____________ |
‡ | 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: -K |
| 13F-NT | Quarterly Holdings Notice by a Money Manager — Form 13F. |
| EFFECT | SEC Notice of Effectiveness. |
| FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. |
| X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. |