or Rule 14c-3(b). Portions of the annual report to security holders filed with the Commission as part of a registration statement or periodic report should be filed as Exhibit 13, as provided by Item 601 of Regulation S-K and S-B. See Appendix C for proper tagging of Exhibit 13.

ARS
Form 6-K Report of foreign issuer pursuant to Rules 13a-16 and 15d-16
    Initial filing
    Amendments
6-K
6-K/A
Form 10-Q Quarterly and transition report filed pursuant to sections 13 or 15(d)
    Initial filing
    Amendments
10-Q
10-Q/A
  Transition reports pursuant to rule 13a-10 or 15d-10
    Initial filing
    Amendments
10-QT
10-QT/A
Form 10-QSB Optional form for quarterly and transition reports of small business issuers under
section 13 or 15(d)
    Initial filing
    Amendments
10QSB
10QSB/A
Form 10-K405 Annual and transitional reports pursuant to Sections 13 and 15(d) where the Regulation S-K Item 405 box on the cover page (relating to Section 16(a) reports) is checked
    Initial filing
    Amendments
10-K405
10-K405/A
  Transition reports pursuant to Rule 13a-10 or 15d-10
    Initial filing
    Amendments
10KT405
10KT405/A
Form 10-K Annual and transition reports pursuant to section 13 and 15(d) where the Regulation S-K Item 405 box (relating to Section 16(a) reports) on the cover page is not checked
    Initial filing
    Amendments
10-K
10-K/A
  Transition reports pursuant to rule 13a-10 or 15d-10
    Initial filing
    Amendments
10-KT
10-KT/A
Form 10KSB405 Optional form for annual and transition reports of small business issuers under Section 13 or 15(d) where the Regulation S-B Item 405 box on the cover page (relating to Section 16(a) reports) is checked
    Initial filing
    Amendments
10KSB40
10KSB40/A
Form 10-KSB Optional form for annual and transition reports of small business issuers under section 13 or 15(d) where the Regulation S-B Item 405 box (relating to Section 16(a) reports) on the cover page is not checked
    Initial filing
    Amendments
10KSB
10KSB/A
Form 8-K Current report
    Initial filing
    Amendments

8-K
8-K/A
  Notification of securities of successor issuers deemed to registered pursuant to section 12
    Initial filing
    Amendments
8-K12G3
8-K12G3/A
  Notification of assumption of duty to report by successor issue under section 15(d)
    Initial filing
    Amendments
8-K15D5
8-K15D5/A
Form 11-K Annual report of employee stock purchase, savings and similar plans
    Initial filing
    Amendments
11-K
11-K/A
  Pursuant to rule 13a-10 or 15d-10
    Initial filing
    Amendments

11-KT
11-KT/A
Form 18-K Annual report for foreign governments and political subdivisions
    Initial filing
    Amendments
18-K
18-K/A
Form 20-F Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d)
    Initial filing
    Amendments
20-F
20-F/A
Form 12b-25 Notification of inability to timely file filing Special report pursuant to section 15d-2
    Initial filing
    Amendments
NT 15D2
NT 15D2/A
  Form 10-Q or 10-QSB
    Initial filing
    Amendments

NT 10-Q
NT 10-Q/A
  Form 10-K 405, 10-K, 10-KSB 405, 10-KSB, 10-KT, or 10-KT405
    Initial filing
    Amendments
NT 10-K
NT 10-K/A
  Form 11-K
    Initial filing
    Amendments

NT 11-K
NT 11-K/A
  Form 20-F
    Initial filing
    Amendments

NT 20-F
NT 20-F/A
Form 15 Certification of termination of registration of a class of security under Section 12(g) or notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
Section 12(b)
    Initial filing
    Amendments
Section 12(g)
    Initial filing
    Amendments
Section 13 and 15(d)
    Initial filing
    Amendments
15-12B
15-12B/A

15-12G
15-12G/A

15-15D
15-15D/A

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

SP 15D2
SP 15D2/A
Miscellaneous Forms/Filings
Form 13F Quarterly reports filed by institutional managers
13F Holdings Report
    Initial filing
    Amendments
13F Notice Report
    Initial filing
    Amendments
13F Combination Report
    Initial filing
    Amendments
13F-HR
13F-HR/A

13F-NT
13F-NT/A

13F-HR
13F-HR/A

Request for Withdrawal **   RW
Amendment Withdrawal **   AW
** Form Types RW and AW are suitable only for registration statement withdrawals and amendments.
Form 425 Filing of certain prospectuses and communications in connection with business combination transactions. 425
Section 16 Ownership Forms/Filings
Form 3 Initial statement of beneficial ownership of securities
    Initial filing
    Amendments
3
3/A
Form 4 Statement of changes in beneficial ownership of securities
    Initial filing
    Amendments
4
4/A
Form 5 Annual statement of changes in beneficial ownership of securities
    Initial filing
    Amendments
5
5/A
Note: You can file Forms 3, 4, and 5 electronically on a voluntary basis.

Table 4. Williams Act Filing Form Types Accepted by EDGAR

Form Type Description Header Submission Type
Schedule 13D General statement of beneficial ownership
    Initial statement
    Amendments

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

SC 13E1
SC 13E1/A
Schedule 13E-3 Going private transaction by certain issuers
    Initial statement
    Amendments

SC 13E3
SC 13E3/A
Schedule 13E-4 Issuer tender offer statement
    Initial statement
    Amendments

SC TO-I
SC 13E4/A
Schedule 13G Statement of beneficial ownership by certain persons
    Initial statement
    Amendments
SC TO-T
SC 13G/A
Schedule 14D1 Tender offer statement
    Initial statement
    Amendments

SC TO-T
SC 14D1/A
Schedule TO-I Tender offer statement by Issuer
    Initial statement
    Amendments

SC TO-I
SC TO-I/A
Schedule TO-T Tender offer statement by Third Party
    Initial statement
    Amendments

SC TO-T
SC TO-T/A
Schedule TO-C Written communication relating to an issuer or third party
SC TO-C
Schedule 14D9-C Written communication by the subject company relating to a third party tender offer SC 14D9-C
Schedule 14D-9 Solicitation/recommendation statements
    Initial statement
    Amendments

SC 14D9
SC14D9/A
n/a Statement regarding change in majority of directors pursuant to Rule 14f-1
    Initial statement
    Amendments
SC 14F1
SC 14F1/A

 


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