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‡ | A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm ET. The legal “Filed As Of” date may be the next, or another, day. |
¹ | Filing/Form Types: |
| ADV-E | Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Advisor — Form ADV-E. |
| ARS | Annual Report to Security Holders. |
| CB | Tender-Offer, Exchange-Offer, Rights-Offering or Response Notice — Form CB. |
| REGDEX | Notice of an Exempt Offering of Securities — Form D. |
| REVOKED | SEC Order Revoking a Registration. |
| SUPPL | Supplemental Material by a Foreign Issuer. |
| /A | Amendment to, or Amended version of, a previous Filing of this Type. |