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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: -K |
| 1-A | Offering Statement — Form 1-A. |
| 13FCONP | Quarterly Holdings and Combination Report by a Money Manager – Confidential Treatment Requested — Form 13F. |
| 25 | Notice by an Issuer of the Removal from Listing and Registration on a Securities Exchange of Matured, Redeemed or Retired Securities — Form 25. |
| 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. |
| FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. |
| NO ACT | SEC No-Action Letter re: a Shareholder Proposal. |
| REGDEX | Notice of an Exempt Offering of Securities — Form D. |
| SUPPL | Supplemental Material by a Foreign Issuer. |
| X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. |
| /A | Amendment to, or Amended version of, a previous Filing of this Type. |