• Registrations 1-A Offering Statements — Reg. A / A+ 1-A 378 950 • Registrations 1-A Post-Qualification Amendments to Offering Statements — Reg. A / A+ 1-A POS 313 – • Registrations 1-A Withdrawals of Offering Statements — Reg. A / A+ 1-A-W 75 15 • 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 137 9 • Reports 1-SA Semi-Annual Reports — Reg. A 1-SA 123 11 • Reports 1-U Current Reports — Reg. A 1-U 427 4 • Registrations 1-Z Exit Reports — Reg. A 1-Z 48 4 • Registrations 1-Z Withdrawals of Exit Reports — Reg. A 1-Z-W 2 – • Reports – Reports of Sales of Securities 2-E 6 2 • Ownership 3 Initial Statements of Beneficial Ownership of Securities 3 280,750 16,337 • Ownership 4 Statements of Changes in Beneficial Ownership of Securities 4 3,182,064 102,609 • Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities 5 99,965 3,910 • Reports 6-K Current Reports by Foreign Private Issuers 6-K 350,925 4,631 • Registrations 8-A Registrations of Certain Classes of Securities 8-A12B 17,661 4,054 • 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 9,836 2,329 • 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 1,465,458 71,047 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12B 178 14 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12G3 612 114 • Reports 8-K Notices of Assumptions of Duty to Report by Successor Issuers 8-K15D5 70 2 • Registrations 10 Registrations of Securities (General Form) 10-12B 714 1,487 • Registrations 10 Registrations of Securities (General Form) 10-12G 2,369 4,130 • 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 50,186 2,027 • Reports 10-K Annual Reports 10-K 175,376 39,681 • 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 450 106 • Reports 10-K Annual-Transition Reports — Reg. S-K – Item 405 10KT405 82 17 • Reports 10-Q Quarterly Reports 10-Q 544,826 42,296 • Reports 10-QSB Quarterly Reports by Small Businesses 10QSB 120,298 17,154 • Reports 10-Q Quarterly-Transition Reports 10-QT 194 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 33,483 816 • 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 229,040 22,587 • Ownership 13F Quarterly Notices by Institutional Money Managers 13F-NT 76,720 1,618 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12B 4,804 102 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12G 12,602 366 • Reports 15 Notices of Suspensions of Duty to File Reports 15-15D 15,474 199 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 15F-12B 173 12 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 15F-12G 225 12 • Reports 15F Notices of Foreign Private Issuers’ Suspensions of Duty to File Reports 15F-15D 118 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 594 1,840 • Reports 20-F Annual Reports by Foreign Private Issuers 20-F 13,501 3,116 • Registrations 20-F Registrations of Securities of Foreign Private Issuers 20FR12B 124 126 • Registrations 20-F Registrations of Securities of Foreign Private Issuers 20FR12G 346 532 • 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 162,976 3,125 • 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 1,817 28 • Reports 25 Notices by National Exchanges of the Removal from Listings and Registrations of Matured, Redeemed or Retired Securities 25-NSE 8,658 205 • 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 17 72 • Reports – Applications Requesting Extensions of Time for Filing Certain Information, Documents or Reports 40-8B25 89 – • Registrations – Initial Applications for Deregistration by Certain Registered Investment Companies 40-8F-2 17 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 347 16 • Reports N-17F-2 Certificates of Accounting of Securities in the Custody of Management Investment Companies 40-17F2 16,917 128 • Reports – Fidelity Bonds of Management Investment Companies 40-17G 13,646 2,011 • Reports – Claims and Settlements re: Management Investment Companies 40-17GCS 15 – • Reports – Sales Literature of Management Investment Companies 40-24B2 2,652 82 • Reports – Stockholder Derivative Actions re: Management Investment Companies 40-33 123 6 • Registrations – Applications for Orders other than those Reviewed by the Office of Insurance Products 40-APP 1,205 2,035 • Reports 40-F Annual Reports by Foreign Private Issuers 40-F 2,278 441 • Reports 40-F Annual Reports by Foreign Private Issuers — ’34 S.12(b) Reg. 40FR12B 98 49 • 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 71 136 • Ownership 144 Notices of Proposed Sales of Securities 144 6,721 249 • Registrations 1-A Offering Statements – Information Previously Omitted — Reg. A / A+ 253G1 19 – • Registrations 1-A Offering Statements – Information Substantively Changed or Added — Reg. A / A+ 253G2 499 – • Registrations 1-A Offering Statements – Information Previously Omitted or Substantively Changed — Reg. A / A+ 253G3 4 – • Registrations 1-A Offering Statements – Information Previously Omitted or Substantively Changed – Not Timely Filed — Reg. A / A+ 253G4 1 – • Registrations T-1 Statements of Eligibility by Corporations Designated to Act as Trustees 305B2 1,651 20 • Registrations – Prospectuses 424A 1,538 – • Registrations – Prospectuses 424B1 5,849 – • Registrations – Prospectuses 424B2 167,535 – • Registrations – Prospectuses 424B3 147,514 – • Registrations – Prospectuses 424B4 9,040 – • Registrations – Prospectuses 424B5 52,759 – • Registrations – Prospectuses 424B7 3,365 – • Registrations – Prospectuses 424B8 707 – • Registrations – Preliminary Prospectuses 424H 419 37 • Reports – Business-Combination Transaction Communications 425 59,771 – • Registrations † Post-Effective Amendments 485A24E 88 – • Registrations † Post-Effective Amendments 485A24F 25 – • Registrations † Post-Effective Amendments 485APOS 37,614 – • Registrations † Post-Effective Amendments 485B24E 1,669 – • Registrations † Post-Effective Amendments 485B24F 64 – • Registrations † Post-Effective Amendments 485BPOS 166,399 – • Registrations † Post-Effective Amendments to Designate New Effective Dates 485BXT 18,544 – • 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 156 – • Registrations N-2 Post-Effective Amendments to N-2s 486B24E 2 – • Registrations N-2 Post-Effective Amendments to N-2s 486BPOS 610 – • Registrations † Post-Effective Amendments to Designate New Effective Dates 486BXT – – • Registrations † Pre-Effective Pricing Amendments 487 16,965 – • Registrations – Definitive Materials 497 327,464 – • Reports – Advertising by Certain Investment Companies 497AD 3,143 – • Registrations – Prospectuses 497H2 83 – • Registrations – Certifications of No Changes in Definitive Materials 497J 107,679 – • Registrations – Summary Prospectuses of Open-End Management Investment Companies 497K 158,325 – • 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 7,293 2,200 • Registrations † Asset-Backed Securities Offerings’ [XML] Exhibits ABS-EE 1,315 36 • Reports – I.B.R.D. (World Bank) Annual Reports ANNLRPT 86 1 • Registrations APP WD Withdrawals of Applications for Exemptive or Other Relief from the Federal Securities Laws APP WD 208 12 • Reports † Annual Reports to Security Holders ARS 1,481 10 • Registrations † Amendment Withdrawal Requests AW 3,324 – • Registrations † Amendment Withdrawal (Withdraw Duplicate) Requests AW WD 98 – • 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 981 938 • Registrations C/A-W Crowdfunding Offering Statement Amendment Withdrawals C/A-W 8 – • Reports C-AR Crowdfunding Annual Reports C-AR 260 23 • 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 2 – • Ownership CB Rights/Exchange/Tender Offer Notifications/Responses CB 1,004 977 • Registrations CERT Certifications by Exchanges Approving Securities for Listing CERT 258 – • Registrations CERT Certifications by the American Stock Exchange Approving Securities for Listing CERTAMX – – • Registrations CERT Certifications by the New York Stock Exchange Archipelago Approving Securities for Listing CERTARCA – – • Registrations CERT Certifications by the Bats Global Markets Approving Securities for Listing CERTBATS – – • Registrations CERT Certifications by the Boston Stock Exchange Approving Securities for Listing CERTBSE – – • Registrations CERT Certifications by the Chicago Stock Exchange Approving Securities for Listing CERTCSE – – • Registrations CERT Certifications by the NASDAQ Approving Securities for Listing CERTNAS – – • Registrations CERT Certifications by the New York Stock Exchange Approving Securities for Listing CERTNYS – – • Registrations CERT Certifications by the Pacific Coast Stock Exchange Approving Securities for Listing CERTPAC – – • Registrations CERT Certifications by the Philadelphia Stock Exchange Approving Securities for Listing CERTPBS – – • Registrations Funding Portal Applications for Registration as a Crowdfunding Portal CFPORTAL 45 112 • 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 144,679 – • Reports C-TR Crowdfunding Terminations of Reporting C-TR 13 – • Reports C-TR-W Crowdfunding Termination of Reporting Withdrawals C-TR-W – – • Registrations C-U Crowdfunding Progress Updates C-U 386 – • Registrations C-U-W Crowdfunding Progress Update Withdrawals C-U-W 1 – • Registrations C-W Crowdfunding Offering Statement Withdrawals C-W 86 – • Registrations D Notices of Offerings of Securities Made Without Registration D 192,042 133,246 • Proxies 13E-3 Definitive Proxy Solicitation Materials – Going-Private Transaction Statements DEF13E3 77 87 • Proxies 14A Definitive Proxy Solicitation Materials DEF 14A 155,200 – • Proxies 14C Definitive Proxy Information Statements DEF 14C 11,022 – • Proxies 14A Additional Definitive Proxy Solicitation Materials DEFA14A 73,161 – • Proxies 14C Additional Definitive Proxy Information Statements DEFA14C 328 – • Proxies 14A Definitive Proxy Solicitation Materials – Contested Solicitations DEFC14A 1,732 – • Proxies 14C Definitive Proxy Information Statements – Contested Solicitations DEFC14C 25 – • Proxies 14A Definitive Proxy Solicitation Materials – Mergers and Acquisitions DEFM14A 4,892 – • Proxies 14C Definitive Proxy Information Statements – Mergers and Acquisitions DEFM14C 405 – • Proxies 14A Definitive Non-Management Proxy Solicitation Materials – Non-Contested Solicitations DEFN14A 295 – • Proxies 14A Revised Definitive Proxy Solicitation Materials DEFR14A 5,099 – • Proxies 14C Revised Definitive Proxy Information Statements DEFR14C 390 – • 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 972 – • Proxies 14A Additional Definitive Non-Management Proxy Solicitation Materials DFAN14A 10,947 – • Proxies 14A Revised Definitive Non-Management Proxy Solicitation Materials DFRN14A 286 – • Registrations 1-A Draft Offering Statements — Reg. A / A+ DOS 82 88 • Letters – Comment-Response and Draft-Offering-Statement Letters to the SEC DOSLTR 77 – • Registrations DRS Draft Registration Statements by Emerging Growth Companies and Foreign Private Issuers DRS 1,409 1,927 • Letters – Comment-Response and Draft-Registration-Statement Letters to the SEC DRSLTR 1,470 – • Reports – I.B.R.D. (World Bank) Distribution of Obligations Reports DSTRBRPT 181 15 • Registrations † Notices of Effectiveness EFFECT – – • Registrations F-1 Registration Statements by Foreign Private Issuers F-1 1,109 3,244 • Registrations F-1 Registrations of Additional Securities F-1MEF 120 – • 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 1,165 1,083 • Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private Issuers F-3ASR 483 – • Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-3D 50 – • Registrations F-3 Post-Effective Amendments to F-3Ds F-3DPOS 22 – • Registrations F-3 Registrations of Additional Securities F-3MEF 28 – • Registrations F-4 Registration Statements by Foreign Private Issuers for Securities Issued in Business-Combination Transactions F-4 654 1,044 • 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 1,478 116 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts (Effective Immediately) F-6EF 5,802 – • Registrations F-6 Post-Effective Amendments to F-6s F-6 POS 2,049 – • Registrations F-7 Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights F-7 35 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 30 50 • Registrations F-8 Post-Effective Amendments to F-8s F-8 POS 12 – • 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-10 632 707 • 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 51 – • Registrations F-80 Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers or Business Combinations F-80 23 19 • 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 315 21 • Registrations – Free-Writing Prospectuses FWP 114,244 – • Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities F-X 1,986 165 • Reports – Notices of Disclosures in Quarterly and Annual Reports re: The Iran Threat Reduction and Syria Human Rights Act IRANNOTICE 2,516 – • Registrations MA Applications for Municipal Advisor Registration MA 816 921 • Registrations MA Annual Updates of a Municipal Advisor’s Registration MA-A 1,192 – • Registrations MA-I Information Regarding Natural Persons Who Engage in Municipal Advisory Activities MA-I 6,727 5,436 • Registrations MA-W Notices of Withdrawal from Registration as a Municipal Advisor MA-W 223 – • 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 1,802 2,664 • 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 3,367 5,146 • Registrations N-2 Registrations of Additional Securities N-2MEF 224 – • 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 2,145 1,917 • 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-6 598 434 • Reports N-6F Notices of Intentions to Elect Business-Development-Company Status N-6F 132 62 • Registrations N-8A Notices of Registrations N-8A 3,991 558 • Registrations N-8B-2 Registration Statements by Unit Investment Trusts N-8B-2 182 170 • 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 2,676 1,223 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) N-14 3,053 2,046 • Registrations N-14 Registration Statements by Closed-End Investment Companies (Business Combinations) N-14 8C 211 250 • 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 1,210 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 1,441 51 • Ownership – Notices of Periodic Repurchase Offers N-23C3A 1,539 20 • Ownership – Notices of Periodic Repurchase Offers N-23C3B 392 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 10,378 – • Reports – Annual and Semi-Annual Reports Mailed to Shareholders N-30D 70,730 1,055 • Reports N-54A Notices of Elections by Business Development Companies N-54A 260 8 • Reports N-54C Notices of Withdrawal from Registration by Business Development Companies N-54C 171 4 • Reports N-CR Current Reports of Money Market Funds’ Material Events N-CR 43 6 • Reports N-CSR Certified Annual Shareholder Reports by Management Investment Companies N-CSR 54,039 2,750 • Reports N-CSR Certified Semi-Annual Shareholder Reports by Management Investment Companies N-CSRS 46,039 858 • 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 8,596 602 • Reports N-PX Proxy Voting Record Annual Reports by Management Investment Companies N-PX 43,341 1,698 • 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 87,641 970 • Registrations NRSRO Annual Certifications by Nationally Recognized Statistical Rating Organizations NRSRO-CE 32 18 • 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 94 – • 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 73,115 3,982 • Reports N-SAR Semi-Annual-Transition Reports by Money-Management Companies NSAR-AT 202 16 • Reports N-SAR Annual Reports by Money-Management Companies NSAR-B 73,062 6,318 • Reports N-SAR Annual-Transition Reports by Money-Management Companies NSAR-BT 688 54 • Reports N-SAR Annual Reports by Unit Investment Trusts NSAR-U 16,555 344 • Reports 12b-25 Notices of Late Filings of Form 10-D NT 10-D 9 1 • Reports 12b-25 Notices of Late Filings of Form 10-K NT 10-K 41,297 653 • Reports 12b-25 Notices of Late Filings of Form 10-Q NT 10-Q 67,334 578 • Reports 12b-25 Notices of Late Filings of Form 11-K NT 11-K 1,603 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 1,409 25 • Reports 12b-25 Notices of Late Filings of Form N-CSR NTFNCSR 74 – • Reports 12b-25 Notices of Late Filings of Form N-SAR NTFNSAR 188 – • 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 318 20 • 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 21 – • Reports 12b-25 Notices of Late Filings of Form N-SAR NT-NSAR 2,588 116 • Registrations – Post-Effective Amendments POS 8C 1,911 – • Registrations – Post-Effective Amendments POS462B 211 – • Registrations – Post-Effective Amendments POS462C 82 – • Registrations † Post-Effective Amendments POS AM 28,276 – • Registrations U-1 Post-Effective Amendments to U-1s POS AMC 1,182 – • Registrations † Post-Effective Amendments POS AMI 5,830 – • Registrations S-3/F-3 Post-Effective Amendments to S-3 and F-3 ASRs POSASR 1,524 – • Registrations † Post-Effective Amendments to Add Exhibits POS EX 3,261 – • Proxies 13E-3 Preliminary Proxy Solicitation Materials – Going-Private Transaction Statements PRE13E3 173 290 • Proxies 14A Preliminary Proxy Solicitation Materials PRE 14A 35,507 – • Proxies 14C Preliminary Proxy Information Statements PRE 14C 8,706 – • 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 2,395 – • Proxies 14C Preliminary Proxy Information Statements – Contested Solicitations PREC14C 63 – • Proxies 14A Preliminary Proxy Solicitation Materials – Mergers and Acquisitions PREM14A 4,461 – • Proxies 14C Preliminary Proxy Information Statements – Mergers and Acquisitions PREM14C 658 – • Proxies 14A Preliminary Non-Management Proxy Solicitation Materials – Non-Contested Solicitations PREN14A 360 – • Proxies 14A Revised Preliminary Proxy Solicitation Materials PRER14A 10,571 – • Proxies 14C Revised Preliminary Proxy Information Statements PRER14C 2,364 – • 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 1,952 – • Proxies – Notices of Exempt Proxy Solicitations PX14A6G 1,184 – • Proxies – Notices of Exempt Preliminary Proxy Roll-Up Communications PX14A6N 35 – • Reports – I.B.R.D. (World Bank) Quarterly Reports QRTLYRPT 76 1 • Registrations D Notices of Offerings of Securities Made Without Registration REGDEX – – • Registrations † Registration Withdrawal Requests RW 11,122 – • Registrations † Registration Withdrawal (Withdraw Duplicate) Requests RW WD 379 – • Registrations S-1 Registration Statements (General Form) S-1 17,466 47,863 • Registrations S-1 Registrations of Additional Securities S-1MEF 1,304 – • 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 33,599 28,131 • Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers S-3ASR 6,220 – • Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans S-3D 915 5 • Registrations S-3 Post-Effective Amendments to S-3Ds S-3DPOS 614 – • Registrations S-3 Registrations of Additional Securities S-3MEF 1,218 – • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions S-4 13,813 18,648 • 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 140 – • Registrations S-4 Post-Effective Amendments to S-4s S-4 POS 294 – • Registrations S-6 Registration Statements by Unit Investment Trusts S-6 18,342 7,646 • 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 78,317 18 • Registrations S-8 Post-Effective Amendments to S-8s S-8 POS 29,733 – • Registrations S-11 Registration Statements by Real Estate Companies S-11 1,066 3,340 • Registrations S-11 Registrations of Additional Securities S-11MEF 80 – • Registrations S-20 Registration Statements for Standardized Options S-20 6 5 • Registrations B Registration Statements by Foreign Governments and Political Subdivisions S-B 279 170 • 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 54,321 111,942 • Ownership 13E-1 Tender-Offer Transaction Statements SC 13E1 23 13 • Ownership 13E-3 Tender-Offer Statements – Going-Private Transactions SC 13E3 2,344 7,828 • 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 186,733 327,350 • 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 4,097 8,925 • Ownership 14D-9C Tender-Offer Solicitation/Recommendation Statements – Preliminary Communications SC14D9C 2,222 – • 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 2,165 223 • 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 5,022 – • Ownership TO Tender-Offer Statements – Issuer Tender Offers SC TO-I 8,061 13,515 • Ownership TO Tender-Offer Statements – Third-Party Tender Offers SC TO-T 2,480 11,557 • Reports – Specialized Disclosure Reports Relating to the Use of Conflict Minerals SD 5,192 20 • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository SDR 2 4 • 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 2 9 • Registrations SF-1 Registrations of Additional Securities SF-1MEF – – • Registrations SF-3 Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities SF-3 71 147 • 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 1,329 – • Registrations T-3 Applications for Qualification of a Trust Indenture T-3 582 577 • Registrations TA-1 Applications for Registration as a Transfer Agent TA-1 152 2,512 • Reports TA-2 Annual Reports of Transfer Agents’ Activities TA-2 4,370 513 • Registrations TA-W Notices of Withdrawal from Registration as a Transfer Agent TA-W 236 – • 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 and Other Letters from the SEC – Corrections ULCORRCTN – – • Registrations † Initial Undertakings to File Reports UNDER 20 1 • Letters – Comment and Other Letters from the SEC [ a.k.a. LETTER ] UPLOAD 146,672 – • Reports X-17A-5 Annual Financial Reports by Broker-Dealers X-17A-5 2,225 198 ________ T This Filing/Form Type is obsolete or no longer made public. Totals 10,495,374 1,186,236 † This Filing/Form Type pertains to multiple Forms, Schedules, Rules or Regulations. ↑ Top 