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¹ | Filing/Form Types: |
| 5 | Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5 { The Filer is an Insider² of the Issuer }. |
| 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 }. |
| 10-K | Annual Report — Form 10-K. |
| 10KSB | Annual or Annual-Transition Report by a Small Business — Form 10-KSB. |
| 10-Q | Quarterly Report — Form 10-Q. |
| 10QSB | Quarterly or Quarterly-Transition Report by a Small Business — Form 10-QSB. |
| 13F-NT | Quarterly Holdings Notice by a Money Manager — Form 13F. |
| 424B1 | Prospectus – Info Previously Omitted. |
| 424B3 | Prospectus – New Facts or Events. |
| 424B4 | Prospectus – Info Previously Omitted & New Facts or Events. |
| DEF 14A | Definitive Proxy Statement — Schedule 14A. |
| N-14 8C | Registration Statement by a Closed-End Investment Company – Securities for a Merger — Form N-14. |
| RW | Registration Withdrawal Request. |
| S-1 | Registration Statement (General Form) — Form S-1. |
| /A | Amendment to, or Amended version of, a previous Filing of this Type. |
² | Insider: The Filer is a Director, Officer, 10% Owner and/or Other “insider” of the Issuer. |