| Latest Filing | | Type | | Category | Description | Documents |
|---|
| | | |
| 4/25/24 |  | | F-N | | Registration: | | Appointments of U.S. Agents for Service of Process by Foreign Banks and Insurance Companies — Form F-N | 14 |
| 4/25/24 | | | F-3 | | Registration: | | Registration Statements by Certain Foreign Issuers – Securities for Transactions — Form F-3 | 10 |
| 4/25/24 | | | 424B2 | | Registration: | | Prospectuses – Primary Offerings and Shelf Securities | 76,847 |
| 4/25/24 | | | FWP | | Registration: | | Prospectuses – Free Writing | 11,237 |
| 4/22/24 | | | 424B3 | | Registration: | | Prospectuses – New Facts or Events | 1,203 |
| 4/2/24 | | | IRANNOTICE | | Update: | | Notices of Iran/Syria Disclosures in Quarterly and Annual Reports | 11 |
| 3/28/24 | | | 6-K | | Update: | | Current, Quarterly and Annual Reports by Foreign Issuers — Form 6-K — Press Releases & Conference Calls — Financial Reports | 2,112 |
| 3/28/24 | | | 20-F | | Update: | | Annual and Annual-Transition Reports by Foreign Non-Canadian Issuers — Form 20-F — Financial Reports | 29 |
| 3/14/24 | | | 424B8 | | Registration: | | Prospectuses (Late Filings) | 49 |
| 2/22/24 | | | SBSE-A | | Registration: | | Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered or Registering with the CFTC as such — Form SBSE-A | 7 |
| 2/7/24 | | | 13F-NT | | Ownership: | | Quarterly Holdings Notices by Money Managers — Form 13F — Assets Under Management | 10 |
| 9/14/23 | | | EFFECT | | SEC: | | SEC Notices of Effectiveness | 6 |
| 9/11/23 | | | CORRESP | | Comment: | | Comment-Response and Other Letters to the SEC [ a.k.a. COVER ] — All Correspondence with the SEC | 34 |
| 9/7/23 | | | 424B5 | | Registration: | | Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events | 13 |
| 8/24/23 | | | F-4 | | Registration: | | Registration Statements by Certain Foreign Issuers – Securities for Mergers — Form F-4 | 4 |
| 6/16/23 | | | 8-A12B | | Registration: | | Registration Statements for Certain Classes of Securities — Form 8-A | 150 |
| 3/27/23 | OLD | | CERT | | Trading: | | Certifications by Securities Exchanges Approving Listings — Form CERT OLD | 11 |
| 3/4/22 | OLD | | POSASR | | Registration: | | Post-Effective Amendments of Automatic Shelf Registration Statements — Form S-3/F-3ASR OLD | 2 |
| 11/1/21 | OLD | | SBSE-C | | Registration: | | Certification for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant — Form SBSE-C OLD | 1 |
| 2/24/21 | OLD | | F-3ASR | | Registration: | | Automatic Shelf Registration Statements by Well-Known Foreign Issuers — Form F-3 OLD | 8 |
| 6/29/20 | OLD | | 11-K | | Update: | | Annual Reports by Employee Stock Purchase, Savings and Similar Plans — Form 11-K OLD | 35 |
| 4/30/20 | OLD | | 425 | | Registration: | | Prospectuses and Communications – Mergers OLD | 54 |
| 12/11/17 | OLD | | POS AM | | Registration: | | Post-Effective Amendments of Registration Statements OLD | 12 |
| 7/13/16 | OLD | | CERTNYS | | Trading: | | Certifications by the NYSE Approving Listings — Form CERT OLD | 25 |
| 2/22/16 | OLD | | CERTARCA | | Trading: | | Certifications by the NYSE Archipelago Approving Listings — Form CERT OLD | 21 |
| 6/16/15 | OLD | | APP ORDR | | SEC: | | Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders OLD | 5 |
| 5/20/15 | OLD | | APP NTC | | SEC: | | Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices OLD | 3 |
| 5/20/15 | OLD | | 40-APP | | Registration: | | Applications for Exemption Orders and Other Relief by Investment Companies OLD | 8 |
| 1/7/15 | OLD | | 25 | | Trading: | | Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities — Form 25 OLD | 23 |
| 12/16/14 | OLD | | SC 14D9 | | Ownership: | | Tender-Offer Solicitation/Recommendation Statements — Schedule 14D-9 OLD | 15 |
| 11/13/14 | OLD | | 4 | | Ownership: | | Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4 OLD | 214 |
| 11/12/14 | OLD | | 13F-HR | | Ownership: | | Quarterly Holdings and Combination Reports by Money Managers — Form 13F OLD — Assets Under Management | 57 |
| 10/30/14 | OLD | | NO ACT | | SEC: | | SEC No-Action Letters re: Shareholder Proposals OLD | 8 |
| 10/21/14 | OLD | | 6B ORDR | | SEC: | | Application for an SEC Exemption Order – ‘40-6B’ SEC Order OLD | 1 |
| 10/21/14 | OLD | | 6B NTC | | SEC: | | Application for an SEC Exemption Order – ‘40-6B’ SEC Notice OLD | 1 |
| 8/8/14 | OLD | | SC 13G | | Ownership: | | Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G OLD | 839 |
| 1/22/14 | OLD | | 40-6B | | Registration: | | Applications for Exemption Orders by Employees’ Investment Companies OLD | 3 |
| 6/11/12 | OLD | | CERTPAC | | Trading: | | Certifications by the Pacific Coast Stock Exchange Approving Listings — Form CERT OLD | 14 |
| 12/27/11 | OLD | | SC 13D | | Ownership: | | Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D OLD | 88 |
| 12/16/11 | OLD | | S-8 | | Registration: | | Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8 OLD | 18 |
| 8/10/11 | OLD | | 3 | | Ownership: | | Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3 OLD | 143 |
| 2/16/10 | OLD | | 5 | | Ownership: | | Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5 OLD | 13 |
| 9/30/09 | OLD | | 15-12B | | Registration: | | Certification of a Termination of Registration of a Class of Securities — Form 15 OLD | 1 |
| 8/13/09 | OLD | | NT 11-K | | Update: | | Notices of Late Filings of Form 11-K Annual Reports — Form 12b-25 OLD | 3 |
| 3/9/09 | OLD | | 8-A12G | | Registration: | | Registration Statements for Certain Classes of Securities — Form 8-A OLD | 2 |
| 4/29/08 | OLD | | REGDEX | | Registration: | | Notices of Exempt Offerings of Securities — Form D OLD | 4 |
| 4/22/08 | OLD | | POS EX | | Registration: | | Post-Effective Amendments of Registration Statements – Additional Exhibits OLD | 2 |
| 10/17/07 | OLD | | 13FCONP | | Ownership: | | Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested — Form 13F OLD — Assets Under Management | 3 |
| 8/8/06 | OLD | | S-8 POS | | Registration: | | Post-Effective Amendment of a Form S-8 Registration OLD | 1 |
| 7/20/04 | OLD | | 305B2 | | Registration: | | Statement of Eligibility to Act as a Trustee by a Corporation — Form T-1 OLD | 1 |
| 8/22/03 | OLD | | CERTAMX | | Trading: | | Certifications by the American Stock Exchange Approving Listings — Form CERT OLD | 18 |
| 7/17/02 | OLD | | RW | | Registration: | | Registration Withdrawal Request OLD | 1 |
| 6/20/01 | OLD | | F-3MEF | | Registration: | | Registration Statement to Add Securities to a Prior Form F-3 Registration OLD | 1 |
| 12/28/00 | OLD | | F-1 | | Registration: | | Registration Statements by Certain Foreign Issuers — Form F-1 OLD | 5 |
| 11/28/00 | OLD | | 424B1 | | Registration: | | Prospectuses – Info Previously Omitted OLD | 2 |
| | |
| | Form-Specific Documents: |
| 11/12/14 | OLD | | INFO-TABLE | | Portfolio Securities Holdings – Info Tables — Form 13F OLD — Assets Under Management | 8 |
| | |
| | General Exhibits: |
| 4/25/24 | | | EX-23 | | Consents of Experts and Counsel | 113 |
| 4/25/24 | | | EX-FILING FEES | | Filing Fees | 8,932 |
| 4/25/24 | | | EX-24 | | Powers of Attorney | 62 |
| 4/25/24 | | | EX-25 | | Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2 | 87 |
| 3/28/24 | | | EX-13 | | Annual and Quarterly Reports to Security Holders | 24 |
| 3/28/24 | | | EX-97 | | Clawback Policy re: Recovery of Erroneously Awarded Compensation | 1 |
| 3/28/24 | | | EX-4 | | Instruments, Including Indentures, Defining the Rights of Security Holders | 173 |
| 3/28/24 | | | EX-2 | | Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions | 29 |
| 3/28/24 | | | EX-1 | | Underwriting Agreements (and mislabeled “1st Exhibits”) | 54 |
| 9/11/23 | | | EX-5 | | Opinions of Counsel re: Legality | 95 |
| 9/11/23 | | | EX-8 | | Opinions of Counsel re: Tax Matters | 53 |
| 6/16/23 | | | EX-3 | | Articles of Incorporation/Organization and Bylaws | 93 |
| 10/7/08 | OLD | | EX-10 | | Material Contracts OLD | 9 |
| 5/16/02 | OLD | | EX-20 | | Other Document or Statement Furnished to Security Holders OLD | 1 |
| 12/28/00 | OLD | | EX-21 | | Subsidiaries Lists OLD | 4 |
| | |
| | Additional Exhibits: |
| 3/28/24 | | | EX-99 & EX-99.* | | Miscellaneous Exhibits, such as Press Releases — Press Releases & Conference Calls — EX-99.* Form-Specific Exhibits... Form Funding Portal: 22 Other Disclosures — Forms Funding Portal & MA*: 15 Applicable Court Documents; 2 Applicable Regulatory Documents; 74 Opinions of Counsel re: Legality — Form SBSE-A: 6 Forms 7-R – Commodity Futures Trading Commission (CFTC) (119 total) | 287 |
| | |
| | Financials: |
| 3/28/24 | | | EX-15 | | Letters re: Unaudited Interim Financial Info | 34 |
| 3/28/24 | | | EX-12 | | Statements re: Computations of Ratios | 43 |
| 3/28/24 | | | XML & R# | | IDEA Financial Reports Info — Financial Reports | 3,006 |
| 3/28/24 | | | EXCEL | | IDEA Workbooks of Financial Reports Info — Workbooks of Financial Reports | 19 |
| 3/28/24 | | | EX-101.* | | XBRL Data (XBRL Files) | 105 |
| 3/28/24 | | | JSON | | XBRL Instances as JavaScript Object Notation Data (JSON Files) | 9 |
| 3/28/24 | | | ZIP | | XBRL Zipped Folders (Folders of XBRL Files) | 19 |
| 3/9/18 | OLD | | EX-7 | | Correspondence from Accountants re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews OLD | 17 |
| | |
| | Graphics: |
| 4/25/24 | | | GRAPHIC | | Photos, Images and Graphs | 317,404 |
