129
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Submission Type
Description
Tool/
Template
Number
Filer-
Constructed
Form Spec.
N-2MEF
A new registration statement on Form N-2 filed
under Securities Act Rule 462(b) by closed-end
investment companies of up to an additional
20% of securities for an offering that was
registered on Form N-2
EDGARLink
Template 1
XFDL Technical
Specification
N-3, N-3/A
Initial registration statement on Form N-3 for
separate accounts (management investment
companies)
EDGARLink
Template 1
XFDL Technical
Specification
N-30B-2
Periodic and interim reports mailed to
investment company shareholders (other than
annual and semi-annual reports mailed to
shareholders pursuant to Rule 30e-1)
EDGARLink
Template 3
XFDL Technical
Specification
N-30D, N-30D/A
Initial annual and semi-annual reports mailed to
investment company shareholders pursuant to
Rule 30e-1 (other than those required to be
submitted as part of Form NCSR)
EDGARLink
Template 3
XFDL Technical
Specification
N-4, N-4/A
Initial registration statement on Form N-4 for
separate accounts (unit investment trusts)
EDGARLink
Template 1
XFDL Technical
Specification
N-5, N-5/A
Registration statement for small business
investment companies
EDGARLink
Template 1
XFDL Technical
Specification
N-54A, N-54A/A
Notification of election by business development
companies filed on Form N-54A
EDGARLink
Template 2
XFDL Technical
Specification
N-54C, N-54C/A
Notification of withdrawal by business
development companies filed on Form N-54C
EDGARLink
Template 2
XFDL Technical
Specification
N-6, N-6/A
Registration statement for separate accounts
(unit investment trusts)
EDGARLink
Template 1
XFDL Technical
Specification
N-6F, N-6F/A
Notice of intent by business development
companies to elect to be subject to Sections 55
through 65 of the 1940 Act filed on Form N-6F
EDGARLink
Template 2
XFDL Technical
Specification
N-8A, N-8A/A
Initial notification of registration under section
8(a) filed on Form N-8A
EDGARLink
Template 2
XFDL Technical
Specification
N-8B-2, N-8B-2/A Initial registration statement for unit investment
trusts filed on Form N-8B-2
EDGARLink
Template 2
XFDL Technical
Specification
N-8B-3, N-8B-3/A Initial registration statement for periodic payment
plans filed on Form N-8B-3
EDGARLink
Template 2
XFDL Technical
Specification
N-8B-4, N-8B-4/A Initial registration statement for face-amount
certificate companies filed on Form N-8B-4
EDGARLink
Template 2
XFDL Technical
Specification
N-8F, N-8F/A
Application for deregistration made on Form N-
8F
EDGARLink
Template 2
XFDL Technical
Specification
N-CSR, N-CSR/A Certified annual shareholder report of registered
management investment companies filed on
Form N-CSR
EDGARLink
Template 3
XFDL Technical
Specification
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Submission Type
Description
Tool/
Template
Number
Filer-
Constructed
Form Spec.
N-CSRS, N-
CSRS/A
Certified semi-annual shareholder report of
registered management investment companies
filed on Form N-CSR
EDGARLink
Template 3
XFDL Technical
Specification
N-PX, N-PX/A
Annual Report of Proxy Voting Record of
Registered Management Investment Companies
filed on Form N-PX
EDGARLink
Template 3
XFDL Technical
Specification
N-Q, N-Q/A
Quarterly Schedule of Portfolio Holdings of
Registered Management Investment Company
filed on Form N-Q
EDGARLink
Template 3
XFDL Technical
Specification
NSAR-A, NSAR-
A/A
Semi-annual report for management companies
filed on Form N-SAR
EDGARLink
Template 3
XFDL Technical
Specification
NSAR-AT,
NSARAT/A
Transitional semi-annual report filed on Form N-
SAR
EDGARLink
Template 3
XFDL Technical
Specification
NSAR-B, NSAR-
B/A
Annual report for management companies filed
on Form N-SAR
EDGARLink
Template 3
XFDL Technical
Specification
NSAR-BT,
NSARBT/A
Transitional annual report filed on Form NSAR EDGARLink
Template 3
XFDL Technical
Specification
NSAR-U, NSAR-
U/A
Annual report for unit investment trusts filed on
Form N-SAR
EDGARLink
Template 3
XFDL Technical
Specification
NT 10-K, NT 10-
K/A
Notice under Rule 12b25 of inability to timely file
all or part of a Form 10-K, 10-KSB, or 10KT
EDGARLink
Template 3
XFDL Technical
Specification
NT 10-D, NT 10-
D/A
Notice under Rule 12b25 of inability to timely file
all or part of a Form 10-D
EDGARLink
Template 3
XFDL Technical
Specification
NT 10-Q, NT 10-
Q/A
Notice under Rule 12b25 of inability to timely file
all or part of a form 10-Q or 10-QSB
EDGARLink
Template 3
XFDL Technical
Specification
NT 11-K, NT 11-
K/A
Notice under Rule 12b25 of inability to timely file
all or part of a form 11-K
EDGARLink
Template 3
XFDL Technical
Specification
NT 15D2, NT
15D2/A
Notice under Rule 12b25 of inability to timely file
a special report pursuant to section 15d-2
EDGARLink
Template 3
XFDL Technical
Specification
NT 20-F, NT 20-
F/A
Notice under Rule 12b25 of inability to timely file
all or part of an annual report of form 20-F
EDGARLink
Template 3
XFDL Technical
Specification
NT-NCSR,
NTNCSR/A
Notice under Exchange Act Rule 12b-25 of
inability to timely file Form N-CSR (annual or
semi-annual report)
EDGARLink
Template 3
XFDL Technical
Specification
NT-NSAR,
NTNSAR/A
Notice under Exchange Act Rule 12b-25 of
inability to timely file Form N-SAR
EDGARLink
Template 3
XFDL Technical
Specification
POS 8C
Post-effective amendment filed under the 1933
Act only or under both the 1933 and 1940 Acts
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)
EDGARLink
Template 3
XFDL Technical
Specification
139
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EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-
Constructed
Form Spec.
POS AM
Post-effective amendment to a registration
statement that is not immediately effective upon
filing
EDGARLink
Template 1
XFDL Technical
Specification
POS AMI
Post-effective amendment (for filings made
under the 1940 Act only)
EDGARLink
Template 3
XFDL Technical
Specification
POSASR
Post-effective Amendment to an automatic shelf
registration statement on Form S-3ASR or Form
F-3ASR
EDGARLink
Template 1
XFDL Technical
Specification
POS EX
Post-effective amendment filed solely to add
exhibits to a registration statement
EDGARLink
Template 3
XFDL Technical
Specification
POS462B
Post-effective amendment to Securities Act Rule
462(b) registration statement
EDGARLink
Template 3
XFDL Technical
Specification
POS462C
Post-effective amendment to a registration
statement filed under Rule 462(c)
EDGARLink
Template 3
XFDL Technical
Specification
PRE 14A
Preliminary proxy statement not related to a
contested matter or merger/acquisition
EDGARLink
Template 2
XFDL Technical
Specification
PRE 14C
Preliminary information statement not related to
a contested matter or merger/acquisition
EDGARLink
Template 2
XFDL Technical
Specification
PREC14A
Preliminary proxy statement in connection with
contested solicitations
EDGARLink
Template 2
XFDL Technical
Specification
PREC14C
Preliminary information statements - contested
solicitations
EDGARLink
Template 2
XFDL Technical
Specification
PREM14A
Preliminary proxy statements relating to merger
or acquisition
EDGARLink
Template 2
XFDL Technical
Specification
PREM14C
Preliminary information statements relating to
merger or acquisition
EDGARLink
Template 2
XFDL Technical
Specification
PREN14A
Preliminary proxy statement filed by non-
management
EDGARLink
Template 2
XFDL Technical
Specification
PRER14A
Preliminary revised proxy soliciting materials
EDGARLink
Template 2
XFDL Technical
Specification
PRER14C
Preliminary revised information statements
EDGARLink
Template 2
XFDL Technical
Specification
PRRN14A
Revised preliminary proxy statement filed by
non-management
EDGARLink
Template 2
XFDL Technical
Specification
PX14A6G
Notice of exempt solicitation
EDGARLink
Template 2
XFDL Technical
Specification
PX14A6N
Notice of exempt solicitation for the purpose of
determining 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
EDGARLink
Template 2
XFDL Technical
Specification
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Submission Type
Description
Tool/
Template
Number
Filer-
Constructed
Form Spec.
QRTLYRPT,
QRTLYRPT/A
Periodic Development Bank filing, submitted
quarterly
EDGARLink
Template 2
XFDL Technical
Specification
RW
Registration Withdrawal Request
EDGARLink
Template 3
XFDL Technical
Specification
RW WD
Withdrawal of a Registration Withdrawal
Request
EDGARLink
Template 1
XFDL Technical
Specification
S-1, S-1/A
General form of registration statement for all
companies including face-amount certificate
companies
EDGARLink
Template 1
XFDL Technical
Specification
S-11, S-11/A
Registration statement for securities to be issued
by real estate companies
EDGARLink
Template 1
XFDL Technical
Specification
S-11MEF
A new registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form S
11
EDGARLink
Template 1
XFDL Technical
Specification
S-1MEF
A new registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form S 1
EDGARLink
Template 1
XFDL Technical
Specification
S-20, S-20/A
Registration statement for standardized options EDGARLink
Template 1
XFDL Technical
Specification
S-3, S-3/A
Registration statement for specified transactions
by certain issuers
EDGARLink
Template 1
XFDL Technical
Specification
S-3ASR
Automatic shelf registration statement of
securities of well-known seasoned issuers
EDGARLink
Template 1
XFDL Technical
Specification
S-3D
Automatically effective registration statement for
securities issued pursuant to dividend or interest
reinvestment plans
EDGARLink
Template 1
XFDL Technical
Specification
S-3DPOS
Post-effective amendment to a S-3D registration
statement
EDGARLink
Template 1
XFDL Technical
Specification
S-3MEF
A new registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form S 3
EDGARLink
Template 1
XFDL Technical
Specification
S-4 POS
Post-effective amendment to a S-4EF
registration statement
EDGARLink
Template 1
XFDL Technical
Specification
S-4, S-4/A
Registration of securities issued in business
combination transactions
EDGARLink
Template 1
XFDL Technical
Specification
S-4EF
Auto effective registration statement for securities
issued in connection with the formation of a bank
or savings and loan holding company in
compliance with General Instruction G
EDGARLink
Template 1
XFDL Technical
Specification
141
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EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-
Constructed
Form Spec.
S-4MEF
A new registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form S-4
EDGARLink
Template 1
XFDL Technical
Specification
S-6, S-6/A
Initial registration statement filed on Form S-6 for
unit investment trusts
EDGARLink
Template 1
XFDL Technical
Specification
S-8
Initial registration statement for securities to be
offered to employees pursuant to employee
benefit plans
EDGARLink
Template 1
XFDL Technical
Specification
S-8 POS
Post-effective amendment to a S-8 registration
statement
EDGARLink
Template 1
XFDL Technical
Specification
S-B, S-B/A
Registration statement for securities of foreign
governments and subdivisions thereof under the
Securities Act of 1933 (Schedule B)
EDGARLink
Template 1
XFDL Technical
Specification
S-BMEF
A new registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form S-B
EDGARLink
Template 1
XFDL Technical
Specification
SC 13D, SC 13D/A Schedule filed to report acquisition of beneficial
ownership of 5% or more of a class of equity
securities
EDGARLink
Template 2
XFDL Technical
Specification
SC 13E1, SC
13E1/A
Schedule 13-E1 statement of issuer required by
Rule 13e-1
EDGARLink
Template 2
XFDL Technical
Specification
SC 13E3, SC
13E3/A
Schedule filed to report going private
transactions
EDGARLink
Template 2
XFDL Technical
Specification
SC 13G, SC 13G/A Schedule filed to report acquisition of beneficial
ownership of 5% or more of a class of equity
securities by passive investors and certain
institutions
EDGARLink
Template 2
XFDL Technical
Specification
SC 14D9,
SC 14D9/A
Tender offer solicitation / recommendation
statements filed under Rule 14d-9
EDGARLink
Template 2
XFDL Technical
Specification
SC 14F1, SC
14F1/A
Statement regarding change in majority of
directors pursuant to Rule 14f-1
EDGARLink
Template 2
XFDL Technical
Specification
SC TO-C
Written communication relating to an issuer or
third party tender offer
EDGARLink
Template 2
XFDL Technical
Specification
SC TO-I,
SC TO-I/A
Issuer tender offer statement
EDGARLink
Template 2
XFDL Technical
Specification
SC TO-T,
SC TO-T/A
Third party tender offer statement
EDGARLink
Template 2
XFDL Technical
Specification
SC13E4F,
SC13E4F/A
Issuer tender offer statement filed pursuant to
Rule 13(e)(4) by foreign issuers
EDGARLink
Template 2
XFDL Technical
Specification
SC14D1F,
SC14D1F/A
Third party tender offer statement filed pursuant
to Rule 14d-1(b) by foreign issuers
EDGARLink
Template 2
XFDL Technical
Specification
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Submission Type
Description
Tool/
Template
Number
Filer-
Constructed
Form Spec.
SC14D9C
Written communication by the subject company
relating to a third party tender offer
EDGARLink
Template 2
XFDL Technical
Specification
SC14D9F,
SC14D9F/A
Solicitation/recommendation statement pursuant
to Section 14(d)(4) of the Securities Exchange
Act of 1934 and Rules 14d-1(b) and 14e-2(c) by
foreign issuers
EDGARLink
Template 2
XFDL Technical
Specification
SH-ER,
SH-ER/A
Weekly Form SH Entries Report Filed by
Institutional Investment Managers
EDGARLink
Template 3
SH-ER
Information
Table XML
Technical
Specification
XFDL Technical
Specification
SH-NT,
SH-NT/A
Weekly Form SH Notice Report Filed by
Institutional Investment Managers
EDGARLink
Template 3
XFDL Technical
Specification
SP 15D2,
SP 15D2/A
Special Financial Report filed under Rule 15d-2 EDGARLink
Template 3
XFDL Technical
Specification
SUPPL
Voluntary supplemental material filed pursuant
to Section 11(a) of the Securities Act of 1933 by
foreign issuers
EDGARLink
Template 2
XFDL Technical
Specification
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
indentures
EDGARLink
Template 1
XFDL Technical
Specification
T-6, T-6/A
Application for determination of eligibility of a
foreign person to act as institutional trustee filed
pursuant to Section 310(a)(1) of the Trust
Indenture Act of 1939
EDGARLink
Template 1
XFDL Technical
Specification
TA-1, TA-1/A
Application for registration as a transfer agent
filed pursuant to the Securities Exchange Act of
1934
EDGARLite
TA-1
Template
TA-1 XML
Technical
Specification
TA-2, TA-2/A
Annual report of transfer agent activities filed
pursuant to the Securities Exchange Act of 1934
EDGARLite
TA-2
Template
TA-2 XML
Technical
Specification
TA-W
Notice of withdrawal from registration as transfer
agent filed pursuant to the Securities Exchange
Act of 1934
EDGARLite
TA-W
Template
TA-W XML
Technical
Specification
UNDER, UNDER/A Initial undertaking to file reports
EDGARLink
Template 3
XFDL Technical
Specification
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EDGAR Filer Manual (Volume II)
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.
13
EDGAR Filer Manual (Volume II)
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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
119
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EDGAR Filer Manual (Volume II)
Table 3-1: Securities Act Submission Types Accepted by EDGAR
CFR Form/
Schedule/
Rule
Description
Submission
Type
Tool/
Template
Number
Filer-
Constructed
Form Spec.
Official notice of an offering of
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
D
Online Forms N/A
D
Amendment
D/A
Online Forms N/A
Registration statement for securities
of certain foreign private issuers
F-1
EDGARLink
Template 1
XFDL
Technical
Specification
Pre-effective amendment
F-1/A
EDGARLink
Template 1
XFDL
Technical
Specification
F-1
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Template 1
XFDL
Technical
Specification
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-1MEF
EDGARLink
Template 1
XFDL
Technical
Specification
F-1MEF
Post-effective amendment to
Securities Act Rule 462(b)
registration statement
POS462B
EDGARLink
Template 3
XFDL
Technical
Specification
Registration statement for specified
transactions by certain foreign
private issuers
F-3
EDGARLink
Template 1
XFDL
Technical
Specification
Pre-Effective amendment
F-3/A
EDGARLink
Template 1
XFDL
Technical
Specification
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Template 1
XFDL
Technical
Specification
Automatic shelf registration
statement of securities of well-
known seasoned issuers
F-3ASR
EDGARLink
Template 1
XFDL
Technical
Specification
F-3
Post-effective Amendment to an
automatic shelf registration
statement on Form S-3ASR or
Form F-3ASR
POSASR
EDGARLink
Template 1
XFDL
Technical
Specification
131
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March 2009
CFR Form/
Schedule/
Rule
Description
Submission
Type
Tool/
Template
Number
Filer-
Constructed
Form Spec.
Registration statement for dividend
or interest reinvestment plan
securities of foreign private issuers
F-3D
EDGARLink
Template 1
XFDL
Technical
Specification
Post-Effective amendment to a
F-3D registration
F-3DPOS
EDGARLink
Template 1
XFDL
Technical
Specification
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-3MEF
EDGARLink
Template 1
XFDL
Technical
Specification
F-3MEF
Post-effective amendment to
Securities Act Rule 462(b)
registration statement
POS462B
EDGARLink
Template 3
XFDL
Technical
Specification
Registration statement for securities
issued by foreign private issuers in
certain business combination
transactions
F-4
EDGARLink
Template 1
XFDL
Technical
Specification
Pre-effective amendment
F-4/A
EDGARLink
Template 1
XFDL
Technical
Specification
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Template 1
XFDL
Technical
Specification
Auto effective registration statement
for securities by certain foreign
private issuers in connection with
certain business combination
transactions
F-4EF
EDGARLink
Template 1
XFDL
Technical
Specification
F-4
Post-effective amendment to a
F-4EF registration
F-4 POS
EDGARLink
Template 1
XFDL
Technical
Specification
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-4MEF
EDGARLink
Template 1
XFDL
Technical
Specification
Post-effective amendment to
Securities Act Rule 462(b)
registration statement
POS462B
EDGARLink
Template 3
XFDL
Technical
Specification
F-6
Registration statement for American
Depositary Receipts representing
securities of certain foreign private
issuers
F-6
EDGARLink
Template 1
XFDL
Technical
Specification
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