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¹ | Filing/Form Types: |
| 4 | Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 { 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 }. |
| 10KSB40 | Annual or Annual-Transition Report by a Small Business — Reg. S-B – Item 405 — Form 10-KSB. |
| 10QSB | Quarterly or Quarterly-Transition Report by a Small Business — Form 10-QSB. |
| 424B2 | Prospectus – Primary Offering or Shelf Securities. |
| 424B5 | Prospectus – Primary Offering or Shelf Securities – New Facts or Events. |
| 497 | Definitive Material. |
| 497J | Certification of No Change in Definitive Material. |
| DEFS14A | Definitive Proxy Statement – Special Meeting — Schedule 14A. |
| N-14 | Registration Statement by an Open-End Investment Company or Business Development Company (BDC) – Securities for a Merger — Form N-14. |
| N-30D | Annual or Semi-Annual Report Mailed to Shareholders by an Investment Company. |
| S-1 | Registration Statement (General Form) — Form S-1. |
| S-2 | Registration Statement — Form S-2. |
| S-8 | Registration Statement – Securities for an Employee Benefit Plan — Form S-8. |
| SC 13G | Statement of Acquisition of Beneficial Ownership by a “Passive” Investor — Schedule 13G. |
| /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. |
³ | Group Member: A Registrant or non-Registrant party to this Filing made by a Group. |