• Registrations 1-A Offering Statements — Reg. A / A+ 1-A 291 722 • Registrations 1-A Post-Qualification Amendments to Offering Statements — Reg. A / A+ 1-A POS 202 – • Registrations 1-A Withdrawals of Offering Statements — Reg. A 1-A-W 58 13 • 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 68 8 • Reports 1-SA Semi-Annual Reports — Reg. A 1-SA 99 8 • Reports 1-U Current Reports — Reg. A 1-U 237 3 • Registrations 1-Z Exit Reports — Reg. A 1-Z 31 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 3 271,816 15,855 • Ownership 4 Statements of Changes in Beneficial Ownership of Securities 4 3,062,002 100,009 • Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities 5 97,113 3,847 • Reports 6-K Reports by Foreign Private Issuers 6-K 337,362 4,463 • Registrations 8-A Registrations of Certain Classes of Securities 8-A12B 17,132 3,985 • 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 9,785 2,321 • 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 1,421,643 69,732 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12B 165 14 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12G3 606 114 • Reports 8-K Notices of Assumptions of Duty to Report by Successor Issuers 8-K15D5 69 2 • Registrations 10 Registrations of Securities (General Form) 10-12B 702 1,459 • Registrations 10 Registrations of Securities (General Form) 10-12G 2,313 4,046 • 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 45,978 1,989 • Reports 10-K Annual Reports 10-K 169,367 38,929 • 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 431 106 • Reports 10-K Annual-Transition Reports — Reg. S-K – Item 405 10KT405 82 17 • Reports 10-Q Quarterly Reports 10-Q 532,447 41,844 • Reports 10-QSB Quarterly Reports by Small Businesses 10QSB 120,298 17,154 • Reports 10-Q Quarterly-Transition Reports 10-QT 191 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 33,407 816 • 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 215,658 21,833 • Ownership 13F Quarterly Notices by Institutional Money Managers 13F-NT 72,144 1,562 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12B 4,640 99 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12G 12,455 359 • Reports 15 Notices of Suspensions of Duty to File Reports 15-15D 15,336 196 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 15F-12B 168 12 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 15F-12G 222 11 • Reports 15F Notices of Foreign Private Issuers’ Suspensions of Duty to File Reports 15F-15D 114 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 573 1,752 • Reports 20-F Annual Reports by Foreign Private Issuers 20-F 12,903 3,015 • Registrations 20-F Registrations of Securities of Foreign Private Issuers 20FR12B 121 123 • Registrations 20-F Registrations of Securities of Foreign Private Issuers 20FR12G 346 529 • 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 157,965 3,096 • 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 1,758 27 • Reports 25 Notices by National Exchanges of the Removal from Listings and Registrations of Matured, Redeemed or Retired Securities 25-NSE 8,125 203 • 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 15 71 • Reports – Applications Requesting Extensions of Time for Filing Certain Information, Documents or Reports 40-8B25 79 – • 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 332 16 • Reports N-17F-2 Certificates of Accounting of Securities in the Custody of Management Investment Companies 40-17F2 16,533 125 • Reports – Fidelity Bonds of Management Investment Companies 40-17G 13,045 1,959 • Reports – Claims and Settlements re: Management Investment Companies 40-17GCS 9 – • Reports – Sales Literature of Management Investment Companies 40-24B2 2,573 82 • Reports – Stockholder Derivative Actions re: Management Investment Companies 40-33 117 6 • Registrations – Applications for Orders other than those Reviewed by the Office of Insurance Products 40-APP 1,134 1,947 • Reports 40-F Annual Reports by Foreign Private Issuers 40-F 2,158 420 • Reports 40-F Annual Reports by Foreign Private Issuers — ’34 S.12(b) Reg. 40FR12B 93 46 • 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 69 134 • Ownership 144 Notices of Proposed Sales of Securities 144 6,557 243 • Registrations 1-A Offering Statements – Information Previously Omitted — Reg. A 253G1 5 – • Registrations 1-A Offering Statements – Information Substantively Changed or Added — Reg. A 253G2 294 – • 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 1,601 19 • Registrations – Prospectuses 424A 1,538 – • Registrations – Prospectuses 424B1 5,808 – • Registrations – Prospectuses 424B2 148,726 – • Registrations – Prospectuses 424B3 144,021 – • Registrations – Prospectuses 424B4 8,779 – • Registrations – Prospectuses 424B5 51,214 – • Registrations – Prospectuses 424B7 3,231 – • Registrations – Prospectuses 424B8 624 – • Registrations – Preliminary Prospectuses 424H 324 21 • Reports – Business-Combination Transaction Communications 425 57,357 – • Registrations † Post-Effective Amendments 485A24E 88 – • Registrations † Post-Effective Amendments 485A24F 25 – • Registrations † Post-Effective Amendments 485APOS 36,963 – • Registrations † Post-Effective Amendments 485B24E 1,669 – • Registrations † Post-Effective Amendments 485B24F 64 – • Registrations † Post-Effective Amendments 485BPOS 160,332 – • Registrations † Post-Effective Amendments to Designate New Effective Dates 485BXT 17,190 – • 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 146 – • Registrations N-2 Post-Effective Amendments to N-2s 486B24E 2 – • Registrations N-2 Post-Effective Amendments to N-2s 486BPOS 568 – • Registrations † Pre-Effective Pricing Amendments 487 16,371 – • Registrations – Definitive Materials 497 318,121 – • Reports – Advertising by Certain Investment Companies 497AD 3,010 – • Registrations – Prospectuses 497H2 82 – • Registrations – Certifications of No Changes in Definitive Materials 497J 103,899 – • Registrations – Summary Prospectuses of Open-End Management Investment Companies 497K 143,130 – • 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 6,024 1,868 • Registrations † Asset-Backed Securities Offerings’ Electronic Exhibits ABS-EE 1 – • Reports – I.B.R.D. (World Bank) Annual Reports ANNLRPT 85 1 • Registrations APP WD Withdrawals of Applications for Exemptive or Other Relief from the Federal Securities Laws APP WD 203 11 • Reports † Annual Reports to Security Holders ARS 1,460 10 • Registrations † Amendment Withdrawal Requests AW 3,204 – • Registrations † Amendment Withdrawal (Withdraw Duplicate) Requests AW WD 96 – • 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 569 544 • Registrations C/A-W Crowdfunding Offering Statement Amendment Withdrawals C/A-W 6 – • Reports C-AR Crowdfunding Annual Reports C-AR 57 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 980 898 • Registrations Funding Portal Applications for Registration as a Crowdfunding Portal CFPORTAL 36 88 • 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 139,243 – • 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 162 – • Registrations C-U-W Crowdfunding Progress Update Withdrawals C-U-W – – • Registrations C-W Crowdfunding Offering Statement Withdrawals C-W 50 – • Registrations D Notices of Offerings of Securities Made Without Registration D 175,672 122,239 • Proxies 13E-3 Definitive Proxy Solicitation Materials – Going-Private Transaction Statements DEF13E3 77 87 • Proxies 14A Definitive Proxy Solicitation Materials DEF 14A 151,181 – • Proxies 14C Definitive Proxy Information Statements DEF 14C 10,738 – • Proxies 14A Additional Definitive Proxy Solicitation Materials DEFA14A 69,315 – • Proxies 14C Additional Definitive Proxy Information Statements DEFA14C 316 – • Proxies 14A Definitive Proxy Solicitation Materials – Contested Solicitations DEFC14A 1,695 – • Proxies 14C Definitive Proxy Information Statements – Contested Solicitations DEFC14C 25 – • Proxies 14A Definitive Proxy Solicitation Materials – Mergers and Acquisitions DEFM14A 4,769 – • Proxies 14C Definitive Proxy Information Statements – Mergers and Acquisitions DEFM14C 396 – • Proxies 14A Definitive Non-Management Proxy Solicitation Materials – Non-Contested Solicitations DEFN14A 294 – • Proxies 14A Revised Definitive Proxy Solicitation Materials DEFR14A 5,006 – • Proxies 14C Revised Definitive Proxy Information Statements DEFR14C 381 – • 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 946 – • Proxies 14A Additional Definitive Non-Management Proxy Solicitation Materials DFAN14A 10,551 – • Proxies 14A Revised Definitive Non-Management Proxy Solicitation Materials DFRN14A 281 – • Registrations 1-A Draft Offering Statements — Reg. A / A+ DOS 66 70 • Letters – Comment-Response and Draft-Offering-Statement Letters to the SEC DOSLTR 56 – • Registrations DRS Draft Registration Statements by Emerging Growth Companies and Foreign Private Issuers DRS 1,193 1,650 • Letters – Comment-Response and Draft-Registration-Statement Letters to the SEC DRSLTR 1,140 – • Reports – I.B.R.D. (World Bank) Distribution of Obligations Reports DSTRBRPT 157 15 • Registrations † Notices of Effectiveness EFFECT – – • Registrations F-1 Registration Statements by Foreign Private Issuers F-1 1,048 3,060 • Registrations F-1 Registrations of Additional Securities F-1MEF 112 – • 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 1,116 1,063 • Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private Issuers F-3ASR 454 – • Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-3D 49 – • 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-4 642 1,015 • 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 1,438 108 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts (Effective Immediately) F-6EF 5,672 – • Registrations F-6 Post-Effective Amendments to F-6s F-6 POS 1,961 – • Registrations F-7 Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights F-7 32 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-10 600 676 • 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 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 302 20 • Registrations – Free-Writing Prospectuses FWP 108,309 – • Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities F-X 1,915 160 • Reports – Notices of Disclosures in Quarterly and Annual Reports re: The Iran Threat Reduction and Syria Human Rights Act IRANNOTICE 2,245 – • Registrations MA Applications for Municipal Advisor Registration MA 794 771 • Registrations MA Annual Updates of a Municipal Advisor’s Registration MA-A 888 – • Registrations MA-I Information Regarding Natural Persons Who Engage in Municipal Advisory Activities MA-I 6,434 4,620 • Registrations MA-W Notices of Withdrawal from Registration as a Municipal Advisor MA-W 185 – • 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 1,779 2,633 • 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 3,286 5,050 • Registrations N-2 Registrations of Additional Securities N-2MEF 221 – • 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 2,134 1,898 • 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-6 592 431 • Reports N-6F Notices of Intentions to Elect Business-Development-Company Status N-6F 129 62 • Registrations N-8A Notices of Registrations N-8A 3,943 550 • Registrations N-8B-2 Registration Statements by Unit Investment Trusts N-8B-2 182 168 • 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 2,615 1,187 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) N-14 2,976 2,019 • Registrations N-14 Registration Statements by Closed-End Investment Companies (Business Combinations) N-14 8C 203 242 • 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 1,199 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 1,395 51 • Ownership – Notices of Periodic Repurchase Offers N-23C3A 1,442 19 • Ownership – Notices of Periodic Repurchase Offers N-23C3B 389 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 10,119 – • Reports – Annual and Semi-Annual Reports Mailed to Shareholders N-30D 70,572 1,052 • Reports N-54A Notices of Elections by Business Development Companies N-54A 256 8 • Reports N-54C Notices of Withdrawal from Registration by Business Development Companies N-54C 167 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 51,692 2,663 • Reports N-CSR Certified Semi-Annual Shareholder Reports by Management Investment Companies N-CSRS 44,691 834 • 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 5,559 386 • Reports N-PX Proxy Voting Record Annual Reports by Management Investment Companies N-PX 43,317 1,691 • 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 83,901 954 • Registrations NRSRO Annual Certifications by Nationally Recognized Statistical Rating Organizations NRSRO-CE 22 16 • 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 73 – • 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 71,948 3,919 • 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 71,093 6,203 • Reports N-SAR Annual-Transition Reports by Money-Management Companies NSAR-BT 679 54 • Reports N-SAR Annual Reports by Unit Investment Trusts NSAR-U 15,826 341 • 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 40,500 643 • Reports 12b-25 Notices of Late Filings of Form 10-Q NT 10-Q 66,166 571 • Reports 12b-25 Notices of Late Filings of Form 11-K NT 11-K 1,602 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 1,338 23 • Reports 12b-25 Notices of Late Filings of Form N-CSR NTFNCSR 72 – • 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 18 • 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 18 – • Reports 12b-25 Notices of Late Filings of Form N-SAR NT-NSAR 2,579 114 • Registrations – Post-Effective Amendments POS 8C 1,817 – • Registrations – Post-Effective Amendments POS462B 208 – • Registrations – Post-Effective Amendments POS462C 82 – • Registrations † Post-Effective Amendments POS AM 27,765 – • Registrations U-1 Post-Effective Amendments to U-1s POS AMC 1,182 – • Registrations † Post-Effective Amendments POS AMI 5,689 – • Registrations S-3/F-3 Post-Effective Amendments to S-3 and F-3 ASRs POSASR 1,451 – • Registrations † Post-Effective Amendments to Add Exhibits POS EX 2,975 – • Proxies 13E-3 Preliminary Proxy Solicitation Materials – Going-Private Transaction Statements PRE13E3 173 290 • Proxies 14A Preliminary Proxy Solicitation Materials PRE 14A 34,774 – • Proxies 14C Preliminary Proxy Information Statements PRE 14C 8,528 – • 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 2,330 – • Proxies 14C Preliminary Proxy Information Statements – Contested Solicitations PREC14C 63 – • Proxies 14A Preliminary Proxy Solicitation Materials – Mergers and Acquisitions PREM14A 4,376 – • Proxies 14C Preliminary Proxy Information Statements – Mergers and Acquisitions PREM14C 648 – • Proxies 14A Preliminary Non-Management Proxy Solicitation Materials – Non-Contested Solicitations PREN14A 357 – • Proxies 14A Revised Preliminary Proxy Solicitation Materials PRER14A 10,462 – • Proxies 14C Revised Preliminary Proxy Information Statements PRER14C 2,326 – • 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 1,917 – • Proxies – Notices of Exempt Proxy Solicitations PX14A6G 1,036 – • Proxies – Notices of Exempt Preliminary Proxy Roll-Up Communications PX14A6N 34 – • Reports – I.B.R.D. (World Bank) Quarterly Reports QRTLYRPT 69 1 • Registrations D Notices of Offerings of Securities Made Without Registration REGDEX – – • Registrations † Registration Withdrawal Requests RW 10,967 – • Registrations † Registration Withdrawal (Withdraw Duplicate) Requests RW WD 371 – • Registrations S-1 Registration Statements (General Form) S-1 16,992 46,905 • Registrations S-1 Registrations of Additional Securities S-1MEF 1,245 – • 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 33,129 27,910 • Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers S-3ASR 5,787 – • Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans S-3D 912 5 • Registrations S-3 Post-Effective Amendments to S-3Ds S-3DPOS 599 – • Registrations S-3 Registrations of Additional Securities S-3MEF 1,209 – • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions S-4 13,617 18,428 • 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 138 – • Registrations S-4 Post-Effective Amendments to S-4s S-4 POS 290 – • Registrations S-6 Registration Statements by Unit Investment Trusts S-6 17,662 7,230 • 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 77,072 18 • Registrations S-8 Post-Effective Amendments to S-8s S-8 POS 28,692 – • Registrations S-11 Registration Statements by Real Estate Companies S-11 1,051 3,295 • 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 264 166 • 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 53,496 109,163 • Ownership 13E-1 Tender-Offer Transaction Statements SC 13E1 23 13 • Ownership 13E-3 Tender-Offer Statements – Going-Private Transactions SC 13E3 2,321 7,753 • 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 181,834 312,819 • 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 4,050 8,773 • Ownership 14D-9C Tender-Offer Solicitation/Recommendation Statements – Preliminary Communications SC14D9C 2,168 – • 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 2,139 222 • 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 4,925 – • Ownership TO Tender-Offer Statements – Issuer Tender Offers SC TO-I 7,768 13,098 • Ownership TO Tender-Offer Statements – Third-Party Tender Offers SC TO-T 2,435 11,387 • Reports – Specialized Disclosure Reports Relating to the Use of Conflict Minerals SD 4,972 18 • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository SDR 2 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 67 145 • 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 1,295 – • Registrations T-3 Applications for Qualification of a Trust Indenture T-3 577 566 • Registrations TA-1 Applications for Registration as a Transfer Agent TA-1 145 2,403 • Reports TA-2 Annual Reports of Transfer Agents’ Activities TA-2 4,103 489 • Registrations TA-W Notices of Withdrawal from Registration as a Transfer Agent TA-W 223 – • 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 142,567 – • Reports X-17A-5 Annual Financial Reports by Broker-Dealers X-17A-5 1,259 111 ________ † This Filing/Form Type pertains to multiple Forms, Schedules, Rules or Regulations. Totals 10,112,603 1,144,250 T This Filing/Form Type is obsolete or no longer made public. ↑ Top 