| ____________ |
| † | The Filing’s time of SEC acceptance (U.S. Eastern Time). The SEC’s Filings System is “open” Monday through Friday from 6am to 10pm ET.
Because the SEC “closes” at 5:30pm ET, most subsequently-accepted Filings won’t be released to the public until sometime after 6am ET the next day. |
| ‡ | 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: |
| 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 }. |
| 10-K | Annual Report — Form 10-K. |
| 10-Q | Quarterly Report — Form 10-Q. |
| 40-17G | Fidelity Bond for an Investment Company. |
| 40-APP | Application for an Exemption Order or Other Relief by an Investment Company. |
| CORRESP | Comment-Response or Other Letter to the SEC. |
| DEF 14A | Definitive Proxy Statement — Schedule 14A. |
| NT 10-K | Notice of a Late Filing of a Form 10-K Annual Report — Form 12b-25. |
| PRE 14A | Preliminary Proxy Statement — Schedule 14A. |
| SC 13D | Statement of Acquisition of Beneficial Ownership by an “Active” Investor — Schedule 13D. |
| /A | Amendment to, or Amended version of, a previous Filing of this Type. |
| ¶ | This Filing contains a delayed-release Document. |
| ³ | Group Member: A Registrant or non-Registrant party to this Filing made by a Group. |
