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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: |
| 1-A | Offering Statement — Form 1-A. |
| 11-K | Annual Report by an Employee Stock Purchase, Savings or Similar Plan — Form 11-K. |
| 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). |
| 40-33 | Stockholder Derivative Action Against an Investment Company or an Affiliate. |
| ARS | Annual Report to Security Holders. |
| EFFECT | SEC Notice of Effectiveness. |
| F-4 | Registration Statement by a Foreign Issuer – Securities for a Merger — Form F-4. |
| FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. |
| N-2MEF | Registration Statement to Add Securities to a Prior Form N-2 Registration. |
| REVOKED | SEC Order Revoking a Registration. |
| 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. |