'40 Reports E Notifications by Small Business Investment Companies and Business Development Companies 1-E 6 9
'40 Reports E Reports of Sales of Securities 2-E 5 2
'34 Ownership 3 Initial Statements of Beneficial Ownership of Securities 3 206,157 12,774
'34 Ownership 4 Statements of Changes in Beneficial Ownership of Securities 4 2,239,916 80,149
'34 Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities 5 82,915 3,474
'34 Reports 6-K Reports of Foreign Private Issuers 6-K 245,855 3,345
'34 Registrations 8-A Registrations of Certain Classes of Securities 8-A12B 13,689 3,549
'34 Registrations 8-A Registrations of Certain Classes of Securities 8A12BEF 95 –
'34 Registrations 8-A Registrations of Certain Classes of Securities 8A12BT 28 8
'34 Registrations 8-A Registrations of Certain Classes of Securities 8-A12G 9,214 2,233
'34 Registrations 8-B Registrations of Securities of Certain Successor Issuers 8-B12B 94 29
'34 Registrations 8-B Registrations of Securities of Certain Successor Issuers 8-B12G 61 13
'34 Reports 8-K Current Reports 8-K 1,104,646 59,459
'34 Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12B 78 8
'34 Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12G3 553 105
'34 Reports 8-K Notices of Assumptions of Duty to Report by Successor Issuers 8-K15D5 66 2
'34 Registrations 10 Registrations of Securities (General Form) 10-12B 559 942
'34 Registrations 10 Registrations of Securities (General Form) 10-12G 1,879 3,345
'34 Reports 10-C Reports by Issuers of Securities Quoted on NASDAQ 10-C 1,305 25
'34 Reports 10-D Periodic Distribution Reports by Asset-Backed Issuers 10-D 22,131 1,688
'34 Reports 10-K Annual Reports 10-K 138,331 33,503
'34 Reports 10-K Annual Reports — [X] Reg. S-K Item 405 10-K405 20,208 3,225
'34 Reports 10-KSB Annual Reports — Small Businesses 10KSB 37,055 11,939
'34 Reports 10-KSB Annual Reports — Small Businesses — [X] Reg. S-B Item 405 10KSB40 3,460 629
'34 Reports 10-K Annual-Transition Reports 10-KT 308 77
'34 Reports 10-K Annual-Transition Reports — [X] Reg. S-K Item 405 10KT405 82 17
'34 Reports 10-Q Quarterly Reports 10-Q 440,402 36,782
'34 Reports 10-QSB Quarterly Reports — Small Businesses 10QSB 120,298 17,154
'34 Reports 10-Q Quarterly-Transition Reports 10-QT 159 31
'34 Registrations 10-SB Registrations of Securities of Small-Business Issuers 10SB12B 245 134
'34 Registrations 10-SB Registrations of Securities of Small-Business Issuers 10SB12G 4,145 5,541
'34 Reports 11-K Annual Reports of Employee Stock Purchase, Savings and Similar Plans 11-K 27,043 697
'34 Reports 11-K Annual-Transition Reports of Employee Stock Purchase, Savings and Similar Plans 11-KT 85 1
'34 Ownership 13F-E Quarterly Reports by Institutional Money Managers 13F-E 1,188 120
'34 Ownership 13F Quarterly Holdings and Combination Reports by Institutional Money Managers 13F-HR 146,039 17,145
'34 Ownership 13F Quarterly Notices by Institutional Money Managers 13F-NT 46,996 1,410
'34 Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12B 3,518 74
'34 Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12G 11,075 321
'34 Reports 15 Notices of Suspensions of Duty to File Reports 15-15D 14,474 179
'34 Registrations 15F Certifications of Foreign Private Issuers' Terminations of Registration of Classes of Securities 15F-12B 127 10
'34 Registrations 15F Certifications of Foreign Private Issuers' Terminations of Registration of Classes of Securities 15F-12G 182 10
'34 Reports 15F Notices of Foreign Private Issuers' Suspensions of Duty to File Reports 15F-15D 75 2
'34 Registrations 18 Registrations of Securities of Foreign Governments and Political Subdivisions 18-12B 2 –
'34 Reports 18-K Annual Reports of Foreign Governments and Political Subdivisions 18-K 412 1,201
'34 Reports 20-F Annual Reports of Foreign Private Issuers 20-F 10,110 2,589
'34 Registrations 20-F Registrations of Securities of Foreign Private Issuers 20FR12B 106 94
'34 Registrations 20-F Registrations of Securities of Foreign Private Issuers 20FR12G 321 490
'40 Registrations 24f-1 Notices of Elections to Register Securities 24F-1 6 –
'40 Registrations 24F-2 Annual Notices of Securities Sold by Investment Companies 24F-2EL 29 2
'40 Registrations 24F-2 Annual Notices of Securities Sold by Investment Companies 24F-2NT 127,227 2,604
'40 Registrations 24F-2 Annual Notices of Securities Sold by Investment Companies 24F-2TM 603 –
'34 Reports 25 Notices to Voluntarily Withdraw Classes of Securities from Listings and Registrations on National Exchanges 25 1,376 24
'34 Reports 25 Notices by National Exchanges of the Removal from Listings and Registrations of Matured, Redeemed or Retired Securities 25-NSE 5,075 131
'35 Reports 35-APP Statements Concerning Proposed Transactions 35-APP 6 2
'35 Reports 35-CERT Certificates Concerning Terms and Conditions of Transactions 35-CERT 5,137 98
'40 Registrations 0-2 Applications for Orders by Employees' Securities Companies 40-6B 8 56
'40 Reports 8b-25(a) Applications Requesting Extensions of Time for Filing Certain Information, Documents or Reports 40-8B25 50 –
'40 Registrations 0-2 Initial Applications for Deregistration of Certain Registered Investment Companies 40-8F-2 15 19
'40 Registrations N-8F Applications for Deregistration of Certain Registered Investment Companies — Abandonments of Registration 40-8F-A 124 65
'40 Registrations N-8F Applications for Deregistration of Certain Registered Investment Companies — Business Development Companies 40-8F-B 4 1
'40 Registrations N-8F Applications for Deregistration of Certain Registered Investment Companies — Liquidations 40-8F-L 455 180
'40 Registrations N-8F Applications for Deregistration of Certain Registered Investment Companies — Mergers 40-8F-M 542 174
'40 Reports N-17F-1 Certificates of Accounting of Securities in the Custody of Management Investment Companies 40-17F1 154 1
'40 Reports N-17F-2 Certificates of Accounting of Securities in the Custody of Management Investment Companies 40-17F2 13,468 109
'40 Reports 17g-1 Fidelity Bonds of Management Investment Companies 40-17G 8,410 1,290
'40 Reports 24b-2 Sales Literature of Management Investment Companies 40-24B2 2,145 80
'40 Reports 33 Stockholder Derivative Actions re: Management Investment Companies 40-33 7 –
'40 Registrations 0-2 Applications for Orders other than those Reviewed by the Office of Insurance Products 40-APP 482 959
'34 Reports 40-F Annual Reports of Foreign Private Issuers 40-F 1,621 354
'34 Reports 40-F Annual Reports of Foreign Private Issuers — '34 S.12(b) Reg. 40FR12B 76 38
'34 Reports 40-F Annual Reports of Foreign Private Issuers — '34 S.12(g) Reg. 40FR12G 20 8
'40 Registrations 0-2 Applications for Orders Reviewed by the Office of Insurance Products 40-OIP 46 88
'33 Ownership 144 Notices of Proposed Sales of Securities 144 5,054 209
'39 Registrations T-1 Statements of Eligibility of Corporations Designated to Act as Trustees 305B2 1,191 18
'33 Registrations 424(a) Prospectuses 424A 1,527 –
'33 Registrations 424(b)(1) Prospectuses 424B1 5,510 –
'33 Registrations 424(b)(2) Prospectuses 424B2 72,050 –
'33 Registrations 424(b)(3) Prospectuses 424B3 116,815 –
'33 Registrations 424(b)(4) Prospectuses 424B4 7,070 –
'33 Registrations 424(b)(5) Prospectuses 424B5 40,649 –
'33 Registrations 424(b)(7) Prospectuses 424B7 2,270 –
'33 Registrations 424(b)(8) Prospectuses 424B8 319 –
'33 Reports 425 Business-Combination Transaction Communications 425 40,665 –
'40 Registrations * Post-Effective Amendments 485A24E 88 –
'40 Registrations * Post-Effective Amendments 485A24F 25 –
'40 Registrations * Post-Effective Amendments 485APOS 31,016 –
'40 Registrations * Post-Effective Amendments 485B24E 1,669 –
'40 Registrations * Post-Effective Amendments 485B24F 64 –
'40 Registrations * Post-Effective Amendments 485BPOS 123,496 –
'40 Registrations * Post-Effective Amendments to Designate New Effective Dates 485BXT 7,878 –
'40 Registrations * Post-Effective Amendments to Designate New Effective Dates 485BXTF 1 –
'40 Registrations N-2 Post-Effective Amendments to N-2s 486A24E 1 –
'40 Registrations N-2 Post-Effective Amendments to N-2s 486APOS 106 –
'40 Registrations N-2 Post-Effective Amendments to N-2s 486B24E 2 –
'40 Registrations N-2 Post-Effective Amendments to N-2s 486BPOS 367 –
'40 Registrations * Pre-Effective Pricing Amendments 487 11,401 –
'40 Registrations 497 Definitive Materials 497 251,270 –
'40 Reports 482 Advertising by Certain Investment Companies 497AD 2,027 –
'40 Registrations 497(h)(2) Prospectuses 497H2 72 –
'40 Registrations 497(j) Certifications of No Changes in Definitive Materials 497J 79,953 –
'40 Registrations 497(k) Summary Prospectuses of Open-End Management Investment Companies 497K 53,334 –
'40 Reports 497(k)(1)(i) Profiles of Open-End Management Investment Companies 497K1 317 –
'40 Reports 497(k)(1)(ii) Profiles of Open-End Management Investment Companies 497K2 164 –
'40 Reports 497(k)(1)(iii)(A) Profiles of Open-End Management Investment Companies 497K3A 52 –
'40 Reports 497(k)(1)(iii)(B) Profiles of Open-End Management Investment Companies 497K3B 2,294 –
– Reports 15G Asset-Backed Securities Reports ABS-15G 1,157 410
– Reports BW 2 I.B.R.D. (World Bank) Annual Reports ANNLRPT 62 1
'33, Registrations APP WD Withdrawals of Applications for Exemptive or Other Relief from the Federal Securities Laws APP WD 106 7
'34 Reports * Annual Reports to Security Holders ARS 1,307 6
'33, Registrations * Amendment Withdrawal Requests AW 2,479 –
'33, Registrations * Amendment Withdrawal (Withdraw Duplicate) Requests AW WD 85 –
– Reports BW 2 I.B.R.D. (World Bank) Quarterly Reports BW-2 27 –
– Reports BW 3 I.B.R.D. (World Bank) Distribution of Obligations Reports BW-3 93 –
'68 Ownership CB Rights/Exchange/Tender Offer Notifications/Responses CB 676 575
– Letters – Correspondence CORRESP 5 –
'33 Registrations D Notices of Offerings of Securities Made Without Registration D 75,697 52,323
'34 Proxies 13E-3 Definitive Proxy Solicitation Materials — Going-Private Transaction Statements DEF13E3 77 87
'34 Proxies 14A Definitive Proxy Solicitation Materials DEF 14A 129,639 –
'34 Proxies 14C Definitive Proxy Information Statements DEF 14C 8,290 –
'34 Proxies 14A Additional Definitive Proxy Solicitation Materials DEFA14A 48,755 –
'34 Proxies 14C Additional Definitive Proxy Information Statements DEFA14C 248 –
'34 Proxies 14A Definitive Proxy Solicitation Materials — Contested Solicitations DEFC14A 1,332 –
'34 Proxies 14C Definitive Proxy Information Statements — Contested Solicitations DEFC14C 24 –
'34 Proxies 14A Definitive Proxy Solicitation Materials — Mergers and Acquisitions DEFM14A 3,845 –
'34 Proxies 14C Definitive Proxy Information Statements — Mergers and Acquisitions DEFM14C 342 –
'34 Proxies 14A Definitive Non-Management Proxy Solicitation Materials — Non-Contested Solicitations DEFN14A 268 –
'34 Proxies 14A Revised Definitive Proxy Solicitation Materials DEFR14A 4,397 –
'34 Proxies 14C Revised Definitive Proxy Information Statements DEFR14C 322 –
'34 Proxies 14A Definitive Proxy Solicitation Materials — Special Meetings DEFS14A 3,996 –
'34 Proxies 14C Definitive Proxy Information Statements — Special Meetings DEFS14C 88 –
'33 Registrations * Registration Effectiveness-Delaying Amendments DEL AM 687 –
'34 Proxies 14A Additional Definitive Non-Management Proxy Solicitation Materials DFAN14A 7,964 –
'34 Proxies 14A Revised Definitive Non-Management Proxy Solicitation Materials DFRN14A 246 –
– Reports BW 3 I.B.R.D. (World Bank) Distribution of Obligations Reports DSTRBRPT 93 15
'33 Registrations F-1 Registration Statements of Foreign Private Issuers F-1 697 2,057
'33 Registrations F-1 Registrations of Additional Securities F-1MEF 55 –
'33 Registrations F-2 Registration Statements of Foreign Private Issuers F-2 16 33
'33 Registrations F-2 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-2D 1 –
'33 Registrations F-3 Registration Statements of Foreign Private Issuers for Securities Offered Pursuant to Transactions F-3 791 835
'33 Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private Issuers F-3ASR 284 –
'33 Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-3D 25 –
'33 Registrations F-3 Post-Effective Amendments to F-3Ds F-3DPOS 15 –
'33 Registrations F-3 Registrations of Additional Securities F-3MEF 20 –
'33 Registrations F-4 Registration Statements of Foreign Private Issuers for Securities Issued in Business-Combination Transactions F-4 548 803
'33 Registrations F-4 Registrations of Additional Securities F-4MEF 6 –
'33 Registrations F-4 Post-Effective Amendments to F-4s F-4 POS 18 –
'33 Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately) F-6 1,002 85
'33 Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts (Effective Immediately) F-6EF 3,609 –
'33 Registrations F-6 Post-Effective Amendments to F-6s F-6 POS 678 –
'33 Registrations F-7 Registration Statements of Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights F-7 15 4
'33 Registrations F-7 Post-Effective Amendments to F-7s F-7 POS 1 –
'33 Registrations F-8 Registration Statements of Foreign Private Issuers for Securities Offered Pursuant to Transactions F-8 27 46
'33 Registrations F-8 Post-Effective Amendments to F-8s F-8 POS 5 –
'33 Registrations F-9 Registration Statements of Foreign Private Issuers (Not Effective Immediately) F-9 95 83
'33 Registrations F-9 Registration Statements of Foreign Private Issuers (Effective Immediately) F-9EF 3 –
'33 Registrations F-9 Post-Effective Amendments to F-9s F-9 POS 5 –
'33 Registrations F-10 Registration Statements of Foreign Private Issuers (Not Effective Immediately) F-10 403 414
'33 Registrations F-10 Registration Statements of Foreign Private Issuers (Effective Immediately) F-10EF 4 –
'33 Registrations F-10 Post-Effective Amendments to F-10s F-10POS 43 –
'33 Registrations F-80 Registration Statements of Canadian Issuers for Securities to be Issued in Exchange Offers or Business Combinations F-80 15 16
'33 Registrations F-80 Post-Effective Amendments to F-80s F-80POS 4 –
'33 Registrations F-N Appointments of Agents for Service of Process by Foreign Financial Entities F-N 164 7
'33 Registrations 163/433 Free Writing Prospectuses FWP 64,500 –
'33 Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities F-X 1,381 137
'34 Reports 13(r) Notices of Disclosures in Quarterly and Annual Reports re: The Iran Threat Reduction and Syria Human Rights Act IRANNOTICE 279 –
'40 Registrations N-1 Registration Statements of Open-End Management Investment Companies N-1 2 189
'40 Registrations N-1A Registration Statements of Open-End Management Investment Companies N-1A 1,566 2,193
'40 Registrations N-1A Registration Statements of Open-End Management Investment Companies N-1A EL 361 466
'40 Registrations N-2 Registration Statements of Closed-End Investment Companies N-2 2,689 4,014
'40 Registrations N-2 Registrations of Additional Securities N-2MEF 194 –
'40 Registrations N-3 Registration Statements for Separate Accounts (Management Investment Companies) N-3 40 19
'40 Registrations N-3 Registration Statements for Separate Accounts (Management Investment Companies) N-3 EL 6 6
'40 Registrations N-4 Registration Statements for Separate Accounts (Unit Investment Trusts) N-4 1,902 1,715
'40 Registrations N-4 Registration Statements for Separate Accounts (Unit Investment Trusts) N-4 EL 151 141
'40 Registrations N-5 Registration Statements of Small-Business Investment Companies N-5 8 9
'40 Registrations N-6 Registration Statements for Separate Accounts (Unit Investment Trusts) N-6 516 379
'40 Reports N-6F Notices of Intentions to Elect Business-Development-Company Status N-6F 80 54
'40 Registrations N-8A Notices of Registrations N-8A 3,495 462
'40 Registrations N-8B-2 Registration Statements of Unit Investment Trusts N-8B-2 173 160
'40 Registrations N-8B-4 Registration Statements of Face-Amount Certificate Companies N-8B-4 1 –
'40 Registrations N-8F Applications for Deregistration of Certain Registered Investment Companies N-8F 1,972 976
'40 Registrations N-14 Registration Statements of Open-End Investment Companies (Business Combinations) N-14 2,394 1,684
'40 Registrations N-14 Registration Statements of Closed-End Investment Companies (Business Combinations) N-14 8C 141 161
'40 Registrations N-14 Registration Statements of Open-End Investment Companies (Business Combinations) with Automatic Effectiveness N-14AE 891 185
'40 Registrations N-14 Registration Statements of Open-End Investment Companies (Business Combinations) N14AE24 230 58
'40 Registrations N-14 Registration Statements of Open-End Investment Companies (Business Combinations) N14EL24 158 89
'40 Registrations N-14 Registrations of Additional Securities N-14MEF 3 –
'40 Reports N-18F-1 Notices of Elections N-18F1 1,048 29
'40 Ownership N-23C-1 Reports by Closed-End Investment Companies of Purchases of their own Securities N-23C-1 920 16
'40 Ownership 23c-2(b) Notices by Closed-End Investment Companies of Intentions to Call or Redeem their own Securities N-23C-2 1,160 47
'40 Ownership 23c-3(b) Only Notices of Periodic Repurchase Offers N-23C3A 1,001 15
'40 Ownership 23c-3(c) Only Notices of Periodic Repurchase Offers N-23C3B 363 3
'40 Ownership 23c-3(b) & (c) Notices of Periodic Repurchase Offers N-23C3C 43 44
'40 Reports N-27D-1 Accountings for Segregated Trust Accounts N-27D-1 12 –
'40 Reports 30b-2 Periodic and Interim Reports Mailed to Shareholders N-30B-2 8,311 –
'40 Reports 30d-1 Annual and Semi-Annual Reports Mailed to Shareholders N-30D 69,130 1,044
'40 Reports N-54A Notices of Elections by Business Development Companies N-54A 206 8
'40 Reports N-54C Notices of Withdrawals by Business Development Companies N-54C 149 3
'40 Reports N-CSR Certified Annual Shareholder Reports of Management Investment Companies N-CSR 37,255 2,169
'40 Reports N-CSR Certified Semi-Annual Shareholder Reports of Management Investment Companies N-CSRS 29,544 693
'40 Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds N-MFP 19,214 1,417
'40 Reports N-PX Proxy Voting Record Annual Reports by Management Investment Companies N-PX 29,147 1,381
'40 Reports N-Q Quarterly Schedules of Portfolio Holdings of Management Investment Companies N-Q 55,623 755
'40 Reports N-SAR Semi-Annual Reports of Money-Management Companies NSAR-A 58,981 3,029
'40 Reports N-SAR Semi-Annual-Transition Reports of Money-Management Companies NSAR-AT 190 13
'40 Reports N-SAR Annual Reports of Money-Management Companies NSAR-B 59,047 4,923
'40 Reports N-SAR Annual-Transition Reports of Money-Management Companies NSAR-BT 593 52
'40 Reports N-SAR Annual Reports of Unit Investment Trusts NSAR-U 12,907 281
'34 Reports 12b-25 Notices of Late Filings of Form 10-D NT 10-D 6 1
'34 Reports 12b-25 Notices of Late Filings of Form 10-K or 10-KSB NT 10-K 35,055 587
'34 Reports 12b-25 Notices of Late Filings of Form 10-Q or 10-QSB NT 10-Q 56,338 531
'34 Reports 12b-25 Notices of Late Filings of Form 11-K NT 11-K 1,494 12
'34 Reports 12b-25 Notices of Late Filings of Special Financial Reports NT 15D2 8 7
'34 Reports 12b-25 Notices of Late Filings of Form 20-F NT 20-F 1,080 19
'40 Reports 12b-25 Notices of Late Filings of Form N-CSR NTFNCSR 65 –
'40 Reports 12b-25 Notices of Late Filings of Form N-SAR NTFNSAR 184 –
'34 Reports 12b-25 Notices of Late Filings of Form 10-D NTN 10D 4 –
'34 Reports 12b-25 Notices of Late Filings of Form 10-K or 10-KSB NTN 10K 1,423 –
'34 Reports 12b-25 Notices of Late Filings of Form 10-Q or 10-QSB NTN 10Q 2,090 –
'34 Reports 12b-25 Notices of Late Filings of Form 11-K NTN 11K 18 –
'34 Reports 12b-25 Notices of Late Filings of Special Financial Reports NTN15D2 3 –
'34 Reports 12b-25 Notices of Late Filings of Form 20-F NTN 20F 34 –
'40 Reports 12b-25 Notices of Late Filings of Form N-CSR NT-NCSR 261 16
'40 Reports N-MFP Late Filings of Monthly Schedules of Portfolio Holdings of Money Market Funds NT N-MFP 135 –
'40 Reports 12b-25 Notices of Late Filings of Form N-SAR NT-NSAR 2,510 108
'33, Registrations 8(c) Post-Effective Amendments POS 8C 1,065 –
'33, Registrations 462(b) Post-Effective Amendments POS462B 193 –
'33, Registrations 462(c) Post-Effective Amendments POS462C 78 –
'33, Registrations * Post-Effective Amendments POS AM 23,421 –
'35 Registrations U-1 Post-Effective Amendments to U-1s POS AMC 1,182 –
'40 Registrations * Post-Effective Amendments POS AMI 4,661 –
'33 Registrations S-3/F-3 Post-Effective Amendments to S-3 and F-3 ASRs POSASR 819 –
'33 Registrations * Post-Effective Amendments to Add Exhibits POS EX 1,596 –
'34 Proxies 13E-3 Preliminary Proxy Solicitation Materials — Going-Private Transaction Statements PRE13E3 173 290
'34 Proxies 14A Preliminary Proxy Solicitation Materials PRE 14A 30,177 –
'34 Proxies 14C Preliminary Proxy Information Statements PRE 14C 6,829 –
'34 Proxies 14A Additional Preliminary Proxy Solicitation Materials PREA14A 16 –
'34 Proxies 14C Additional Preliminary Proxy Information Statements PREA14C 1 –
'34 Proxies 14A Preliminary Proxy Solicitation Materials — Contested Solicitations PREC14A 1,885 –
'34 Proxies 14C Preliminary Proxy Information Statements — Contested Solicitations PREC14C 57 –
'34 Proxies 14A Preliminary Proxy Solicitation Materials — Mergers and Acquisitions PREM14A 3,787 –
'34 Proxies 14C Preliminary Proxy Information Statements — Mergers and Acquisitions PREM14C 583 –
'34 Proxies 14A Preliminary Non-Management Proxy Solicitation Materials — Non-Contested Solicitations PREN14A 325 –
'34 Proxies 14A Revised Preliminary Proxy Solicitation Materials PRER14A 9,322 –
'34 Proxies 14C Revised Preliminary Proxy Information Statements PRER14C 1,936 –
'34 Proxies 14A Preliminary Proxy Solicitation Materials — Special Meetings PRES14A 3,944 –
'34 Proxies 14C Preliminary Proxy Information Statements — Special Meetings PRES14C 129 –
'34 Proxies 14A Revised Preliminary Non-Management Proxy Solicitation Materials — Contested Solicitations and Other Situations PRRN14A 1,607 –
'34 Proxies 14a-6(g) Notices of Exempt Proxy Solicitations PX14A6G 495 –
'34 Proxies 14a-6(n) Notices of Exempt Preliminary Proxy Roll-Up Communications PX14A6N 18 –
– Reports BW 2 I.B.R.D. (World Bank) Quarterly Reports QRTLYRPT 43 1
'33, Registrations * Registration Withdrawal Requests RW 9,555 –
'33, Registrations * Registration Withdrawal (Withdraw Duplicate) Requests RW WD 319 –
'33, Registrations S-1 Registration Statements (General Form) S-1 13,175 37,470
'33, Registrations S-1 Registrations of Additional Securities S-1MEF 869 –
'33 Registrations S-2 Registrations of Securities S-2 978 1,457
'33 Registrations S-2 Registrations of Additional Securities S-2MEF 73 –
'33, Registrations S-3 Registration Statements for Securities Offered Pursuant to Transactions S-3 29,991 26,178
'33 Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers S-3ASR 3,560 –
'33, Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans S-3D 805 5
'33, Registrations S-3 Post-Effective Amendments to S-3Ds S-3DPOS 506 –
'33, Registrations S-3 Registrations of Additional Securities S-3MEF 1,109 –
'33 Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions S-4 12,056 16,362
'33 Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions Forming Banks, Savings & Loans and Holding Companies S-4EF 76 31
'33 Registrations S-4 Registrations of Additional Securities S-4MEF 118 –
'33 Registrations S-4 Post-Effective Amendments to S-4s S-4 POS 273 –
'40 Registrations S-6 Registration Statements of Unit Investment Trusts S-6 12,026 3,915
'40 Registrations S-6 Registration Statements of Unit Investment Trusts S-6EL24 1,398 359
'33 Registrations S-8 Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit Plans S-8 67,694 18
'33 Registrations S-8 Post-Effective Amendments to S-8s S-8 POS 19,879 –
'33 Registrations S-11 Registration Statements for Securities of Real Estate Companies S-11 864 2,726
'33 Registrations S-11 Registrations of Additional Securities S-11MEF 61 –
'33 Registrations S-20 Registration Statements for Standardized Options S-20 6 5
'33 Registrations B Registration Statements for Securities of Foreign Governments and Political Subdivisions S-B 197 121
'33 Registrations SB-1 Registrations of Securities by Small-Business Issuers SB-1 151 358
'33 Registrations SB-1 Registrations of Additional Securities SB-1MEF 1 –
'33 Registrations SB-2 Registrations of Securities by Small-Business Issuers SB-2 7,810 16,585
'33 Registrations SB-2 Registrations of Additional Securities SB-2MEF 104 –
'33 Registrations B Registrations of Additional Securities S-BMEF 10 –
'68 Ownership 13D General Statements of Beneficial Ownership SC 13D 47,045 90,934
'68 Ownership 13e-1 Tender-Offer Transaction Statements SC 13E1 21 12
'68 Ownership 13E-3 Tender-Offer Statements — Going-Private Transactions SC 13E3 2,121 6,920
'68 Ownership 13E-4 Tender-Offer Statements — Issuer Tender Offers SC 13E4 734 1,250
'68 Ownership 13E-4F Tender-Offer Statements — Issuer Tender Offers SC13E4F 15 16
'68 Ownership 13G Statements of Beneficial Ownership SC 13G 154,092 245,993
'68 Ownership 14D-1 Tender-Offer Statements — Third-Party Tender Offers SC 14D1 1,271 5,205
'68 Ownership 14D-1 Tender-Offer Statements — Third-Party Tender Offers SC14D1F 36 124
'68 Ownership 14D-9 Tender-Offer Solicitation/Recommendation Statements SC 14D9 3,624 7,273
'68 Ownership 14D-9C Tender-Offer Solicitation/Recommendation Statements — Preliminary Communications SC14D9C 1,671 –
'68 Ownership 14D-9F Tender-Offer Solicitation/Recommendation Statements — Preliminary Communications — Foreign SC14D9F 30 37
'68 Ownership 14f-1 Statements re: Changes in Majority of Directors SC 14F1 1,884 209
'68 Ownership TO Tender-Offer Statements — Preliminary Communications SC TO-C 4,001 –
'68 Ownership TO Tender-Offer Statements — Issuer Tender Offers SC TO-I 5,486 10,010
'68 Ownership TO Tender-Offer Statements — Third-Party Tender Offers SC TO-T 2,035 9,557
'34 Reports 15d-2 Special Financial Reports SP 15D2 50 2
'33, Registrations * Supplements SUPPL 928 –
'39 Registrations T-3 Applications for Qualification of a Trust Indenture T-3 517 482
'34 Registrations TA-1 Applications for Registration as a Transfer Agent TA-1 116 1,559
'34 Reports TA-2 Annual Reports of Transfer Agent Activities TA-2 2,913 328
'34 Registrations TA-W Notices of Withdrawal from Registration as Transfer Agent TA-W 149 –
'35 Registrations U-1 Applications and Declarations U-1 969 2,309
'35 Registrations U-3A-2 Statements by Holding Companies Claiming Exemption U-3A-2 984 163
'35 Registrations U-3A3-1 Twelve-Month Statements by Banks Claiming Exemption U-3A3-1 21 –
'35 Registrations U5A Notices of Registrations U5A 40 4
'35 Registrations U5B Registration Statements U5B 32 10
'35 Reports U5S Annual Reports of Holding Companies U5S 242 68
'35 Reports U-6B-2 Certificates of Notices of Security Issues, Renewals and Guarantees U-6B-2 1,284 9
'35 Reports U-7D Certificates Concerning Leases of Utility Facilities U-7D 28 39
'35 Reports U-9C-3 Quarterly Reports of Energy or Gas-Related Companies U-9C-3 635 16
'35 Ownership U-12(I)-A Ownership Statements by Persons Employed or Retained by Registered Holding Companies U-12-IA 29 1
'35 Ownership U-12(I)-B Three-Year Ownership Statements by Persons Employed or Retained by Registered Holding Companies U-12-IB 1,537 3
'35 Reports U-13-60 Annual Reports of Mutual and Subsidiary Service Companies U-13-60 366 17
'35 Ownership U-13E-1 Transaction Statements by Affiliate and Independent Service Companies U-13E-1 4 –
'35 Reports U-33-S Annual Reports of Foreign Utility Companies U-33-S 48 1
'35 Reports U-57 Notices of Foreign Utility Company Status U-57 614 237
'33 Registrations S-6 Information — Item 4 UNDER 20 1
– Letters – Communications to and from the SEC UPLOAD 487 –
________ * This Filing Type applies to multiple Forms, Rules or Schedules. Total . . . 7,365,127 887,821 T This Filing Type is obsolete. · Top
