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¹ | Filing/Form Types: /A |
| 13FCONP | Quarterly Holdings and Combination Report by a Money Manager – Confidential Treatment Requested — Form 13F. |
| 40-6C | Application for an Exemption or Other Relief by an Investment Company. |
| 40-17G | Fidelity Bond for an Investment Company. |
| APP WD | Withdrawal of an Application for an Exemption Order or Other Relief. |
| CERTNYS | Certification by the NYSE Approving a Listing — Form CERT. |
| DEF 14A | Definitive Proxy Statement — Schedule 14A. |
| MSD | Application for Registration by a Municipal Securities Dealer — Form MSD. |
| REGDEX | Notice of an Exempt Offering of Securities — Form D. |
| SUPPL | Supplemental Material by a Foreign Issuer. |
| X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. |
| /A | Amendment to, or Amended version of, a previous Filing of this Type. |