Form Group Descriptions

All Forms EXCEPT 3, 4, 5, 144
3
3/A
4
4/A
5
5/A
144
144/A
Annual Reports (10-K)
10-K
10-K/A
10-K405
10-K405/A
10-KT
10-KT/A
10KSB
10KSB/A
10KSB40
10KSB40/A
10KT405
10KT405/A 
NT 10-K
NT 10-K/A
NTN 10K
Annual Reports, Non-US (20-F)
20-F
20-F/A
20FR12B
20FR12B/A
20FR12G
20FR12G/A
NT 20-F
NT 20-F/A
NTN 20F
40-F
40-F/A
40FR12B
40FR12B/A
40FR12G
40FR12G/A
Beneficial Ownership (13D & 13G)
13D-5
EXSC13D
SC 13D
SC 13D/A
SC 13DE
SCA 13D
SCA 13D/A
SCH 13D
SCT 13D
SC 13G/A
SCA 13G
SCH 13G
SCH 13G/A
SCH 13G/S
052 13G
071 13G
SC 13G
Annual/Periodic/Current Reports and Proxies
6-K
6-K/A
8-K
8-K/A
10-K
10-K/A
10-K405
10-K405/A
10-KT
10-KT/A
10KSB
10KSB/A
10KSB40
10KSB40/A
 
10KT405
10KT405/A 
NT 10-K
NT 10-K/A
NTN 10K
10-Q
10-Q/A
10-QT
10-QT/A
10QSB
10QSB/A
NT 10-Q
NT 10-Q/A
NTN 10Q
 
20-F
20-F/A
NT 20-F
NT 20-F/A
40-F
40-F/A
DEF 14A
DEF 14C
DEF13E3
DEFA14A
DEFA14C
DEFC14A
DEFC14C
DEFM14A
DEFM14C
DEFN14A
DEFR14A
DEFR14C
DEFS14A
DEFS14C
DFAN14A
PRE 14A
PRE 14C

PRE13E3
PREC14A
PREC14C
PREM14A
PREM14C
PREN14A
PRER14A
PRER14C
PRES14A
PRES14C
PRRN14A
Going Private
SC 13E3
SC 13E3/A
SCF13E3
SCF13E3/A
15-12B
15-12B/A 
15-12G
15-12G/A
15-15D
15-15D/A
15F-12B
15F-12B/A
15F-12G
15F-12G/A 
15F-15D
Foreign Private Issuers
15F-12B
15F-12B/A
15F-12G
14F-12G/A
15F=12D
20-F 
20-F/A
20FR12B
20FR12B/A
20FR12G
20FR12G/A
6-K
6-K/A
F-1 
F-1/A
F-3
F-3ASR
F-3/A
F-3D
F-3DPOS
F-3D/A
F-4
F-4/A
F-4MEF
F-4 POS
F-6
F-6/A
F-6EF
F-6 POS
SC13E4F
SC13E4F/A
SC14D1F
SC14D1F/A
SC14D9F
SC14D9F/A
SUPPL
Insider (3, 4, 5, 144)
3
3/A
4
4/A
5
5/A
144
144/A
Institutional Holdings (13F)
13F-E
13F-E/A
13F-HR
13F-HR/A
13F-NT
13F-NT/A
Investment Advisers Act of 1940
4-R
4-R/A
40-206A
40-206A/A
ADV
ADV/A
ADVCO
ADV-E
ADV-E/A
ADV-SCA
ADV-SCI
ADV-SCI/A
ADVSUC
ADVSUC/A
ADVSUCI
ADVAUCI/A
ADVW
ADVW/A
ADV-NR
ADV-H-T
ADV-H-C
ADV-T/A
ADV-S
ADV-Y2K/A
ADV-Y2K
ADV-S/A
ADV-T
ADV-SCA/A
Late Filings (12b-25)
NT 10-A
NT 10-D
NT 10-D/A
NT 10-K
NT 10-K/A
NT 10-Q
NT 10-Q/A
NT 11-K
NT 11-K/A
NT 15D2
NT 15D2/A
NT 10-K
NT 10-K/A
NT 20-F
NT 20-F/A
NT 20-K
NTFNCSR
NTFNSAR
NTN 10D
NTN 10K
NTN 10K/A
NTN 10Q
NTN 10Q/A
NTN 11K
NTN 11K/A
NTN 20F
NTN15D2
NT-NCSR
NT-NCSR/A
NT-NSAR
NT-NSAR/A
Proxies (Definitive)
DEF 14A
DEF 14C
DEF13E3
DEFA14A
DEFA14C
DEFC14A
DEFC14C
DEFM14A
DEFM14C
DEFN14A
DEFR14A
DEFR14C
DEFS14A
DEFS14C
DFAN14A
Proxies (Preliminary)
PRE 14A
PRE 14C
PRE13E3
PREC14A
PREC14C
PREM14A
PREM14C
PREN14A
PRER14A
PRER14C
PRES14A
PRES14C
PRRN14A
Quarterly Reports (10-Q)
10-Q
10-Q/A
10-QT
10-QT/A
10QSB
 
10QSB/A
NT 10-Q
NT 10-Q/A
NTN 10Q
Registration Statements (Prospectuses)
10-12B
10-12B/A
10-12G
10-12G/A
10SB12B
10SB12B/A
10SB12G
10SB12G/A
18-12B
18-12B/A
18-12G
18-12G/A
20FR12B
20FR12B/A
20FR12G
20FR12G/A
40FR12B
40FR12B/A
40FR12G
40FR12G/A
8-A12B
8-A12B/A
8-A12G
8-A12G/A
DRS
DRS/A
F-1
F-1/A
F-10
F-10/A
F-10EF
F-1MEF
F-2
F-2/A
F-2D
F-2MEF
F-3
F-3/A
F-3D
F-3MEF
F-4
F-4/A
F-4EF
F-4EF/A
F-4MEF
F-6
F-6/A
F-6EF
F-7
F-7/A
F-8
F-8/A
F-80
F-80/A
F-9
F-9/A
F-9EF
F-9EF/A
FWP
N-1
N-1/A
N-14
N-14 8C
N-14 8C/A
N-14/A
N-14AE
N-14AE/A
N-14MEF
N-1A
N-1A/A
N-2
N-2/A
N-3
N-3/A
N-4
N-4/A
N-5
N-5/A
N-6
N-6/A
N-8A
N-8A/A
N-8B-2
N-8B-2/A
N-8B-3
N-8B-3/A
N-8B-4
N-8B-4/A
S-1
S-1/A
S-11
S-11/A
S-1MEF
S-11MEF
S-2
S-2/A
S-20
S-20/A
S-2MEF
S-3
S-3/A
S-3ASR
S-3D
S-3MEF
S-4
S-4/A
S-4EF
S-4EF/A
S-4MEF
S-6
S-6/A
S-8
S-8/A
S-B
SB/A
SB-1
SB-1/A
SB-1MEF
SB-2
SB-2/A
SB-2MEF
S-BMEF
U5B
U5B/A

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Form Group Descriptions (cont'd)

Rule 424 Filings (Prospectus Supplement)
424
424A
424A/A
424B
424B/A
424B1
424B1/A
424B2
424B2/A
424B3
424B3/A
424B4
424B4/A
424B5
424B5/A
424B6
424B7
424B8
424B8/A
424C
424C/A
424D
Securities Exchange Act of 1934
3
3/A
4
4/A
5
5/A
10
10/A
10-12B
10-12B/A
10-12G
10-12G/A
10-K
10-K/A
10KSB
10KSB/A
10-KT
10-KT/A
10-Q
10-Q/A
10QSB
10QSB/A
10-QT
10-QT/A
10-SB
10-SB/A
10SB12B
10SB12B/A
10SB12G
10SB12G/A
11-K
11-K/A
11-KT
11-KT/A
15-15D
15-15D/A
18
18/A
18-12B
18-12B/A
 
18-12G
18-12G/A
18-K
18-K/A
19B-4
19B-4/A
20-F
20-F/A
20-FR
20-FR/A
20FR12B
20FR12B/A
20FR12G
20FR12G/A
25
25/A
40-F
40-F/A
40-FR
40-FR/A
40FR12B
40FR12B/A
40FR12G
40FR12G/A
6-K
6-K/A
8-A
8-A/A
8-A12B
8-A12B/A
8A12BEF
8A12BT
8A12BT/A
8-A12G
8-A12G/A
8-K
8-K/A
8-K12G3
8-K12G3/A
8-K15D5
 
8-K15D5/A
DEF 14A
DEF 14A/A
DEF 14C
DEFA14A
DEFA14C
DEFC14A
DEFC14C
DEFM14A
DEFM14C
DEFN14A
DEFR14A
DEFR14C
DEFS14A
DEFS14C
DFAN14A
DFRN14A
EFFECT
EFFECT/A
NT 10-K
NT 10-K/A
NT 10-Q
NT 10-Q/A
NT 11-K
NT 11-K/A
NT 15D2
NT 15D2/A
NT 1O-K/A
NT 20-F
NT 20-F/A
NTN 10K
NTN 10K/A
NTN 10Q
NTN 10Q/A
NTN 11K
NTN 11K/A
NTN 20F
PX14A6G
PX14A6N
SC 13D

SC 13D/A
SC 13E1
SC 13E1/A
SC 13E3
SC 13E3/A
SC 13E4
SC 13E4/A
SC 13G
SC 13G/A
SC 14D1
SC 14D1/A
SC 14D9
SC 14D9/A
SC 14D9-C
SC TO-C
SC TO-C/A
SC TO-I
SC TO-I/A
SC TO-T
SC TO-T/A
SC13E4F
SC13E4F/A
SC14D1F
SC14D1F/A
SC14D9C
SC14D9C/A
SC14D9F
SC14D9F/A
SCA 13D
SCA 13D/A
SCF13E1
SCF13E3
SCF13E3/A
SCH 13G
SCH 13G/A
TA-1
TA-1/A
TA-2
TA-2/A
TA-W
Securities Act of 1933
1-A
1-A/A
2-A
2-A/A
15
15/A
15-12B
15-12B/A
15-12G
15-12G/A
144
144/A
424
424A
424A/A
424B
424B/A
424B1
424B1/A
424B2
424B2/A
424B3
424B3/A
424B4
424B4/A
424B5
424B5/A
424B7
424C
486APOS
486BPOS
CB
CB/A
DEL AM
EFFECT
EFFECT/A
F-1
F-1/A
F-10
F-10/A
F-10EF
F-10EF/A
F-10MEF
F-10POS
F-1MEF/A
F-2
F-2/A
F-2D
F-2DPOS
F-2MEF
F-3
F-3/A
F-3ASR
F-3ASR/A
F-3D
F-3D/A
F-3DPOS
F-3MEF
F-4
F-4POS
F-4/A
F-4EF
F-4EF/A
F-4MEF
F-6
F-6POS
F-6/A
F-6EF
F-6EF/A
F-6WAV
F-7POS
F-7/AF-8
F-8POS
F-8/A
F-80
F-80A
F-80POS
F-9
F-9POS
F-9/A
F-9EF
F-9EF/A
F-9MEF
F-N
F-N/A
FWA
POS 8C
POSAM
POSAM/A
POSEX
POSEX/A
POS462B
POS462C
POSASR
POSASR/A
RW
RW WD
RW/A
S-1
S-1/A
S-1MEF
S-2
S-2/A
S-2MEF
S-3
S-3/A
S-3ASR
S-3ASR/A
S-3D
S-3D/A
S-3DPOS
S-3MEF
S-4
S-4 POS
S-4/A
S-4EF
S-4EF/A
S-4MEF
S-8
S-8 POS
S-8/A
S-11
S-11/A
S-11MEF
S-20
S-20/A
S-B
S-B/A
SB-1
SB-1/A
SB-1MEF
SB-2
SB-2/A
SB-2MEF
SE
SUPPL
TH
UNDER
UNDER/A
Current Reports (8-K & 6-K)
6-K
6-K/A
8-K
8-K/A
Tender Offers
SC13E4F
SC13E4F/A
SC 13E1
SC 13E1/A
SC 13E3
SC 13E3/A
SC 13E4
SC 13E4/A
SC14D9C
SC14D1F/A
SC14D9F/A
SC14D9F
SC14D1F
SC 14D9
SC 14D9/A
SCH 14D
SC TO-C
SC TO-C/A
SC TO-I
SC TO-I/A
SC TO-T
SC TO-T/A
Trust Indenture Act of 1939
305B2
305B2/A
T-1
T-1/A
T-2
T-2/A
T-3
T-3A
T-4
T-4/A
T-6
T-6/A
Williams Act
CB
CB/A
SC 13D
SC 13D/A
SC 13E1
SC 13E1/A
SC 13E3
SC 13E3/A
SC 13E4
SC 13E4/A
SC 13G
SC 13G/A
SC 14D1
SC 14D1/A
SC 14D9
SC 14D9/A
SC 14D9-C
SC 14F1
SC 14F1/A
SC TO-C
SC TO-C/A
SC TO-I
SC TO-I/A
SC TO-T
SC TO-T/A
SC13E4F
SC13E4F/A
SC14D1F
SC14D1F/A
SC14D9C
SC14D9C/A
SC14D9F
SC14D9F/A
SCA 13D
SCA 13D/A

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Investment Company Form Group Descriptions

Certified Shareholder Reports
N-CSR
N-CSR/A
N-CSRS
N-CSRS/A
Deregistration Applications
N-8F
40-8F/A
40-8F2
40-8F-2
40-8F-2/A
40-8F-A
40-8F-A/A
40-8F-B
40-8F-B/A
40-8FC
40-8FC/A
40-8F-L
40-8F-L/A
40-8F-M
40-8F-M/A
Investment Company Act of 1940
40-OIP
40-OIP/A
485A24E
485A24F
485APOS
485APOS/A
485B24E
485B24F
485BPOS
485BPOS/A
8F-2 NTC
8F-2 ORDR
N-5
N-5/A
N-6F
N-6F/A
N-8A
N-8A/A
N-6C9/A
N-6C9
N-17D-1
N-17D-1/A
N-54A
N-54A/A
N-54C
N-54C/A
NSARs
NSAR-A
NSAR-A/A
NSAR-AT
NSAR-AT/A
NSAR-B
NSAR-B/A
NSAR-BT
NSAR-BT/A
NSARCON
NSAR-U
NSAR-U/A
NSAR-UT
Exemptive Applications
40-APP
40-6B/A
40-6B/A
40-6C
40-6C/A
40-APP/A
40-OIP
40-OIP/A
Other Periodic Reports
24-F-2NT
24F-2EL
24F-2EL/A
24-F-2NT/A
24F-2TM
N-1Q
N-1Q/A
N-1R
N-1R/A
N-PX
N-PX/A
N-Q
N-Q/A
Prospectuses (Rule 485 filings)
485 POS
485A24E
485A24F
485APOS
485APOS/A
485B24E
485B24F
485BPOS
485BPOS/A
485BXT
485BXTE
485BXTF
Registration Statements
N-1
N-1/A
N-1EL24
N-1A
N-1A/A
N-1A EL
N-1A EL/A
N-2
N-2/A
N-2MEF
N-3
N-3/A
N-3 EL
N-3 EL/A
N-4
N-4/A
N-4 EL
N-4 EL/A
N-4EL24
N-5
N-5/A
N-6
N-6/A
N-6F
N-8A
N-8A/A
N-8B-1
N-8B-1/A
N-8B-2
N-8B-2/A
N-8B-3
N-8B-4
N-14
N-14 8C
N-14 8C/A
N-14/A
N-14MEF
N-14AE
N-14AE/A
N14AE24
N14AE24/A
N-14EL
N-14EL24
N-14EL24/A
Supplementary Materials
(Rule 497 filings)
497
497/A
497AD
497H2
497J
497K1
497K2
497K3A
497K3B
Prospectuses (Rule 486 filings)
486A24E
486A24F
486APOS
486B24E
486B24F
486BPOS

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