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¹ | Filing/Form Types: /A |
| 8-A12G | Registration Statement for a Class of Securities — Form 8-A. |
| 8-K | Current Report — Form 8-K { Item 1: Business & Operations; 2: Financial Info; 3: Securities & Trading; 4: Accountants & Accounting; 5: Governance & Management; 6: Asset-Backed Securities; 7: Disclosures; 8: Events; 9: Financials — Pre-8/23/04... Item 1: Control; 2: Assets; 3: Bankruptcy; 4: Accountants; 5: Events; 6: Resignations; 7: Financials; 8: FY; 9: Regs. FD & S; 10: Ethics; 11: Suspensions; 12: Results; 13: Notices }. |
| 10KSB | Annual or Annual-Transition Report by a Small Business — Form 10-KSB. |
| 10-Q | Quarterly Report — Form 10-Q. |
| 424B3 | Prospectus – New Facts or Events. |
| 485APOS | Post-Effective Amendment of a Form N-1 or N-1A Registration. |
| 485BPOS | Post-Effective Amendment of a Form N-1 or N-1A Registration. |
| 497 | Definitive Material. |
| F-4 | Registration Statement by a Foreign Issuer – Securities for a Merger — Form F-4. |
| PRE 14A | Preliminary Proxy Statement — Schedule 14A. |
| REGDEX | Notice of an Exempt Offering of Securities — Form D. |
| S-3 | Registration Statement – Securities for a Transaction — Form S-3. |
| S-4 | Registration Statement – Securities for a Merger — Form S-4. |
| S-6 | Registration Statement by a Unit Investment Trust — Form S-6. |
| SC 13D | Statement of Acquisition of Beneficial Ownership by an “Active” Investor — Schedule 13D. |
| SC 13G | Statement of Acquisition of Beneficial Ownership by a “Passive” Investor — Schedule 13G. |
| U5S | Annual Report by a Utility Holding Company — Form U5S. |
| /A | Amendment to, or Amended version of, a previous Filing of this Type. |
³ | Group Member: A Registrant or non-Registrant party to this Filing made by a Group. |