• Registrations 1-A Offering Statements — Reg. A / A+ 1-A 249 609 • Registrations 1-A Post-Qualification Amendments to Offering Statements — Reg. A / A+ 1-A POS 153 – • Registrations 1-A Withdrawals of Offering Statements — Reg. A 1-A-W 54 12 • Reports 1-E Notifications by Small Business Investment Companies and Business Development Companies 1-E 10 13 • Reports 1-E Sales Materials 1-E AD 2 – • Reports 1-K Annual Reports — Reg. A 1-K 61 4 • Reports 1-SA Semi-Annual Reports — Reg. A 1-SA 47 5 • Reports 1-U Current Reports — Reg. A 1-U 171 2 • Registrations 1-Z Exit Reports — Reg. A 1-Z 25 3 • Registrations 1-Z Withdrawals of Exit Reports — Reg. A 1-Z-W 1 – • Reports – Reports of Sales of Securities 2-E 5 2 • Ownership 3 Initial Statements of Beneficial Ownership of Securities 3 267,789 15,684 • Ownership 4 Statements of Changes in Beneficial Ownership of Securities 4 3,020,271 99,154 • Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities 5 96,911 3,842 • Reports 6-K Reports by Foreign Private Issuers 6-K 331,501 4,408 • Registrations 8-A Registrations of Certain Classes of Securities 8-A12B 16,890 3,958 • Registrations 8-A Registrations of Certain Classes of Securities 8A12BEF 95 – • Registrations 8-A Registrations of Certain Classes of Securities 8A12BT 28 8 • Registrations 8-A Registrations of Certain Classes of Securities 8-A12G 9,758 2,317 • Registrations 8-B Registrations of Securities of Certain Successor Issuers 8-B12B 94 29 • Registrations 8-B Registrations of Securities of Certain Successor Issuers 8-B12G 61 13 • Reports 8-K Current Reports 8-K 1,403,172 68,961 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12B 156 14 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12G3 604 114 • Reports 8-K Notices of Assumptions of Duty to Report by Successor Issuers 8-K15D5 67 2 • Registrations 10 Registrations of Securities (General Form) 10-12B 699 1,448 • Registrations 10 Registrations of Securities (General Form) 10-12G 2,281 3,988 • Reports 10-C Reports by Issuers of Securities Quoted on NASDAQ 10-C 1,305 25 • Reports 10-D Periodic Distribution Reports by Asset-Backed Issuers 10-D 43,916 1,945 • Reports 10-K Annual Reports 10-K 168,705 38,766 • Reports 10-K Annual Reports — Reg. S-K – Item 405 10-K405 20,208 3,225 • Reports 10-KSB Annual Reports by Small Businesses 10KSB 37,055 11,939 • Reports 10-KSB Annual Reports by Small Businesses — Reg. S-B – Item 405 10KSB40 3,460 629 • Reports 10-K Annual-Transition Reports 10-KT 427 106 • Reports 10-K Annual-Transition Reports — Reg. S-K – Item 405 10KT405 82 17 • Reports 10-Q Quarterly Reports 10-Q 526,375 41,632 • Reports 10-QSB Quarterly Reports by Small Businesses 10QSB 120,298 17,154 • Reports 10-Q Quarterly-Transition Reports 10-QT 190 36 • Registrations 10-SB Registrations of Securities of Small-Business Issuers 10SB12B 245 134 • Registrations 10-SB Registrations of Securities of Small-Business Issuers 10SB12G 4,145 5,541 • Reports 11-K Annual Reports by Employee Stock Purchase, Savings and Similar Plans 11-K 33,021 806 • Reports 11-K Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans 11-KT 93 2 • Ownership 13F-E Quarterly Reports by Institutional Money Managers 13F-E 1,188 120 • Ownership 13F Quarterly Holdings and Combination Reports by Institutional Money Managers 13F-HR 210,836 21,534 • Ownership 13F Quarterly Notices by Institutional Money Managers 13F-NT 70,586 1,547 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12B 4,554 99 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12G 12,370 356 • Reports 15 Notices of Suspensions of Duty to File Reports 15-15D 15,267 196 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 15F-12B 167 11 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 15F-12G 220 11 • Reports 15F Notices of Foreign Private Issuers’ Suspensions of Duty to File Reports 15F-15D 113 2 • Registrations 18 Registrations of Securities of Foreign Governments and Political Subdivisions 18-12B 3 – • Registrations 18 Registrations of Securities of Foreign Governments and Political Subdivisions 18-12G – – • Reports 18-K Annual Reports by Foreign Governments and Political Subdivisions 18-K 560 1,713 • Reports 20-F Annual Reports by Foreign Private Issuers 20-F 12,843 2,987 • Registrations 20-F Registrations of Securities of Foreign Private Issuers 20FR12B 121 122 • Registrations 20-F Registrations of Securities of Foreign Private Issuers 20FR12G 345 529 • Registrations – Notices of Elections to Register Securities 24F-1 6 – • Registrations 24F-2 Annual Notices of Securities Sold by Investment Companies 24F-2EL 29 2 • Registrations 24F-2 Annual Notices of Securities Sold by Investment Companies 24F-2NT 156,700 3,075 • Registrations 24F-2 Annual Notices of Securities Sold by Investment Companies 24F-2TM 603 – • Reports 25 Notices to Voluntarily Withdraw Classes of Securities from Listings and Registrations on National Exchanges 25 1,726 26 • Reports 25 Notices by National Exchanges of the Removal from Listings and Registrations of Matured, Redeemed or Retired Securities 25-NSE 7,847 200 • Reports 35-APP Statements Concerning Proposed Transactions 35-APP 6 2 • Reports 35-CERT Certificates Concerning Terms and Conditions of Transactions 35-CERT 5,137 98 • Registrations – Applications for Orders by Employees’ Securities Companies 40-6B 13 70 • Reports – Applications Requesting Extensions of Time for Filing Certain Information, Documents or Reports 40-8B25 77 – • Registrations – Initial Applications for Deregistration by Certain Registered Investment Companies 40-8F-2 16 21 • Registrations N-8F Applications for Deregistration by Certain Registered Investment Companies – Abandonments of Registration 40-8F-A 124 65 • Registrations N-8F Applications for Deregistration by Certain Registered Investment Companies – Business Development Companies 40-8F-B 4 1 • Registrations N-8F Applications for Deregistration by Certain Registered Investment Companies – Liquidations 40-8F-L 455 180 • Registrations N-8F Applications for Deregistration by Certain Registered Investment Companies – Mergers 40-8F-M 542 174 • Reports N-17F-1 Certificates of Accounting of Securities in the Custody of Management Investment Companies 40-17F1 314 16 • Reports N-17F-2 Certificates of Accounting of Securities in the Custody of Management Investment Companies 40-17F2 16,148 125 • Reports – Fidelity Bonds of Management Investment Companies 40-17G 12,793 1,932 • Reports – Claims and Settlements re: Management Investment Companies 40-17GCS 2 – • Reports – Sales Literature of Management Investment Companies 40-24B2 2,546 81 • Reports – Stockholder Derivative Actions re: Management Investment Companies 40-33 108 6 • Registrations – Applications for Orders other than those Reviewed by the Office of Insurance Products 40-APP 1,088 1,896 • Reports 40-F Annual Reports by Foreign Private Issuers 40-F 2,155 418 • Reports 40-F Annual Reports by Foreign Private Issuers — ’34 S.12(b) Reg. 40FR12B 91 42 • Reports 40-F Annual Reports by Foreign Private Issuers — ’34 S.12(g) Reg. 40FR12G 22 8 • Registrations – Applications for Orders Reviewed by the Office of Insurance Products 40-OIP 68 133 • Ownership 144 Notices of Proposed Sales of Securities 144 6,499 241 • Registrations 1-A Offering Statements – Information Previously Omitted — Reg. A 253G1 1 – • Registrations 1-A Offering Statements – Information Substantively Changed or Added — Reg. A 253G2 201 – • Registrations 1-A Offering Statements – Information Previously Omitted or Substantively Changed — Reg. A 253G3 2 – • Registrations 1-A Offering Statements – Information Previously Omitted or Substantively Changed – Not Timely Filed — Reg. A 253G4 1 – • Registrations T-1 Statements of Eligibility by Corporations Designated to Act as Trustees 305B2 1,572 19 • Registrations – Prospectuses 424A 1,538 – • Registrations – Prospectuses 424B1 5,802 – • Registrations – Prospectuses 424B2 140,349 – • Registrations – Prospectuses 424B3 142,357 – • Registrations – Prospectuses 424B4 8,678 – • Registrations – Prospectuses 424B5 50,433 – • Registrations – Prospectuses 424B7 3,166 – • Registrations – Prospectuses 424B8 602 – • Registrations – Preliminary Prospectuses 424H 268 17 • Reports – Business-Combination Transaction Communications 425 56,544 – • Registrations † Post-Effective Amendments 485A24E 88 – • Registrations † Post-Effective Amendments 485A24F 25 – • Registrations † Post-Effective Amendments 485APOS 36,592 – • Registrations † Post-Effective Amendments 485B24E 1,669 – • Registrations † Post-Effective Amendments 485B24F 64 – • Registrations † Post-Effective Amendments 485BPOS 158,686 – • Registrations † Post-Effective Amendments to Designate New Effective Dates 485BXT 16,473 – • Registrations † Post-Effective Amendments to Designate New Effective Dates 485BXTF 1 – • Registrations N-2 Post-Effective Amendments to N-2s 486A24E 1 – • Registrations N-2 Post-Effective Amendments to N-2s 486APOS 142 – • Registrations N-2 Post-Effective Amendments to N-2s 486B24E 2 – • Registrations N-2 Post-Effective Amendments to N-2s 486BPOS 554 – • Registrations † Pre-Effective Pricing Amendments 487 16,059 – • Registrations – Definitive Materials 497 313,598 – • Reports – Advertising by Certain Investment Companies 497AD 2,948 – • Registrations – Prospectuses 497H2 82 – • Registrations – Certifications of No Changes in Definitive Materials 497J 102,693 – • Registrations – Summary Prospectuses of Open-End Management Investment Companies 497K 137,443 – • Reports – Profiles of Open-End Management Investment Companies 497K1 317 – • Reports – Profiles of Open-End Management Investment Companies 497K2 164 – • Reports – Profiles of Open-End Management Investment Companies 497K3A 52 – • Reports – Profiles of Open-End Management Investment Companies 497K3B 2,294 – • Reports – Asset-Backed Securities Reports ABS-15G 5,718 1,764 • Registrations † Asset-Backed Securities Offerings’ Electronic Exhibits ABS-EE 1 – • Reports – I.B.R.D. (World Bank) Annual Reports ANNLRPT 80 1 • Registrations APP WD Withdrawals of Applications for Exemptive or Other Relief from the Federal Securities Laws APP WD 200 11 • Reports † Annual Reports to Security Holders ARS 1,457 10 • Registrations † Amendment Withdrawal Requests AW 3,158 – • Registrations † Amendment Withdrawal (Withdraw Duplicate) Requests AW WD 95 – • Reports – I.B.R.D. (World Bank) Quarterly Reports BW-2 27 – • Reports – I.B.R.D. (World Bank) Distribution of Obligations Reports BW-3 93 – • Registrations C Crowdfunding Offering Statements C 395 358 • Registrations C/A-W Crowdfunding Offering Statement Amendment Withdrawals C/A-W 5 – • Reports C-AR Crowdfunding Annual Reports C-AR 56 9 • Reports C-AR/A-W Crowdfunding Annual Report Amendment Withdrawals C-AR/A-W – – • Reports C-AR-W Crowdfunding Annual Report Withdrawals C-AR-W – – • Ownership CB Rights/Exchange/Tender Offer Notifications/Responses CB 967 847 • Registrations Funding Portal Applications for Registration as a Crowdfunding Portal CFPORTAL 30 75 • Registrations Funding Portal Applications for Withdrawal from Registration as a Crowdfunding Portal CFPORTAL-W 1 – • Other – Corrections CORRECTION – – • Letters – Comment-Response and Other Letters to the SEC [ a.k.a. COVER ] CORRESP 136,367 – • Reports C-TR Crowdfunding Terminations of Reporting C-TR 1 – • Reports C-TR-W Crowdfunding Termination of Reporting Withdrawals C-TR-W – – • Registrations C-U Crowdfunding Progress Updates C-U 96 – • Registrations C-U-W Crowdfunding Progress Update Withdrawals C-U-W – – • Registrations C-W Crowdfunding Offering Statement Withdrawals C-W 42 – • Registrations D Notices of Offerings of Securities Made Without Registration D 168,366 117,459 • Proxies 13E-3 Definitive Proxy Solicitation Materials – Going-Private Transaction Statements DEF13E3 77 87 • Proxies 14A Definitive Proxy Solicitation Materials DEF 14A 150,525 – • Proxies 14C Definitive Proxy Information Statements DEF 14C 10,551 – • Proxies 14A Additional Definitive Proxy Solicitation Materials DEFA14A 68,313 – • Proxies 14C Additional Definitive Proxy Information Statements DEFA14C 311 – • Proxies 14A Definitive Proxy Solicitation Materials – Contested Solicitations DEFC14A 1,684 – • Proxies 14C Definitive Proxy Information Statements – Contested Solicitations DEFC14C 25 – • Proxies 14A Definitive Proxy Solicitation Materials – Mergers and Acquisitions DEFM14A 4,692 – • Proxies 14C Definitive Proxy Information Statements – Mergers and Acquisitions DEFM14C 391 – • Proxies 14A Definitive Non-Management Proxy Solicitation Materials – Non-Contested Solicitations DEFN14A 293 – • Proxies 14A Revised Definitive Proxy Solicitation Materials DEFR14A 4,972 – • Proxies 14C Revised Definitive Proxy Information Statements DEFR14C 378 – • Proxies 14A Definitive Proxy Solicitation Materials – Special Meetings DEFS14A 3,996 – • Proxies 14C Definitive Proxy Information Statements – Special Meetings DEFS14C 88 – • Registrations † Registration Effectiveness-Delaying Amendments DEL AM 924 – • Proxies 14A Additional Definitive Non-Management Proxy Solicitation Materials DFAN14A 10,382 – • Proxies 14A Revised Definitive Non-Management Proxy Solicitation Materials DFRN14A 279 – • Registrations 1-A Draft Offering Statements — Reg. A / A+ DOS 51 53 • Letters – Comment-Response and Draft-Offering-Statement Letters to the SEC DOSLTR 44 – • Registrations DRS Draft Registration Statements by Emerging Growth Companies and Foreign Private Issuers DRS 1,105 1,506 • Letters – Comment-Response and Draft-Registration-Statement Letters to the SEC DRSLTR 1,076 – • Reports – I.B.R.D. (World Bank) Distribution of Obligations Reports DSTRBRPT 148 15 • Registrations † Notices of Effectiveness EFFECT – – • Registrations F-1 Registration Statements by Foreign Private Issuers F-1 1,016 2,989 • Registrations F-1 Registrations of Additional Securities F-1MEF 109 – • Registrations F-2 Registration Statements by Foreign Private Issuers F-2 16 33 • Registrations F-2 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-2D 1 – • Registrations F-3 Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to Transactions F-3 1,086 1,051 • Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private Issuers F-3ASR 439 – • Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-3D 46 – • Registrations F-3 Post-Effective Amendments to F-3Ds F-3DPOS 22 – • Registrations F-3 Registrations of Additional Securities F-3MEF 26 – • Registrations F-4 Registration Statements by Foreign Private Issuers for Securities Issued in Business-Combination Transactions F-4 635 1,000 • Registrations F-4 Registrations of Additional Securities F-4MEF 8 – • Registrations F-4 Post-Effective Amendments to F-4s F-4 POS 20 – • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately) F-6 1,399 105 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts (Effective Immediately) F-6EF 5,558 – • Registrations F-6 Post-Effective Amendments to F-6s F-6 POS 1,164 – • Registrations F-7 Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights F-7 30 8 • Registrations F-7 Post-Effective Amendments to F-7s F-7 POS 5 – • Registrations F-8 Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to Transactions F-8 29 50 • Registrations F-8 Post-Effective Amendments to F-8s F-8 POS 8 – • Registrations F-9 Registration Statements by Foreign Private Issuers (Not Effective Immediately) F-9 95 83 • Registrations F-9 Registration Statements by Foreign Private Issuers (Effective Immediately) F-9EF 3 – • Registrations F-9 Post-Effective Amendments to F-9s F-9 POS 5 – • Registrations F-10 Registration Statements by Foreign Private Issuers (Not Effective Immediately) F-10 591 667 • Registrations F-10 Registration Statements by Foreign Private Issuers (Effective Immediately) F-10EF 5 – • Registrations F-10 Post-Effective Amendments to F-10s F-10POS 50 – • Registrations F-80 Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers or Business Combinations F-80 22 18 • Registrations F-80 Post-Effective Amendments to F-80s F-80POS 15 – • Registrations F-N Appointments of Agents for Service of Process by Foreign Financial Entities F-N 293 20 • Registrations – Free-Writing Prospectuses FWP 105,534 – • Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities F-X 1,891 154 • Reports – Notices of Disclosures in Quarterly and Annual Reports re: The Iran Threat Reduction and Syria Human Rights Act IRANNOTICE 2,179 – • Registrations MA Applications for Municipal Advisor Registration MA 780 683 • Registrations MA Annual Updates of a Municipal Advisor’s Registration MA-A 848 – • Registrations MA-I Information Regarding Natural Persons Who Engage in Municipal Advisory Activities MA-I 6,179 3,563 • Registrations MA-W Notices of Withdrawal from Registration as a Municipal Advisor MA-W 129 – • Registrations N-1 Registration Statements by Open-End Management Investment Companies N-1 2 189 • Registrations N-1A Registration Statements by Open-End Management Investment Companies N-1A 1,764 2,611 • Registrations N-1A Registration Statements by Open-End Management Investment Companies N-1A EL 361 466 • Registrations N-2 Registration Statements by Closed-End Investment Companies N-2 3,240 4,975 • Registrations N-2 Registrations of Additional Securities N-2MEF 220 – • Registrations N-3 Registration Statements for Separate Accounts (Management Investment Companies) N-3 40 19 • Registrations N-3 Registration Statements for Separate Accounts (Management Investment Companies) N-3 EL 6 6 • Registrations N-4 Registration Statements for Separate Accounts (Unit Investment Trusts) N-4 2,127 1,895 • Registrations N-4 Registration Statements for Separate Accounts (Unit Investment Trusts) N-4 EL 151 141 • Registrations N-5 Registration Statements by Small-Business Investment Companies N-5 9 10 • Registrations N-6 Registration Statements for Separate Accounts (Unit Investment Trusts) N-6 592 428 • Reports N-6F Notices of Intentions to Elect Business-Development-Company Status N-6F 128 62 • Registrations N-8A Notices of Registrations N-8A 3,908 549 • Registrations N-8B-2 Registration Statements by Unit Investment Trusts N-8B-2 182 166 • Registrations N-8B-3 Registration Statements by Periodic Payment Plans N-8B-3 – – • Registrations N-8B-4 Registration Statements by Face-Amount Certificate Companies N-8B-4 1 – • Registrations N-8F Applications for Deregistration by Certain Registered Investment Companies N-8F 2,576 1,167 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) N-14 2,930 1,988 • Registrations N-14 Registration Statements by Closed-End Investment Companies (Business Combinations) N-14 8C 202 238 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) with Automatic Effectiveness N-14AE 891 185 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) N14AE24 230 58 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) N14EL24 158 89 • Registrations N-14 Registrations of Additional Securities N-14MEF 3 – • Reports N-18F-1 Notices of Elections N-18F1 1,198 29 • Ownership N-23C-1 Reports by Closed-End Investment Companies of Purchases of their own Securities N-23C-1 920 16 • Ownership – Notices by Closed-End Investment Companies of Intentions to Call or Redeem their own Securities N-23C-2 1,381 51 • Ownership – Notices of Periodic Repurchase Offers N-23C3A 1,397 19 • Ownership – Notices of Periodic Repurchase Offers N-23C3B 388 3 • Ownership – Notices of Periodic Repurchase Offers N-23C3C 45 46 • Reports N-27D-1 Accountings for Segregated Trust Accounts N-27D-1 12 – • Reports – Periodic and Interim Reports Mailed to Shareholders N-30B-2 9,975 – • Reports – Annual and Semi-Annual Reports Mailed to Shareholders N-30D 70,461 1,052 • Reports N-54A Notices of Elections by Business Development Companies N-54A 254 8 • Reports N-54C Notices of Withdrawal from Registration by Business Development Companies N-54C 165 4 • Reports N-CR Current Reports of Money Market Funds’ Material Events N-CR 39 6 • Reports N-CSR Certified Annual Shareholder Reports by Management Investment Companies N-CSR 51,015 2,627 • Reports N-CSR Certified Semi-Annual Shareholder Reports by Management Investment Companies N-CSRS 43,207 821 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds N-MFP 41,414 2,242 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds N-MFP1 3,040 553 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds N-MFP2 3,732 368 • Reports N-PX Proxy Voting Record Annual Reports by Management Investment Companies N-PX 40,522 1,649 • Reports N-PX Proxy Voting Record Annual Combination Reports by Institutional Managers N-PX-CR – – • Reports N-PX Proxy Voting Record Annual Reports by Management Investment Companies that Include Votes by Institutional Managers N-PX-FM – – • Reports N-PX Proxy Voting Record Annual Notices by Institutional Managers N-PX-NT – – • Reports N-PX Proxy Voting Record Annual Voting Reports by Institutional Managers N-PX-VR – – • Reports N-Q Quarterly Schedules of Portfolio Holdings of Management Investment Companies N-Q 82,214 936 • Registrations NRSRO Annual Certifications by Nationally Recognized Statistical Rating Organizations NRSRO-CE 22 11 • Reports NRSRO Annual Financial and Other Reports by Nationally Recognized Statistical Rating Organizations NRSRO-FR – – • Registrations NRSRO Updates of Registration by Nationally Recognized Statistical Rating Organizations NRSRO-UPD 64 – • Registrations NRSRO Withdrawals from Credit Rating Class by Nationally Recognized Statistical Rating Organizations NRSRO-WCLS – – • Registrations NRSRO Withdrawals from Registration by Nationally Recognized Statistical Rating Organizations NRSRO-WREG – – • Reports N-SAR Semi-Annual Reports by Money-Management Companies NSAR-A 70,685 3,868 • Reports N-SAR Semi-Annual-Transition Reports by Money-Management Companies NSAR-AT 201 16 • Reports N-SAR Annual Reports by Money-Management Companies NSAR-B 70,546 6,146 • Reports N-SAR Annual-Transition Reports by Money-Management Companies NSAR-BT 675 54 • Reports N-SAR Annual Reports by Unit Investment Trusts NSAR-U 15,823 336 • Reports 12b-25 Notices of Late Filings of Form 10-D NT 10-D 8 1 • Reports 12b-25 Notices of Late Filings of Form 10-K NT 10-K 40,305 638 • Reports 12b-25 Notices of Late Filings of Form 10-Q NT 10-Q 65,610 569 • Reports 12b-25 Notices of Late Filings of Form 11-K NT 11-K 1,588 16 • Reports 12b-25 Notices of Late Filings of Special Financial Reports NT 15D2 8 7 • Reports 12b-25 Notices of Late Filings of Form 20-F NT 20-F 1,334 23 • Reports 12b-25 Notices of Late Filings of Form N-CSR NTFNCSR 71 – • Reports 12b-25 Notices of Late Filings of Form N-SAR NTFNSAR 187 – • Reports 12b-25 Notices of Late Filings of Form 10-D NTN 10D 5 – • Reports 12b-25 Notices of Late Filings of Form 10-K NTN 10K 1,580 – • Reports 12b-25 Notices of Late Filings of Form 10-Q NTN 10Q 2,299 – • Reports 12b-25 Notices of Late Filings of Form 11-K NTN 11K 18 – • Reports 12b-25 Notices of Late Filings of Special Financial Reports NTN15D2 3 – • Reports 12b-25 Notices of Late Filings of Form 20-F NTN 20F 34 – • Reports 12b-25 Notices of Late Filings of Form N-CSR NT-NCSR 311 17 • Reports N-MFP Late Filings of Monthly Schedules of Portfolio Holdings of Money Market Funds NT N-MFP 238 – • Reports N-MFP Late Filings of Monthly Schedules of Portfolio Holdings of Money Market Funds NT N-MFP1 35 – • Reports N-MFP Late Filings of Monthly Schedules of Portfolio Holdings of Money Market Funds NT N-MFP2 10 – • Reports 12b-25 Notices of Late Filings of Form N-SAR NT-NSAR 2,574 113 • Registrations – Post-Effective Amendments POS 8C 1,765 – • Registrations – Post-Effective Amendments POS462B 206 – • Registrations – Post-Effective Amendments POS462C 82 – • Registrations † Post-Effective Amendments POS AM 27,510 – • Registrations U-1 Post-Effective Amendments to U-1s POS AMC 1,182 – • Registrations † Post-Effective Amendments POS AMI 5,641 – • Registrations S-3/F-3 Post-Effective Amendments to S-3 and F-3 ASRs POSASR 1,417 – • Registrations † Post-Effective Amendments to Add Exhibits POS EX 2,820 – • Proxies 13E-3 Preliminary Proxy Solicitation Materials – Going-Private Transaction Statements PRE13E3 173 290 • Proxies 14A Preliminary Proxy Solicitation Materials PRE 14A 34,553 – • Proxies 14C Preliminary Proxy Information Statements PRE 14C 8,413 – • Proxies 14A Additional Preliminary Proxy Solicitation Materials PREA14A 16 – • Proxies 14C Additional Preliminary Proxy Information Statements PREA14C 1 – • Proxies 14A Preliminary Proxy Solicitation Materials – Contested Solicitations PREC14A 2,317 – • Proxies 14C Preliminary Proxy Information Statements – Contested Solicitations PREC14C 63 – • Proxies 14A Preliminary Proxy Solicitation Materials – Mergers and Acquisitions PREM14A 4,333 – • Proxies 14C Preliminary Proxy Information Statements – Mergers and Acquisitions PREM14C 642 – • Proxies 14A Preliminary Non-Management Proxy Solicitation Materials – Non-Contested Solicitations PREN14A 355 – • Proxies 14A Revised Preliminary Proxy Solicitation Materials PRER14A 10,411 – • Proxies 14C Revised Preliminary Proxy Information Statements PRER14C 2,305 – • Proxies 14A Preliminary Proxy Solicitation Materials – Special Meetings PRES14A 3,944 – • Proxies 14C Preliminary Proxy Information Statements – Special Meetings PRES14C 129 – • Proxies 14A Revised Preliminary Non-Management Proxy Solicitation Materials – Contested Solicitations and Other Situations PRRN14A 1,913 – • Proxies – Notices of Exempt Proxy Solicitations PX14A6G 1,015 – • Proxies – Notices of Exempt Preliminary Proxy Roll-Up Communications PX14A6N 34 – • Reports – I.B.R.D. (World Bank) Quarterly Reports QRTLYRPT 66 1 • Registrations D Notices of Offerings of Securities Made Without Registration REGDEX – – • Registrations † Registration Withdrawal Requests RW 10,890 – • Registrations † Registration Withdrawal (Withdraw Duplicate) Requests RW WD 370 – • Registrations S-1 Registration Statements (General Form) S-1 16,794 46,458 • Registrations S-1 Registrations of Additional Securities S-1MEF 1,224 – • Registrations S-2 Registrations of Securities S-2 978 1,457 • Registrations S-2 Registrations of Additional Securities S-2MEF 73 – • Registrations S-3 Registration Statements for Securities Offered Pursuant to Transactions S-3 32,884 27,783 • Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers S-3ASR 5,642 – • Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans S-3D 903 5 • Registrations S-3 Post-Effective Amendments to S-3Ds S-3DPOS 593 – • Registrations S-3 Registrations of Additional Securities S-3MEF 1,204 – • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions S-4 13,511 18,290 • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions Forming Banks, Savings & Loans and Holding Companies S-4EF 76 31 • Registrations S-4 Registrations of Additional Securities S-4MEF 137 – • Registrations S-4 Post-Effective Amendments to S-4s S-4 POS 290 – • Registrations S-6 Registration Statements by Unit Investment Trusts S-6 17,309 7,010 • Registrations S-6 Registration Statements by Unit Investment Trusts S-6EL24 1,398 359 • Registrations S-8 Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit Plans S-8 76,568 18 • Registrations S-8 Post-Effective Amendments to S-8s S-8 POS 28,091 – • Registrations S-11 Registration Statements by Real Estate Companies S-11 1,040 3,270 • Registrations S-11 Registrations of Additional Securities S-11MEF 78 – • Registrations S-20 Registration Statements for Standardized Options S-20 6 5 • Registrations B Registration Statements by Foreign Governments and Political Subdivisions S-B 261 165 • Registrations SB-1 Registrations of Securities of Small-Business Issuers SB-1 151 358 • Registrations SB-1 Registrations of Additional Securities SB-1MEF 1 – • Registrations SB-2 Registrations of Securities of Small-Business Issuers SB-2 7,812 16,585 • Registrations SB-2 Registrations of Additional Securities SB-2MEF 104 – • Registrations B Registrations of Additional Securities S-BMEF 13 – • Registrations SBSE Applications for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants SBSE – – • Registrations SBSE-A Applications for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered or Registering with the CFTC as a Swap Dealer or Major Swap Participant SBSE-A – – • Registrations SBSE-BD Applications for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered Broker-Dealers SBSE-BD – – • Registrations SBSE-C Certifications for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants SBSE-C – – • Registrations SBSE-W Requests for Withdrawal from Registration as a Security-Based Swap Dealer or Major Security-Based Swap Participant SBSE-W – – • Ownership 13D General Statements of Beneficial Ownership SC 13D 53,087 108,039 • Ownership 13E-1 Tender-Offer Transaction Statements SC 13E1 23 13 • Ownership 13E-3 Tender-Offer Statements – Going-Private Transactions SC 13E3 2,319 7,730 • Ownership 13E-4 Tender-Offer Statements – Issuer Tender Offers SC 13E4 734 1,250 • Ownership 13E-4F Tender-Offer Statements – Issuer Tender Offers SC13E4F 15 16 • Ownership 13G Statements of Beneficial Ownership SC 13G 181,181 311,745 • Ownership 14D-1 Tender-Offer Statements – Third-Party Tender Offers SC 14D1 1,271 5,205 • Ownership 14D-1F Tender-Offer Statements – Third-Party Tender Offers SC14D1F 40 134 • Ownership 14D-9 Tender-Offer Solicitation/Recommendation Statements SC 14D9 4,024 8,665 • Ownership 14D-9C Tender-Offer Solicitation/Recommendation Statements – Preliminary Communications SC14D9C 2,138 – • Ownership 14D-9F Tender-Offer Solicitation/Recommendation Statements – Preliminary Communications – Foreign SC14D9F 37 39 • Ownership 14F-1 Statements re: Changes in Majority of Directors SC 14F1 2,126 220 • Proxies 14N Information from Certain Nominating Shareholders SC 14N 5 5 • Proxies 14N-S Solicitations re: Either the Formation of a Nominating Shareholder Group or a Nomination SC 14N-S – – • Ownership TO Tender-Offer Statements – Preliminary Communications SC TO-C 4,863 – • Ownership TO Tender-Offer Statements – Issuer Tender Offers SC TO-I 7,623 12,874 • Ownership TO Tender-Offer Statements – Third-Party Tender Offers SC TO-T 2,413 11,270 • Reports – Specialized Disclosure Reports Relating to the Use of Conflict Minerals SD 4,966 18 • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository SDR 2 – • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository – Annual Amendments SDR-A – – • Reports SDR-CCO Annual Compliance and Financial Reports for Security-Based Swap Data Repositories SDR-CCO – – • Registrations SDR Applications for Withdrawal from Registration as a Security-Based Swap Data Repository SDR-W – – • Registrations SF-1 Registration Statements (General Form) by Issuers of Asset-Backed Securities SF-1 1 5 • Registrations SF-3 Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities SF-3 66 141 • Registrations SF-3 Registrations of Additional Securities SF-3MEF – – • Reports SH Weekly Short-Sale Entries Reports by Institutional Investment Managers SH-ER – – • Reports SH Weekly Short-Sale Notice Reports by Institutional Investment Managers SH-NT – – • Reports – Special Financial Reports SP 15D2 56 2 • Registrations † Voluntary Supplemental Materials Filed by Foreign Issuers SUPPL 1,276 – • Registrations T-3 Applications for Qualification of a Trust Indenture T-3 575 558 • Registrations TA-1 Applications for Registration as a Transfer Agent TA-1 143 2,346 • Reports TA-2 Annual Reports of Transfer Agents’ Activities TA-2 4,101 481 • Registrations TA-W Notices of Withdrawal from Registration as a Transfer Agent TA-W 219 – • Registrations U-1 Applications and Declarations U-1 969 2,309 • Registrations U-3A-2 Statements by Holding Companies Claiming Exemption U-3A-2 984 163 • Registrations U-3A3-1 Twelve-Month Statements by Banks Claiming Exemption U-3A3-1 21 – • Registrations U5A Notices of Registrations U5A 40 4 • Registrations U5B Registration Statements U5B 32 10 • Reports U5S Annual Reports by Holding Companies U5S 242 68 • Reports U-6B-2 Certificates of Notices of Security Issues, Renewals and Guarantees U-6B-2 1,284 9 • Reports U-7D Certificates Concerning Leases of Utility Facilities U-7D 28 39 • Reports U-9C-3 Quarterly Reports by Energy or Gas-Related Companies U-9C-3 635 16 • Ownership U-12(I)-A Ownership Statements by Persons Employed or Retained by Registered Holding Companies U-12-IA 29 1 • Ownership U-12(I)-B Three-Year Ownership Statements by Persons Employed or Retained by Registered Holding Companies U-12-IB 1,537 3 • Reports U-13-60 Annual Reports by Mutual and Subsidiary Service Companies U-13-60 366 17 • Ownership U-13E-1 Transaction Statements by Affiliate and Independent Service Companies U-13E-1 4 – • Reports U-33-S Annual Reports by Foreign Utility Companies U-33-S 48 1 • Reports U-57 Notices of Foreign Utility Company Status U-57 614 237 • Letters – Comment Letters and Other Letters from the SEC – Corrections ULCORRCTN – – • Registrations † Initial Undertakings to File Reports UNDER 20 1 • Letters – Comment Letters and Other Letters from the SEC [ a.k.a. LETTER ] UPLOAD 140,339 – • Reports X-17A-5 Annual Financial Reports by Broker-Dealers X-17A-5 1,220 109 ________ † This Document/Filing Type pertains to multiple Forms, Schedules, Rules or Regulations. Totals: 9,960,886 1,130,556 T This Document/Filing Type is obsolete or no longer made public. ↑ Top 