SEC Info
HomeSearchMy InterestsHelpSign InPlease Sign In

Recent Filings (by Filing Type)

343 Filing Types

Select the Filing Types of the Filings you wish to list, then click on this button:
(To view the most-recent Filing of a Type, right-click on one of the two right-most columns.)



SECForm,Sch.,Filings
ActsCategoryRuleorReg.DescriptionFilingTypeInitial Amended
Sort in ascending orderSort in ascending orderSort in ascending orderSort in ascending orderIn ascending order(click for most-recent)
’33Registrations1-AOffering Statements — Reg. A1-A91212
’33Registrations1-APost-Qualification Amendments to Offering Statements — Reg. A1-A POS27
’33Registrations1-AWithdrawals of Offering Statements — Reg. A1-A-W194
’40Reports1-ENotifications by Small Business Investment Companies and Business Development Companies1-E1011
’40Reports1-ESales Materials1-E AD2
’34Reports1-KAnnual Reports — Reg. A1-K2
’34Reports1-SASemi-Annual Reports — Reg. A1-SA1
’34Reports1-UCurrent Reports — Reg. A1-U20
’33Registrations1-ZExit Reports — Reg. A1-Z61
’40ReportsReports of Sales of Securities2-E52
’34Ownership3Initial Statements of Beneficial Ownership of Securities3251,77414,946
’34Ownership4Statements of Changes in Beneficial Ownership of Securities42,804,44594,340
’34Ownership5Annual Statements of Changes in Beneficial Ownership of Securities593,6943,758
’34Reports6-KReports by Foreign Private Issuers6-K307,6544,133
’34Registrations8-ARegistrations of Certain Classes of Securities8-A12B15,9973,855
’34Registrations8-ARegistrations of Certain Classes of Securities8A12BEF95
’34Registrations8-ARegistrations of Certain Classes of Securities8A12BT288
’34Registrations8-ARegistrations of Certain Classes of Securities8-A12G9,6572,302
’34Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12B9429
’34Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12G6113
’34Reports8-KCurrent Reports8-K1,321,58466,666
’34Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12B13411
’34Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12G3592113
’34Reports8-KNotices of Assumptions of Duty to Report by Successor Issuers8-K15D5662
’34Registrations10Registrations of Securities (General Form)10-12B6721,321
’34Registrations10Registrations of Securities (General Form)10-12G2,1923,861
’34Reports10-CReports by Issuers of Securities Quoted on NASDAQ10-C1,30525
’34Reports10-DPeriodic Distribution Reports by Asset-Backed Issuers10-D36,5951,863
’34Reports10-KAnnual Reports10-K161,29237,645
’34Reports10-KAnnual Reports — Reg. S-K – Item 40510-K40520,2083,225
’34Reports10-KSBAnnual Reports by Small Businesses10KSB37,05511,939
’34Reports10-KSBAnnual Reports by Small Businesses — Reg. S-B – Item 40510KSB403,460629
’34Reports10-KAnnual-Transition Reports10-KT402101
’34Reports10-KAnnual-Transition Reports — Reg. S-K – Item 40510KT4058217
’34Reports10-QQuarterly Reports10-Q501,82540,695
’34Reports10-QSBQuarterly Reports by Small Businesses10QSB120,29817,154
’34Reports10-QQuarterly-Transition Reports10-QT18033
’34Registrations10-SBRegistrations of Securities of Small-Business Issuers10SB12B245134
’34Registrations10-SBRegistrations of Securities of Small-Business Issuers10SB12G4,1455,541
’34Reports11-KAnnual Reports by Employee Stock Purchase, Savings and Similar Plans11-K31,048792
’34Reports11-KAnnual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans11-KT902
’34Ownership13F-EQuarterly Reports by Institutional Money Managers13F-E1,188120
’34Ownership13FQuarterly Holdings and Combination Reports by Institutional Money Managers13F-HR190,47820,354
’34Ownership13FQuarterly Notices by Institutional Money Managers13F-NT63,2141,517
’34Registrations15Certifications of Terminations of Registration of Classes of Securities15-12B4,23488
’34Registrations15Certifications of Terminations of Registration of Classes of Securities15-12G12,031344
’34Reports15Notices of Suspensions of Duty to File Reports15-15D15,011195
’34Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12B15811
’34Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12G20910
’34Reports15FNotices of Foreign Private Issuers’ Suspensions of Duty to File Reports15F-15D1062
’34Registrations18Registrations of Securities of Foreign Governments and Political Subdivisions18-12B3
’34Reports18-KAnnual Reports by Foreign Governments and Political Subdivisions18-K5141,575
’34Reports20-FAnnual Reports by Foreign Private Issuers20-F12,1232,890
’34Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12B118114
’34Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12G343526
’40RegistrationsNotices of Elections to Register Securities24F-16
’40Registrations24F-2Annual Notices of Securities Sold by Investment Companies24F-2EL292
’40Registrations24F-2Annual Notices of Securities Sold by Investment Companies24F-2NT148,7432,997
’40Registrations24F-2Annual Notices of Securities Sold by Investment Companies24F-2TM603
’34Reports25Notices to Voluntarily Withdraw Classes of Securities from Listings and Registrations on National Exchanges251,61926
’34Reports25Notices by National Exchanges of the Removal from Listings and Registrations of Matured, Redeemed or Retired Securities25-NSE6,984187
’35Reports35-APPStatements Concerning Proposed Transactions35-APP62
’35Reports35-CERTCertificates Concerning Terms and Conditions of Transactions35-CERT5,13798
’40RegistrationsApplications for Orders by Employees’ Securities Companies40-6B1067
’40ReportsApplications Requesting Extensions of Time for Filing Certain Information, Documents or Reports40-8B2569
’40RegistrationsInitial Applications for Deregistration by Certain Registered Investment Companies40-8F-21621
’40RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Abandonments of Registration40-8F-A12465
’40RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Business Development Companies40-8F-B41
’40RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Liquidations40-8F-L455180
’40RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Mergers40-8F-M542174
’40ReportsN-17F-1Certificates of Accounting of Securities in the Custody of Management Investment Companies40-17F12678
’40ReportsN-17F-2Certificates of Accounting of Securities in the Custody of Management Investment Companies40-17F215,353125
’40ReportsFidelity Bonds of Management Investment Companies40-17G11,6011,802
’40ReportsClaims and Settlements re: Management Investment Companies40-17GCS1
’40ReportsSales Literature of Management Investment Companies40-24B22,44980
’40ReportsStockholder Derivative Actions re: Management Investment Companies40-33724
’40RegistrationsApplications for Orders other than those Reviewed by the Office of Insurance Products40-APP9461,649
’34Reports40-FAnnual Reports by Foreign Private Issuers40-F2,021402
’34Reports40-FAnnual Reports by Foreign Private Issuers — ’34 S.12(b) Reg.40FR12B8842
’34Reports40-FAnnual Reports by Foreign Private Issuers — ’34 S.12(g) Reg.40FR12G218
’40RegistrationsApplications for Orders Reviewed by the Office of Insurance Products40-OIP67118
’33Ownership144Notices of Proposed Sales of Securities1446,148235
’33Registrations1-AOffering Statements – Information Previously Omitted — Reg. A253G11
’33Registrations1-AOffering Statements – Information Substantively Changed or Added — Reg. A253G232
’39RegistrationsT-1Statements of Eligibility by Corporations Designated to Act as Trustees305B21,47018
’33RegistrationsProspectuses424A1,536
’33RegistrationsProspectuses424B15,744
’33RegistrationsProspectuses424B2114,529
’33RegistrationsProspectuses424B3135,882
’33RegistrationsProspectuses424B48,302
’33RegistrationsProspectuses424B547,453
’33RegistrationsProspectuses424B72,928
’33RegistrationsProspectuses424B8494
’33RegistrationsPreliminary Prospectuses424H631
’33ReportsBusiness-Combination Transaction Communications42552,817
’40RegistrationsPost-Effective Amendments485A24E88
’40RegistrationsPost-Effective Amendments485A24F25
’40RegistrationsPost-Effective Amendments485APOS35,059
’40RegistrationsPost-Effective Amendments485B24E1,669
’40RegistrationsPost-Effective Amendments485B24F64
’40RegistrationsPost-Effective Amendments485BPOS148,900
’40RegistrationsPost-Effective Amendments to Designate New Effective Dates485BXT13,951
’40RegistrationsPost-Effective Amendments to Designate New Effective Dates485BXTF1
’40RegistrationsN-2Post-Effective Amendments to N-2s486A24E1
’40RegistrationsN-2Post-Effective Amendments to N-2s486APOS125
’40RegistrationsN-2Post-Effective Amendments to N-2s486B24E2
’40RegistrationsN-2Post-Effective Amendments to N-2s486BPOS496
’40RegistrationsPre-Effective Pricing Amendments48714,777
’40RegistrationsDefinitive Materials497294,404
’40ReportsAdvertising by Certain Investment Companies497AD2,722
’40RegistrationsProspectuses497H282
’40RegistrationsCertifications of No Changes in Definitive Materials497J96,449
’40RegistrationsSummary Prospectuses of Open-End Management Investment Companies497K111,509
’40ReportsProfiles of Open-End Management Investment Companies497K1317
’40ReportsProfiles of Open-End Management Investment Companies497K2164
’40ReportsProfiles of Open-End Management Investment Companies497K3A52
’40ReportsProfiles of Open-End Management Investment Companies497K3B2,294
’34ReportsAsset-Backed Securities ReportsABS-15G4,0451,271
ReportsI.B.R.D. (World Bank) Annual ReportsANNLRPT751
’33,
’34
RegistrationsAPP WDWithdrawals of Applications for Exemptive or Other Relief from the Federal Securities LawsAPP WD16511
’34ReportsAnnual Reports to Security HoldersARS1,4168
’33,
’34
RegistrationsAmendment Withdrawal RequestsAW2,938
’33,
’34
RegistrationsAmendment Withdrawal (Withdraw Duplicate) RequestsAW WD89
ReportsI.B.R.D. (World Bank) Quarterly ReportsBW-227
ReportsI.B.R.D. (World Bank) Distribution of Obligations ReportsBW-393
’68OwnershipCBRights/Exchange/Tender Offer Notifications/ResponsesCB870758
LettersCorrespondence with the SECCORRESP8
’33RegistrationsDNotices of Offerings of Securities Made Without RegistrationD141,41198,296
’34Proxies13E-3Definitive Proxy Solicitation Materials – Going-Private Transaction StatementsDEF13E37787
’34Proxies14ADefinitive Proxy Solicitation MaterialsDEF 14A145,139
’34Proxies14CDefinitive Proxy Information StatementsDEF 14C9,981
’34Proxies14AAdditional Definitive Proxy Solicitation MaterialsDEFA14A62,351
’34Proxies14CAdditional Definitive Proxy Information StatementsDEFA14C304
’34Proxies14ADefinitive Proxy Solicitation Materials – Contested SolicitationsDEFC14A1,579
’34Proxies14CDefinitive Proxy Information Statements – Contested SolicitationsDEFC14C25
’34Proxies14ADefinitive Proxy Solicitation Materials – Mergers and AcquisitionsDEFM14A4,414
’34Proxies14CDefinitive Proxy Information Statements – Mergers and AcquisitionsDEFM14C376
’34Proxies14ADefinitive Non-Management Proxy Solicitation Materials – Non-Contested SolicitationsDEFN14A287
’34Proxies14ARevised Definitive Proxy Solicitation MaterialsDEFR14A4,818
’34Proxies14CRevised Definitive Proxy Information StatementsDEFR14C362
’34Proxies14ADefinitive Proxy Solicitation Materials – Special MeetingsDEFS14A3,996
’34Proxies14CDefinitive Proxy Information Statements – Special MeetingsDEFS14C88
’33RegistrationsRegistration Effectiveness-Delaying AmendmentsDEL AM868
’34Proxies14AAdditional Definitive Non-Management Proxy Solicitation MaterialsDFAN14A9,631
’34Proxies14ARevised Definitive Non-Management Proxy Solicitation MaterialsDFRN14A270
’33Registrations1-ADraft Offering Statements — Reg. ADOS32
’33RegistrationsS-1/F-1Draft Registration Statements by Emerging Growth Companies and Foreign Private IssuersDRS24
ReportsI.B.R.D. (World Bank) Distribution of Obligations ReportsDSTRBRPT12915
’33RegistrationsF-1Registration Statements by Foreign Private IssuersF-19532,802
’33RegistrationsF-1Registrations of Additional SecuritiesF-1MEF97
’33RegistrationsF-2Registration Statements by Foreign Private IssuersF-21633
’33RegistrationsF-2Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-2D1
’33RegistrationsF-3Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to TransactionsF-31,004994
’33RegistrationsF-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private IssuersF-3ASR400
’33RegistrationsF-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-3D37
’33RegistrationsF-3Post-Effective Amendments to F-3DsF-3DPOS22
’33RegistrationsF-3Registrations of Additional SecuritiesF-3MEF24
’33RegistrationsF-4Registration Statements by Foreign Private Issuers for Securities Issued in Business-Combination TransactionsF-4603938
’33RegistrationsF-4Registrations of Additional SecuritiesF-4MEF7
’33RegistrationsF-4Post-Effective Amendments to F-4sF-4 POS20
’33RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately)F-61,33995
’33RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts (Effective Immediately)F-6EF5,182
’33RegistrationsF-6Post-Effective Amendments to F-6sF-6 POS986
’33RegistrationsF-7Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of RightsF-7308
’33RegistrationsF-7Post-Effective Amendments to F-7sF-7 POS5
’33RegistrationsF-8Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to TransactionsF-82950
’33RegistrationsF-8Post-Effective Amendments to F-8sF-8 POS7
’33RegistrationsF-9Registration Statements by Foreign Private Issuers (Not Effective Immediately)F-99583
’33RegistrationsF-9Registration Statements by Foreign Private Issuers (Effective Immediately)F-9EF3
’33RegistrationsF-9Post-Effective Amendments to F-9sF-9 POS5
’33RegistrationsF-10Registration Statements by Foreign Private Issuers (Not Effective Immediately)F-10542609
’33RegistrationsF-10Registration Statements by Foreign Private Issuers (Effective Immediately)F-10EF4
’33RegistrationsF-10Post-Effective Amendments to F-10sF-10POS48
’33RegistrationsF-80Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers or Business CombinationsF-802018
’33RegistrationsF-80Post-Effective Amendments to F-80sF-80POS9
’33RegistrationsF-NAppointments of Agents for Service of Process by Foreign Financial EntitiesF-N24316
’33RegistrationsFree Writing ProspectusesFWP96,004
’33RegistrationsF-XAppointments of Agents for Service of Process by Foreign Non-Financial EntitiesF-X1,744147
’34ReportsNotices of Disclosures in Quarterly and Annual Reports re: The Iran Threat Reduction and Syria Human Rights ActIRANNOTICE1,731
’34RegistrationsMAApplications for Municipal Advisor RegistrationMA724375
’34RegistrationsMAAnnual Updates of a Municipal Advisor’s RegistrationMA-A531
’34RegistrationsMA-IInformation Regarding Natural Persons Who Engage in Municipal Advisory ActivitiesMA-I5,3151,936
’34RegistrationsMA-WNotices of Withdrawal from Registration as a Municipal AdvisorMA-W58
’40RegistrationsN-1Registration Statements by Open-End Management Investment CompaniesN-12189
’40RegistrationsN-1ARegistration Statements by Open-End Management Investment CompaniesN-1A1,7222,520
’40RegistrationsN-1ARegistration Statements by Open-End Management Investment CompaniesN-1A EL361466
’40RegistrationsN-2Registration Statements by Closed-End Investment CompaniesN-23,0784,743
’40RegistrationsN-2Registrations of Additional SecuritiesN-2MEF212
’40RegistrationsN-3Registration Statements for Separate Accounts (Management Investment Companies)N-34019
’40RegistrationsN-3Registration Statements for Separate Accounts (Management Investment Companies)N-3 EL66
’40RegistrationsN-4Registration Statements for Separate Accounts (Unit Investment Trusts)N-42,0811,842
’40RegistrationsN-4Registration Statements for Separate Accounts (Unit Investment Trusts)N-4 EL151141
’40RegistrationsN-5Registration Statements by Small-Business Investment CompaniesN-5910
’40RegistrationsN-6Registration Statements for Separate Accounts (Unit Investment Trusts)N-6583414
’40ReportsN-6FNotices of Intentions to Elect Business-Development-Company StatusN-6F12260
’40RegistrationsN-8ANotices of RegistrationsN-8A3,806542
’40RegistrationsN-8B-2Registration Statements by Unit Investment TrustsN-8B-2182166
’40RegistrationsN-8B-4Registration Statements by Face-Amount Certificate CompaniesN-8B-41
’40RegistrationsN-8FApplications for Deregistration by Certain Registered Investment CompaniesN-8F2,4051,102
’40RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations)N-142,7841,863
’40RegistrationsN-14Registration Statements by Closed-End Investment Companies (Business Combinations)N-14 8C189220
’40RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations) with Automatic EffectivenessN-14AE891185
’40RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations)N14AE2423058
’40RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations)N14EL2415889
’40RegistrationsN-14Registrations of Additional SecuritiesN-14MEF3
’40ReportsN-18F-1Notices of ElectionsN-18F11,17429
’40OwnershipN-23C-1Reports by Closed-End Investment Companies of Purchases of their own SecuritiesN-23C-192016
’40OwnershipNotices by Closed-End Investment Companies of Intentions to Call or Redeem their own SecuritiesN-23C-21,34151
’40OwnershipNotices of Periodic Repurchase OffersN-23C3A1,26418
’40OwnershipNotices of Periodic Repurchase OffersN-23C3B3833
’40OwnershipNotices of Periodic Repurchase OffersN-23C3C4545
’40ReportsN-27D-1Accountings for Segregated Trust AccountsN-27D-112
’40ReportsPeriodic and Interim Reports Mailed to ShareholdersN-30B-29,539
’40ReportsAnnual and Semi-Annual Reports Mailed to ShareholdersN-30D70,1841,052
’40ReportsN-54ANotices of Elections by Business Development CompaniesN-54A2438
’40ReportsN-54CNotices of Withdrawal from Registration by Business Development CompaniesN-54C1574
’40ReportsN-CRCurrent Reports of Money Market Funds’ Material EventsN-CR226
’40ReportsN-CSRCertified Annual Shareholder Reports by Management Investment CompaniesN-CSR47,3292,493
’40ReportsN-CSRCertified Semi-Annual Shareholder Reports by Management Investment CompaniesN-CSRS39,351785
’40ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market Funds (pre-4/14/16)N-MFP41,4122,198
’40ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market FundsN-MFP1112
’40ReportsN-PXProxy Voting Record Annual Reports by Management Investment CompaniesN-PX37,6901,591
’40ReportsN-QQuarterly Schedules of Portfolio Holdings of Management Investment CompaniesN-Q74,844900
’34RegistrationsNRSROAnnual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO-CE121
’34RegistrationsNRSROUpdates of Registration by Nationally Recognized Statistical Rating OrganizationsNRSRO-UPD30
’40ReportsN-SARSemi-Annual Reports by Money-Management CompaniesNSAR-A67,4793,713
’40ReportsN-SARSemi-Annual-Transition Reports by Money-Management CompaniesNSAR-AT20016
’40ReportsN-SARAnnual Reports by Money-Management CompaniesNSAR-B67,4375,857
’40ReportsN-SARAnnual-Transition Reports by Money-Management CompaniesNSAR-BT66754
’40ReportsN-SARAnnual Reports by Unit Investment TrustsNSAR-U15,101317
’34Reports12b-25Notices of Late Filings of Form 10-DNT 10-D71
’34Reports12b-25Notices of Late Filings of Form 10-KNT 10-K39,185619
’34Reports12b-25Notices of Late Filings of Form 10-QNT 10-Q62,953557
’34Reports12b-25Notices of Late Filings of Form 11-KNT 11-K1,55716
’34Reports12b-25Notices of Late Filings of Special Financial ReportsNT 15D287
’34Reports12b-25Notices of Late Filings of Form 20-FNT 20-F1,27320
’40Reports12b-25Notices of Late Filings of Form N-CSRNTFNCSR71
’40Reports12b-25Notices of Late Filings of Form N-SARNTFNSAR187
’34Reports12b-25Notices of Late Filings of Form 10-DNTN 10D5
’34Reports12b-25Notices of Late Filings of Form 10-KNTN 10K1,561
’34Reports12b-25Notices of Late Filings of Form 10-QNTN 10Q2,269
’34Reports12b-25Notices of Late Filings of Form 11-KNTN 11K18
’34Reports12b-25Notices of Late Filings of Special Financial ReportsNTN15D23
’34Reports12b-25Notices of Late Filings of Form 20-FNTN 20F34
’40Reports12b-25Notices of Late Filings of Form N-CSRNT-NCSR27917
’40ReportsN-MFPLate Filings of Monthly Schedules of Portfolio Holdings of Money Market FundsNT N-MFP238
’40Reports12b-25Notices of Late Filings of Form N-SARNT-NSAR2,553111
’33,
’40
RegistrationsPost-Effective AmendmentsPOS 8C1,536
’33,
’40
RegistrationsPost-Effective AmendmentsPOS462B201
’33,
’40
RegistrationsPost-Effective AmendmentsPOS462C82
’33,
’40
RegistrationsPost-Effective AmendmentsPOS AM26,405
’35RegistrationsU-1Post-Effective Amendments to U-1sPOS AMC1,182
’40RegistrationsPost-Effective AmendmentsPOS AMI5,360
’33RegistrationsS-3/F-3Post-Effective Amendments to S-3 and F-3 ASRsPOSASR1,229
’33RegistrationsPost-Effective Amendments to Add ExhibitsPOS EX2,430
’34Proxies13E-3Preliminary Proxy Solicitation Materials – Going-Private Transaction StatementsPRE13E3173290
’34Proxies14APreliminary Proxy Solicitation MaterialsPRE 14A33,418
’34Proxies14CPreliminary Proxy Information StatementsPRE 14C8,021
’34Proxies14AAdditional Preliminary Proxy Solicitation MaterialsPREA14A16
’34Proxies14CAdditional Preliminary Proxy Information StatementsPREA14C1
’34Proxies14APreliminary Proxy Solicitation Materials – Contested SolicitationsPREC14A2,203
’34Proxies14CPreliminary Proxy Information Statements – Contested SolicitationsPREC14C62
’34Proxies14APreliminary Proxy Solicitation Materials – Mergers and AcquisitionsPREM14A4,162
’34Proxies14CPreliminary Proxy Information Statements – Mergers and AcquisitionsPREM14C626
’34Proxies14APreliminary Non-Management Proxy Solicitation Materials – Non-Contested SolicitationsPREN14A351
’34Proxies14ARevised Preliminary Proxy Solicitation MaterialsPRER14A10,104
’34Proxies14CRevised Preliminary Proxy Information StatementsPRER14C2,230
’34Proxies14APreliminary Proxy Solicitation Materials – Special MeetingsPRES14A3,944
’34Proxies14CPreliminary Proxy Information Statements – Special MeetingsPRES14C129
’34Proxies14ARevised Preliminary Non-Management Proxy Solicitation Materials – Contested Solicitations and Other SituationsPRRN14A1,836
’34ProxiesNotices of Exempt Proxy SolicitationsPX14A6G843
’34ProxiesNotices of Exempt Preliminary Proxy Roll-Up CommunicationsPX14A6N27
ReportsI.B.R.D. (World Bank) Quarterly ReportsQRTLYRPT571
’33,
’34
RegistrationsRegistration Withdrawal RequestsRW10,507
’33,
’34
RegistrationsRegistration Withdrawal (Withdraw Duplicate) RequestsRW WD351
’33,
’40
RegistrationsS-1Registration Statements (General Form)S-115,95544,488
’33,
’40
RegistrationsS-1Registrations of Additional SecuritiesS-1MEF1,147
’33RegistrationsS-2Registrations of SecuritiesS-29781,457
’33RegistrationsS-2Registrations of Additional SecuritiesS-2MEF73
’33,
’40
RegistrationsS-3Registration Statements for Securities Offered Pursuant to TransactionsS-332,02027,296
’33RegistrationsS-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned IssuersS-3ASR5,125
’33,
’40
RegistrationsS-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansS-3D8765
’33,
’40
RegistrationsS-3Post-Effective Amendments to S-3DsS-3DPOS569
’33,
’40
RegistrationsS-3Registrations of Additional SecuritiesS-3MEF1,184
’33RegistrationsS-4Registrations of Securities Issued in Business-Combination TransactionsS-413,17117,791
’33RegistrationsS-4Registrations of Securities Issued in Business-Combination Transactions Forming Banks, Savings & Loans and Holding CompaniesS-4EF7631
’33RegistrationsS-4Registrations of Additional SecuritiesS-4MEF132
’33RegistrationsS-4Post-Effective Amendments to S-4sS-4 POS288
’40RegistrationsS-6Registration Statements by Unit Investment TrustsS-615,9146,059
’40RegistrationsS-6Registration Statements by Unit Investment TrustsS-6EL241,398359
’33RegistrationsS-8Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit PlansS-874,00818
’33RegistrationsS-8Post-Effective Amendments to S-8sS-8 POS25,503
’33RegistrationsS-11Registration Statements by Real Estate CompaniesS-111,0083,181
’33RegistrationsS-11Registrations of Additional SecuritiesS-11MEF76
’33RegistrationsS-20Registration Statements for Standardized OptionsS-2065
’33RegistrationsBRegistration Statements by Foreign Governments and Political SubdivisionsS-B239151
’33RegistrationsSB-1Registrations of Securities of Small-Business IssuersSB-1151358
’33RegistrationsSB-1Registrations of Additional SecuritiesSB-1MEF1
’33RegistrationsSB-2Registrations of Securities of Small-Business IssuersSB-27,81216,585
’33RegistrationsSB-2Registrations of Additional SecuritiesSB-2MEF104
’33RegistrationsBRegistrations of Additional SecuritiesS-BMEF12
’68Ownership13DGeneral Statements of Beneficial OwnershipSC 13D51,534103,148
’68OwnershipTender-Offer Transaction StatementsSC 13E12313
’68Ownership13E-3Tender-Offer Statements – Going-Private TransactionsSC 13E32,2627,500
’68Ownership13E-4Tender-Offer Statements – Issuer Tender OffersSC 13E47341,250
’68Ownership13E-4FTender-Offer Statements – Issuer Tender OffersSC13E4F1516
’68Ownership13GStatements of Beneficial OwnershipSC 13G174,991294,605
’68Ownership14D-1Tender-Offer Statements – Third-Party Tender OffersSC 14D11,2715,205
’68Ownership14D-1Tender-Offer Statements – Third-Party Tender OffersSC14D1F40134
’68Ownership14D-9Tender-Offer Solicitation/Recommendation StatementsSC 14D93,9038,258
’68Ownership14D-9CTender-Offer Solicitation/Recommendation Statements – Preliminary CommunicationsSC14D9C1,987
’68Ownership14D-9FTender-Offer Solicitation/Recommendation Statements – Preliminary Communications – ForeignSC14D9F3639
’68OwnershipStatements re: Changes in Majority of DirectorsSC 14F12,067212
’68OwnershipTOTender-Offer Statements – Preliminary CommunicationsSC TO-C4,566
’68OwnershipTOTender-Offer Statements – Issuer Tender OffersSC TO-I7,00312,082
’68OwnershipTOTender-Offer Statements – Third-Party Tender OffersSC TO-T2,30410,789
ReportsSpecialized Disclosure Reports Relating to the Use of Conflict MineralsSD2,60411
’33RegistrationsSF-1Registration Statements (General Form) by Issuers of Asset-Backed SecuritiesSF-113
’33RegistrationsSF-3Shelf Registration Statements for Qualified Offerings of Asset-Backed SecuritiesSF-355111
’34ReportsSpecial Financial ReportsSP 15D2542
’33RegistrationsVoluntary Supplemental Materials Filed by Foreign IssuersSUPPL1,191
’39RegistrationsT-3Applications for Qualification of a Trust IndentureT-3546530
’34RegistrationsTA-1Applications for Registration as a Transfer AgentTA-11352,149
’34ReportsTA-2Annual Reports of Transfer Agents’ ActivitiesTA-23,819445
’34RegistrationsTA-WNotices of Withdrawal from Registration as a Transfer AgentTA-W199
’35RegistrationsU-1Applications and DeclarationsU-19692,309
’35RegistrationsU-3A-2Statements by Holding Companies Claiming ExemptionU-3A-2984163
’35RegistrationsU-3A3-1Twelve-Month Statements by Banks Claiming ExemptionU-3A3-121
’35RegistrationsU5ANotices of RegistrationsU5A404
’35RegistrationsU5BRegistration StatementsU5B3210
’35ReportsU5SAnnual Reports by Holding CompaniesU5S24268
’35ReportsU-6B-2Certificates of Notices of Security Issues, Renewals and GuaranteesU-6B-21,2849
’35ReportsU-7DCertificates Concerning Leases of Utility FacilitiesU-7D2839
’35ReportsU-9C-3Quarterly Reports by Energy or Gas-Related CompaniesU-9C-363516
’35OwnershipU-12(I)-AOwnership Statements by Persons Employed or Retained by Registered Holding CompaniesU-12-IA291
’35OwnershipU-12(I)-BThree-Year Ownership Statements by Persons Employed or Retained by Registered Holding CompaniesU-12-IB1,5373
’35ReportsU-13-60Annual Reports by Mutual and Subsidiary Service CompaniesU-13-6036617
’35OwnershipU-13E-1Transaction Statements by Affiliate and Independent Service CompaniesU-13E-14
’35ReportsU-33-SAnnual Reports by Foreign Utility CompaniesU-33-S481
’35ReportsU-57Notices of Foreign Utility Company StatusU-57614237
’33RegistrationsInitial Undertakings to File ReportsUNDER201
LettersCommunications to and from the SECUPLOAD514
’34ReportsX-17A-5Annual Reports by Broker-DealersX-17A-51
________
Filing Type pertains to multiple Forms, Schedules, Rules or Regulations.Total:9,030,4241,062,595
TFiling Type is obsolete or no longer made public.Top

 

Copyright 2016 Fran Finnegan & Company. All Rights Reserved.
AboutPrivacyRedactionsHelp — Wed, 4 May 19:22:15.0 GMT