| ____________ |
| † | 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: |
| 3 | Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 { The Filer is an Insider² of the Issuer }. |
| 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 }. |
| 10-Q | Quarterly Report — Form 10-Q. |
| 13F-HR | Quarterly Holdings and Combination Report by a Money Manager — Form 13F. |
| ARS | Annual Report to Security Holders. |
| DEF 14A | Definitive Proxy Statement — Schedule 14A. |
| DEFA14A | Definitive Additional Proxy Soliciting Material — Schedule 14A. |
| 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. |
| 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. |
