____________ |
¹ | Filing/Form Types: |
| 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). |
| ADV-NR | Appointment of a U.S. Agent for Service of Process by a Non-Resident General Partner or Managing Agent of an Investment Advisor — Form ADV-NR. |
| ARS | Annual Report to Security Holders. |
| NO ACT | SEC No-Action Letter re: a Shareholder Proposal. |
| REGDEX | Notice of an Exempt Offering of Securities — Form D. |
| SE | Separate Exhibits – Scanned Paper-Format Exhibits of Another Electronic Filing — Form SE. |
| SUPPL | Supplemental Material by a Foreign Issuer. |
| /A | Amendment to, or Amended version of, a previous Filing of this Type. |