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† | 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: |
| 4 | Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 { The Filer is an Insider² of the Issuer }. |
| 10-Q | Quarterly Report — Form 10-Q. |
| 13F-HR | Quarterly Holdings and Combination Report by a Money Manager — Form 13F. |
| 13F-NT | Quarterly Holdings Notice by a Money Manager — Form 13F. |
| 497K | Prospectus – Open-End Investment Company – Summary. |
| CORRESP | Comment-Response or Other Letter to the SEC. |
| F-10 | Registration Statement by a Canadian Issuer — Form F-10. |
| FWP | Prospectus – Free Writing. |
| POS AMI | Post-Effective Amendment of a Registration Statement by an Investment Company. |
| S-4 | Registration Statement – Securities for a Merger — Form S-4. |
| S-8 | Registration Statement – Securities for an Employee Benefit Plan — Form S-8. |
| 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. |
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. |
→ | Fund / Series: Fund or Series of this Filer with a Class or Contract that this Filing pertains to. |