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If you need to change your default notification address, you can change it on the EDGAR Filing
Website using the Company Information page.
Table
7
-3 contains the fields available on the Notification page.
Table 7-3: Information Fields Available on Notification Page
Field
#
Field Name
Example of Value to
be Inserted
Definition (Limits of Field)
50
Internet
Notification
Address
Jsmith@xyz.com
Identifies Internet User IDs that are to receive
submission acceptance or suspense messages.
Cannot be used to request Return Copies. This
field must be in standard Internet address format,
including exactly one "@" character and all
necessary "." characters; only EDGAR acceptable
characters are allowed in the address; each
address may be up to eighty (80) characters long.
51
Notify via Filing
Website Only
Check Box
For a filer who wants only to download their
notifications from the EDGAR Filing Website. This
is suggested if you are transmitting a filing after
5:30 p.m.
7.3.5.1 Adding Notification Addresses
Place your additional notification e-mail addresses on the Notification Information page:
1. From your open submission, click on the [Notifications] button.
2. The Notification Information page appears, Figure 7-26: Notification
Information Page.
3. Enter the additional Internet e-mail address in the Internet Notification
Address field. Click on the [Add] button.
Note: If there are additional Internet e-mail addresses that you want to enter
click on the [Add] button. You are allowed to add as many e-mail
addresses as you would like.
7.3.6 The EDGARLink Module/Segment Page
A module or segment is information that is stored on the non-public data storage area of
EDGAR. Information about creating module and segment documents is covered in Section 5.3
Preparing or Referencing Module and Segment Documents. Also included in this section is
information on including references to Type 1 modules and segments in other filing documents.
Before using either Type 1 or Type 2 modules/segments in a filing, you must submit them so that
they reside on the non-public data storage. The submission of these documents is outlined in
Section 7.3.11 Module and Segment Submissions. Information on managing your modules and
segments while they are in the private storage area is covered in Section 11.5.2 Retrieve
Module/Segment Information.
This section will tell you how to add Type 2 module and segment documents as you assemble
your submission. When you add these documents, EDGARLink automatically inserts the
reference in your submission, retrieves the document from the non-public storage area, and
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places the documents at the end of the submission. To add Type 2 module/segment documents to
a submission on the EDGARLink Main Page, click on the Module/Segment Button. Figure 7-27:
Referenced Module/Segment List Page will appear. You can use this screen to add the
documents. Fields on the page will be based on whether the document you are adding is a
module or segment. If you choose M from the drop down list on the first field, since modules
require both the CIK and CCC fields will appear. If you choose S in the first field for segment,
the entry boxes under the CIK and CCC will disappear.
Figure 7-27: Referenced Module/Segment List Page
Table
7
-4: Information Fields Available on the Referenced Module/Segment List Page contains
the fields available on the Referenced Module/Segment List page. It will help you correctly
complete the fields on this page by defining the content of each field and giving an example.
Table 7-4: Information Fields Available on the Referenced Module/Segment List Page
Field
#
Field Name
Example of Value to
be Inserted
Definition (Limits of Field)
52
M/S
M
Identifies the reference as a (M)odule or
(S)egment reference.
53
Module/Segment
Name
OPINION1
Identifies the name of the Type 2 module or
segment currently residing on EDGAR that you are
including in your submission.
54
CIK
1234567890
Identifies the primary owner of the Type 2 module
you reference in your submission.
55
CCC
x21234@1
Identifies the CCC of the primary owner of the
Type 2 module you reference in your submission.
56
Type
EX-1
Identifies the document type of module or segment
you are referencing.
7.3.6.1 Referencing Your Module or Segment Document
When you reference Type 1 modules and segments (partial documents) in your submission, you
should make reference inside your submission document to a Type 1 module or segment
currently residing on the EDGAR system.
Type 1 and 2 modules and segments should have unique filenames
and module
and segment
names
.
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You reference your Type 2 modules in EDGARLink on the Module/Segment page. When
EDGAR processes your submission, the module (or segment) residing on the system is
automatically attached to the bottom of the submission.
When you reference Type 2 modules and segments (one complete document), EDGARLink
automatically inserts the reference in your submission. The following sections describe how to
reference Type 2 modules and segments.
7.3.6.2 Including Type 2 Modules in Your Submission
These instructions assume that EDGAR has previously accepted your module:
1. Click on the [Module/Segment] button. The Referenced Module/Segment List
page appears.
2. Select “M” in the M/S field. Click on the down arrow and click on your
selection. The CIK and CCC fields appear.
3. Enter the module name (not the module file name) in the Module/Segment
Name field.
4. Enter the CIK and CCC of the filer whose module you are placing within your
submission.
5. Select the document type of your module in the Type field:
•
Click on the down button.
•
Scroll until you see the module document type.
•
Click on the type to enter it in to this field.
If the referenced module does not exist on EDGAR, your submission will be suspended.
7.3.6.3 Including Type 2 Segments in Your Submission
These instructions assume that EDGAR has previously accepted your segment:
1. Click on the [Module/Segment] button. The Referenced Module/Segment List
page appears.
2. Select “S” in the M/S field.
3. Enter the segment name (not the segment file name) in the Module/Segment
Name field.
4. Select the document type of your segment in the Type field:
•
Click on the down button.
•
Scroll until you see the segment document type. If your document is a cover letter or
correspondence, be sure it is correctly marked.
•
Click on the type to enter it in to this field.
IMPORTANT: If your document is a cover letter or correspondence, be sure to give it the
correct type. Otherwise it will be disseminated immediately to the public.
If the referenced segment does not exist on EDGAR, your submission will be suspended.
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7.3.6.4 Errors in Segments
EDGAR validates segments at the time you submit them. If a segment contains errors, EDGAR
reports those errors to you and/or your filing agent.
If a transmitted Type 1 or 2 segment contains only white space (is blank), EDGAR will suspend
the entire submission.
If an error arises when the EDGAR system attempts to combine segments, or if EDGAR detects
an error in the master segment, EDGAR will suspend the filing. The expiration dates of
subordinate segments referenced in the master segment are extended six business days from the
day of suspension of the master segment.
When EDGAR detects an error in a subordinate segment, the segment is not accepted and you
must re-submit the corrected subordinate segment.
Note: EDGARLink will raise an error when it is error-checking a master segment with Type 2
segment references and it cannot find the segment referenced. This error will not occur if
all subordinate segments are present on EDGAR when the master segment is filed and the
document count accounts for all documents in the assembled filing.
7.3.7 The EDGARLink Series and Classes (Contracts) Information Page
Refer to Rule 313 of Regulation S-T [17 CFR 232.313] for the substantive rule requirements
underlying the functions of this page.
The Series/Classes button will appear on the Main Page based on responses to information on the
Main Page. The answers that trigger the display of the Series/Classes button may include the
following:
•
When the form type can includes series and class(contract) information,
•
When the filer has checked the box on the main page indicating that they are a
Registered Investment Company or a Business Development Company,
•
When the Filer Investment Company type selected is an S/C type, listed below:
◊
Form N-1A (Mutual Fund)
◊
Form N-3 (Separate Account registered as Open-End Management Investment
Company)
◊
Form N-4 (Variable Annuity UIT Separate Account)
◊
Form N-6 (Variable Life UIT Separate Account)
See Figure 7-28, Main Page for Investment Company with Series and Classes (Contracts), for an
illustration of a template that fulfills all of these conditions and shows the Series/Classes button.
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Figure 7-28: Main Page for Investment Company with Series and Classes (Contract)
The filer may click the Series/Classes button on the Main Page to access the page shown in
Figure 7-29: Series and Classes (Contracts) Information Page. This page is used to add series and
class (contract) information to a filing.
This page is used for three purposes:
•
Indicating existing series and class (contract) identifiers on behalf of which a filing is
being made (Existing radio button)
•
Adding new series and class (contract) names on behalf of which a filing is being
made (New radio button)
•
Provide identifying information on series and classes (contracts) that are parties to a
merger (Merging radio button)
The page is first displayed with the Existing radio button selected. Selecting the New radio
button will change the fields displayed on the form and will be illustrated in figures in this
section. The submission form type will determine which of the buttons are available. For
example, the N-14 submission form type will display the Merging radio button, while the
485APOS form type will display the Existing and New radio buttons. In addition to the radio
buttons being dependant on the form type, the fields available will depend on the Investment
Company Type. For example, an N-1A filer will be asked for both series and class information,
while the N-6 filer will not enter series information but will be asked instead for contract
information.
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Figure 7-29: Series and Classes (Contracts) Information Page
An S/C Fund investment company also has a duty to update and keep current existing series and
class (contract) information. See Rule 313(a) (1) and (2) of Regulation S-T. Filers can update
information via the Series and Classes (Contracts) Information page accessible on the EDGAR
Filing Website. See EDGAR Filer Manual, Volume I, Maintenance of Company Data for more
information. Use the Series and Classes (Contracts) Information page for the following:
•
Series and class (contract) name changes and adding ticker information after the
ticker has been received from the exchange.
•
In the case of a merger, the filer must use the page to set the status of series and
classes (contracts) to Merge after a merger becomes effective.
•
Set the status of series and classes (contracts) to Inactive after all required filings have
been made for the series or class (contract).
7.3.7.1 EDGAR Submission Form Types with Investment Company Type and the Series
and Classes (Contracts) Information Page
For those EDGAR submission types identified in this filer manual, a S/C Fund must include all
series and/or class (or contract) identifiers of each series and or class (or contract) on behalf of
which a filing is made. See Rule 313(a) (3) of Regulation S-T.
EDGARLink is programmed to help the filer by asking questions only when appropriate.
Questions on the Investment Company Type and/or series and classes (contracts) information
will be based on the form type. On registration statements and pre-effective amendments, the
Investment Company Type of the primary registrant is determined based on the EDGAR
submission form type.
Thus on the Main Page for the registrations and pre-effective amendments, the pick-list for
Investment Company Type shows the IC type and all other values are grayed-out. Filers may not
change the IC type on these form types. The following form types are registrations and pre-
effective amendments.
N-1, N-1/A
N-5, N-5/A
N-1A, N-1A/A
N-6, N-6/A
N-2, N-2/A, N-2MEF
S-1, S-1/A
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N-3, N-3/A
S-3, S-3/A
N-4, N-4/A
S-6, S-6/A
Other form types for Investment Companies are filed by the primary registrant but are not
registrations and pre-effective amendments. On these EDGAR submission form types, a pick-list
is provided for the Investment Company Type of the primary registrant. On most of these form
types, Series and classes (contracts) identifiers might also be required in the submission. The
exception is the NSAR-U and NSAR-U/A, where series and classes will not be included in the
filing.
24F-2NT, 24F-2NT/A
N-CSR, N-CSR/A, N_CSRS, N-CSRS/A
485APOS, 485BPOS, 485BXT
N-PX, N-PX/A
497, 497AD, 497J, 497K, N-Q, N-Q/A
DEF 14A, DEF 14C
NSAR-A, NSAR-A/A, NSAR-AT, NSAR-AT/A,
NSAR-B, NSAR-B/A, NSAR-BT, NSAR-BT/A
DEFA14A, DEFA14C
NSAR-U, NSAR-U/A
DEFM14A, DEFM14C
NT-NCSR/A, NT-NSAR, NT-NSAR/A
DEFR14A, DEFR14C
POS AMI
N-14, N-14/A
PRE 14A, PRE 14C
N-30B-2
PREM14A, PREM14C
N-30D, N-30D/A
PRER14A, PRER14C
These EDGAR submission form types are for registrant and non-registrant third party filers
making proxy filings with respect to subject investment companies. On these EDGAR
submission form types, an Investment Company type pick-list defines the IC type of the subject
company. Series and classes (contracts) identifiers might be required, depending on the (subject
company) Investment Company Type and the form type.
DEFC14A
PREC14A
DEFC14C
PREC14C
DEFN14A
PREN14A
DFAN14A
PRRN14A
DFRN14A
PX14A6G
425
PX14A6N
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7.3.7.1.1 Series and Class (Contract) Information based on EDGAR Submission Form
Type
Some of the EDGAR submission form types listed above in Section 7.3.7.1 can be used by filers
to identify merged and new series and classes (contracts).
New series and classes (contracts) identifiers may be obtained by the filing of most registration
statements, pre-effective and post-effective amendments. There are a few exceptions to the
general rule however. Form N-4 and N-6 filers get an automatically generated single series. The
name of the series is identical to the investment company name when the first class (contract) is
defined. The second exception is that the 485BPOS may only be used to obtain identifiers for
new classes (contracts), but not for new series. The form types in this group are as follows:
N-1A, N-1A/A
485APOS, 485BPOS
N-3, N-3/A
POS AMI
N-4, N-4/A
N-6, N-6/A
A few submission form types can be used to identify series and classes (contracts) merger data.
These form types are as follows:
425
N-14, N-14/A
DEFM14A, DEFM14C
PREM14A, PREM14C
Some submission form types are used by both registered investment companies and other filer
types. The template helps distinguish between the two types of filers by asking whether the filer
is a registered investment company or a business development company before the fields for
investment companies are displayed. These form types are as follows:
DEF 14A, DEF 14C
PRE 14A, PRE 14C
DEFA14A, DEFA14C
PREC14A, PREC14C
DEFC14A, DEFC14C
PREM14A, PREM14C
DEFM14A, DEFM14C
PREN14A
DEFN14A
PRER14A, PRER14C
DEFR14A, DEFR14C
PRRN14A
DFAN14A, DEFR14C
PX14A6G, PX14A6N
425
S-1, S-1/A
S-3, S-3/A
7.3.7.1.2 Non-Registrant Third Party Filings
Registrant and non-registrant third party filers making proxy filings with respect to subject
investment companies may file using the EDGAR submission form types as previously
mentioned in Section 7.3.7.1. See Rule 313(d) of Regulation S-T. In these cases, the investment
company type specified is that of the subject company. The filer will also include series and/or
class (contract) identifiers on whose behalf the filing is being made. The series and class
(contract) identifiers for the subject company can be found in the SEC-EDGAR Company
Database at http://www.edgarcompany.sec.gov
.
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