The following is a list of the 490 most common SEC EDGAR form types with their respective descriptions and filing exhibits, covering over 800,000 EDGAR filers from 1993 to the present.
Common EDGAR form types with their respective descriptions
All EDGAR filings from 1993 to present can be searched using any of the following form types. Examples of various filing type searches are available in the sandbox.
| Form Type | Description |
| 1 | National Securities Exchange Registration Application |
| 1-A | Offering Statement 1-A, Offering Statement [Regulation A], 1A, A-1 |
| 1-A POS | Form 1-A Amendment, Post-effective amendment to Form 1-A filing |
| 1-A-W | Withdrawl of Form 1-A, Statement of withdrawl of a Form 1-A filing |
| 1-E | Notification under Regulation E by small business investment companies and business development companies |
| 1-E AD | Sales material filed pursuant to Rule 607 under Regulation E. |
| 1-K | Annual Report, Annual Report Persuant to Regulation A of the Securites Act of 1933 |
| 1-SA | Semiannual report |
| 1-U | Current report |
| 1-Z | Exit report |
| 1-Z-W | Withdrawl of Form 1-Z, Statement of withdrawl of a Form 1-Z filing |
| 10-12B | Initial general form for registration of a class of securities pursuant to section 12(b) |
| 10-12G | Initial general form for registration of a class of securities pursuant to section 12(g) |
| 10-C | Securities Issuer Report |
| 10-D | Asset-Backed Issuer Distribution |
| 10-K | Annual Report |
| 10-K/A | Amended Annual Report |
| 10-K405 | Annual Report S-K Item 405 |
| 10-K405/A | Amended Annual Report (Regulation S-K, item 405) |
| 10-KSB | Annual Report |
| 10-KSB/A | Amended Annual Report |
| 10-KT | Transition report pursuant to Rule 13a-10 or 15d-10 |
| 10-KT/A | Amended Transition report pursuant to Rule 13a-10 or 15d-10 |
| 10-Q | Quarterly Report |
| 10-Q/A | Amended Quarterly Report |
| 10-QSB | Quarterly Report for Small Business, Form 10QSB is an alternative name for Form 10QSB |
| 10-QT | Quarterly Report |
| 10-QT/A | Amended Quarterly Report |
| 10KSB | Annual Report |
| 10KSB/A | Amended Annual Report |
| 10KSB40 | Annual and Transition Reports |
| 10KSB40/A | Amended Annual and Transition Reports |
| 10KT405 | Annual Transition Report |
| 10KT405/A | Amended Annual Transition Report |
| 10QSB | Quarterly/Transition Report [Small Business], Optional form for quarterly and transition reports of small business issuers |
| 10QSB/A | Amended Quarterly/Transition Report [Small Business], Optional form for quarterly and transition reports of small business issuers |
| 10SB12B | Registration of securities for small business [Section 12(b)] |
| 10SB12G | Registration of securities for small business [Section 12(g)]: [Amend] |
| 11-K | Employee Stock Plan Annual Report, Annual report of employee stock purchase, savings and similar plans |
| 11-KT | Transition report pursuant to Rule 13a-10 or 15d-10 |
| 12G3-2B | Exemptions for American Depository Receipts and Certain Foreign Securities |
| 12G32BR | Exemptions for American Depository Receipts and Certain Foreign Securities |
| 13F-E | Quarterly reports filed by institutional managers, Amend |
| 13F-HR | Quarterly Report, Quarterly report filed by institutional managers, Holdings |
| 13F-NT | Quarterly Report, 13F-NT - Quarterly report filed by institutional managers, Notice |
| 13FCONP | Quarterly report filed by institutional managers, Holdings |
| 144 | Proposed Sale of Securities - Rule 144 Filing, NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 |
| 15-12B | Notice of termination of registration of a class of securities under Section 12(b) |
| 15-12G | Notice of termination of registration of a class of securities under Section 12(g) |
| 15-15D | SEC Registration Termination, Suspension of duty to report [Section 13 and 15(d)] |
| 15F-12B | Securities registration termination of foreign private issuers [Section 12(b)] |
| 15F-12G | Notice of termination of a foreign private issuer's registration of a class of securities under Section 12(g) |
| 15F-15D | Notice of a foreign private issuers suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
| 18-12B | Registration of securities [Section 12(b)] |
| 18-K | Annual report for foreign governments |
| 19B-4E | Information required of an SRO Listing and Trading a New Directive Securities Product [Rule 19b-4(e)] |
| 2-A | Registration statement for closed-end investment companies: [Amend] |
| 2-AF | Final Report of Sales of Securities [Rule 260] |
| 2-E | Sales material filed pursuant to Rule 609 under Regulation E. |
| 20-F | Annual/Transition Report, Annual and transition report of foreign private issuers [Sections 13 or 15(d)] |
| 20-F/A | Amended Annual/Transition Report, Annual and transition report of foreign private issuers [Sections 13 or 15(d)] |
| 20FR12B | Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b) |
| 20FR12G | Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g) |
| 24F-1 | Registration of securities by certain investment companies [Rule 24F-1]. Notification of election. |
| 24F-2EL | Registration of securities by certain investment companies [Rule 24F-2]. Declaration of election. |
| 24F-2NT | Annual Securities Sale Report, Annual Notice of Securities Sold |
| 24F-2TM | Registration of securities by certain investment companies [Rule 24F-2]. Termination of Declaration of election. |
| 25 | Securities Removal Notice |
| 25-NSE | Delisting, Notice of stock delisting from an exchange |
| 253G1 | |
| 253G2 | |
| 253G3 | |
| 253G4 | |
| 3 | Security Ownership Statement, Initial statement of beneficial ownership of securities |
| 305B2 | Application for designation of a new trustee under the Trust Indenture Act |
| 34-12H | Application for Exemption [Section 12(g)] or from filing certain reports [Section 13(a)] |
| 35-APP | Statement on proposed transaction where no application is prescribed [Rule 20(e)] |
| 35-CERT | Certificate, terms and conditions [Rule 24] |
| 39-304D | |
| 39-310B | |
| 4 | Security Sale/Purchase Record, Statement of changes in beneficial ownership of securities |
| 40-17F1 | |
| 40-17F2 | Initial certificate of accounting of securities and similar investments in the custody of management investment companies |
| 40-17G | Fidelity bond |
| 40-17GCS | |
| 40-202A | |
| 40-203A | |
| 40-205E | |
| 40-206A | |
| 40-24B2 | Filing of sales literature |
| 40-33 | All stockholder derivative actions filed with a court against an investment company or an affiliate |
| 40-6B | The Investment Company Act Excemption Application |
| 40-6C | Application for exemption and other relief [Section 6(c)]: [Amend] |
| 40-8B25 | Document or Report |
| 40-8F-2 | Initial application for de-registration pursuant to Investment Company Act Rule 0-2 |
| 40-8F-A | Application for deregistration, abandonment of registration |
| 40-8F-B | |
| 40-8F-L | |
| 40-8F-M | |
| 40-8FC | |
| 40-APP | Exemption Application, 40-APP - Application for exemption and other relief filed under the Investment Company Act of 1940 |
| 40-F | Annual Report / Registration, SEC Form 40-F includes Annual Reports [Section 13(a)/15(d)] or Registration Statements [Section 12] |
| 40-F/A | Amended Annual Report / Registration, SEC Form 40-F includes Annual Reports [Section 13(a)/15(d)] or Registration Statements [Section 12] |
| 40-OIP | Applications under the Investment Company Act reviewed by Office of Insurance Products |
| 40-RPT | |
| 40FR12B | Registration of a class of securities of certain Canadian issuers |
| 40FR12G | Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act |
| 424A | Prospectus [Rule 424(a)] |
| 424B1 | Prospectus [Rule 424(b)(1)] |
| 424B2 | Prospectus [Rule 424(b)(2)] |
| 424B3 | Prospectus [Rule 424(b)(3)] |
| 424B4 | Prospectus [Rule 424(b)(4)] |
| 424B5 | Prospectus [Rule 424(b)(5)] |
| 424B7 | Prospectus [Rule 424(b)(7)] |
| 424B8 | Prospectus [Rule 424(b)(8)] |
| 424H | Asset Backed Notes Registration Statement, FILED PURSUANT TO RULE 424(h) |
| 425 | Merger Prospectus/Communication, Prospectuses and communications, business combinations |
| 485A24E | Post Effective Amendments |
| 485A24F | |
| 485APOS | Post-effective amendment |
| 485B24E | |
| 485B24F | |
| 485BPOS | Securities Registration Amendment N-1A, Post-effective amendment [Rule 485(b)] |
| 485BXT | Post-effective amendment |
| 485BXTF | |
| 486A24E | |
| 486APOS | Post-effective amendment |
| 486B24E | |
| 486BPOS | Post-effective amendment |
| 486BXT | |
| 487 | Pre-effective pricing amendment |
| 497 | Investment Prospectus, Prospectus |
| 497AD | Advertising Disclosure |
| 497H2 | Filings made pursuant to Rule 497(h)(2) |
| 497J | Certification of Filing, Certification of no change in definitive materials |
| 497K | Prospectus Summary |
| 497K1 | Profiles for certain open-end management investment companies |
| 497K2 | Profiles for certain open-end management investment companies |
| 497K3A | Profiles for certain open-end management investment companies |
| 497K3B | Profiles for certain open-end management investment companies |
| 497VPI | |
| 497VPU | |
| 5 | Annual Security Ownership Report, Annual statement of changes in beneficial ownership of securities |
| 6-K | Foreign Issuer Report, Report of foreign issuer [Rules 13a-16 and 15d-16] |
| 6-K/A | Amended Foreign Issuer Report, Report of foreign issuer [Rules 13a-16 and 15d-16] |
| 6B NTC | |
| 6B ORDR | |
| 8-A12B | Securities Registration |
| 8-A12G | Notification that a class of securities of successor issuer is deemed to be registered |
| 8-B12B | |
| 8-B12G | |
| 8-K | Current Report, Unscheduled Material Events |
| 8-K/A | Amended Current Report, Unscheduled Material Events |
| 8-K12B | Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b) |
| 8-K12G3 | Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(g) |
| 8-K15D5 | Notification of assumption of duty to report by successor |
| 8-M | 8-M Filing |
| 8A12BEF | |
| 8A12BT | |
| 8F-2 NTC | |
| 8F-2 ORDR | |
| 9-M | 9-M Filing |
| ABS-15G | Asset-Backed Securitizer Report, Asset-backed securitizer report pursuant to Section 15G, item 2.01 |
| ABS-EE | Asset-Backed Securities Exhibits, FORM FOR SUBMISSION OF ELECTRONIC EXHIBITS FOR ASSET-BACKED SECURITIES |
| ADB | |
| ADN-MTL | ADN-MTL Filing |
| ADV | |
| ADV-E | ADV-E Filing |
| ADV-H-C | |
| ADV-H-T | |
| ADV-NR | ADV-NR Filing |
| ADVCO | |
| ADVW | |
| AFDB | |
| ANNLRPT | Periodic Development Bank filing, submitted annually |
| APP NTC | |
| APP ORDR | |
| APP WD | APP WD Filing |
| APP WDG | |
| ARS | Annual Report |
| ATS-N | |
| ATS-N-C | |
| ATS-N-W | |
| ATS-N/CA | |
| ATS-N/MA | |
| ATS-N/UA | |
| AW | Application for Withdrawl, Form AW is a request to have the SEC withdraw a prior filing or amendment. |
| AW WD | Withdrawal of a request for withdrawal of an amendment to a registration statement |
| BDCO | |
| BW-2 | |
| BW-3 | |
| C | Offering statement |
| C-AR | Annual report, An annual report by the company that includes financial statements. |
| C-AR-W | |
| C-TR | Termination of reporting, If eligible, a filing by the company terminating its obligation to file annual reports. |
| C-TR-W | |
| C-U | Progress updates |
| C-U-W | |
| C-W | |
| CANCELLATION-MA | |
| CB | Certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons |
| CERT | Certification |
| CERTAMX | Filing CERTAMX |
| CERTARCA | |
| CERTBATS | |
| CERTBSE | |
| CERTCBO | |
| CERTCSE | |
| CERTNAS | Filing CERTNAS |
| CERTNYS | NYSE Listing Certification, Certification by the New York Stock Exchange for Public Listing |
| CERTPAC | Filing CERTPAC |
| CERTPBS | |
| CFPORTAL | |
| CFPORTAL-W | |
| CORRESP | S.E.C. Correspondence Letter, CORRESP documents are letters or requests filed by the SEC directed toward a company. |
| CT ORDER | Confidential Treatment Order. |
| D | Stock / Securites Offering |
| DEF 14A | Definitive Proxy Statement, Other definitive proxy statements |
| DEF 14C | Definitive information statements |
| DEF-OC | |
| DEF13E3 | Schedule (definitive) |
| DEFA14A | Proxy Soliciting Materials, Additional definitive proxy soliciting materials and Rule 14(a)(12) material |
| DEFA14C | Definitive additional information statement materials including Rule 14(a)(12) material |
| DEFC14A | Definitive proxy statement in connection with contested solicitations |
| DEFC14C | Definitive information statement - contested solicitations |
| DEFM14A | Definitive proxy statement relating to a merger or acquisition |
| DEFM14C | Definitive information statement relating to merger or acquisition |
| DEFN14A | Definitive proxy statement filed by non management |
| DEFR14A | Definitive revised proxy soliciting materials |
| DEFR14C | Definitive revised information statement materials |
| DEFS14A | Proxy Statement for Special Meeting, Definitive proxy statement for special meeting |
| DEFS14C | Information Statement - Special Meeting (definitive) |
| DEL AM | Separately filed delaying amendment |
| DFAN14A | Proxy Soliciting Materials |
| DFRN14A | Revised definitive proxy statement filed by non-management |
| DOS | |
| DOSLTR | |
| DRS | Registration Statement [Draft] |
| DRSLTR | Registration Statement [Draft] |
| DSTRBRPT | Distribution of primary obligations Development Bank report |
| EBRD | |
| EFFECT | Notice of Effectiveness |
| F-1 | Foreign Private Issuer Registration, Registration Statement For Certain Foreign Private Issuers |
| F-10 | Registration statement for securities of certain Canadian issuers |
| F-10EF | Auto effective registration statement for securities of certain Canadian issuer under the Securities Act of 1933 |
| F-10POS | Post-effective amendment to a F-10EF registration |
| F-1MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-1 |
| F-2 | |
| F-3 | Registration statement for specified transactions by certain foreign private issuers |
| F-3ASR | Automatic shelf registration statement of securities of well-known seasoned issuers |
| F-3D | Registration statement for dividend or interest reinvestment plan securities of foreign private issuers |
| F-3DPOS | Post-Effective amendment to a F-3D registration |
| F-3MEF | |
| F-4 | Merger Proposal Registration, Registration of securities, foreign private issuers, business combinations |
| F-4 POS | Post-effective amendment to a F-4EF registration |
| F-4EF | |
| F-4MEF | |
| F-6 | Registration statement for American Depositary Receipts representing securities of certain foreign private issuers |
| F-6 POS | Post-effective amendment to a F-6EF registration |
| F-6EF | Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers |
| F-7 | Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders |
| F-7 POS | Post-effective amendment to a F-7 registration |
| F-8 | Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination |
| F-8 POS | |
| F-80 | Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 |
| F-80POS | |
| F-9 | Securities Registration, Form F-9 is a securities registration filing. |
| F-9 POS | |
| F-9EF | |
| F-N | Notification of the appointment of an agent for service by certain foreign institutions |
| F-X | Service / Processing Agent Appointment |
| FOCUSN | Annual Audit Report, Non-public annual audit reports filed by brokers or dealers |
| FWP | Free Writing Prospectus, Filing under Securities Act Rules 163/433 of free writing prospectuses |
| G-405 | G-405 Filing |
| G-405N | |
| G-FIN | G-FIN Filing |
| G-FINW | |
| IADB | |
| ID-NEWCIK | |
| IFC | |
| IRANNOTICE | Exchange Act Annual Disclosure Report |
| MA | Municipal Advisor Registration Application, Application for Municipal Advisor Registration for Business Entities |
| MA-A | Annual Municipal Advisor Registration Update, APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION, Annual Update |
| MA-I | Municipal Advisor Registration Application, Application for Municipal Advisor Registration for Natural Persons |
| MA-W | Municipal Advisor Withdrawl, Notice of Withdrawal from Registration as a Municipal Advisor |
| MSD | |
| MSDCO | |
| MSDW | MSDW Filing |
| N-1 | |
| N-14 | Registration statement for fund mergers, Disclosure document includes information about a fund merger or other similar transaction. |
| N-14 8C | Initial registration statement filed on Form N14 by closed-end investment company (business combinations) |
| N-14AE | Filing N-14AE |
| N-14MEF | |
| N-18F1 | Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 |
| N-1A | Registration statement (including a prospectus) |
| N-1A EL | |
| N-2 | Investment Company Registration, Registration statement for closed-end investment companies |
| N-2 POSASR | |
| N-23C-1 | |
| N-23C-2 | Notice by closed-end investment companies of intention to call or redeem their own securities |
| N-23C3A | Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only |
| N-23C3B | Filing N-23C3B |
| N-23C3C | |
| N-27D-1 | |
| N-2ASR | |
| N-2MEF | |
| N-3 | Initial registration statement on Form N-3 for separate accounts (management investment companies) |
| N-3 EL | |
| N-30B-2 | Periodic and interim reports mailed to investment company shareholders |
| N-30D | Shareholder Report, Annual and semi-annual reports mailed to shareholders [Rule 30d-1] |
| N-4 | Registration statement (including a prospectus) |
| N-4 EL | |
| N-5 | |
| N-54A | Notification of election by business development companies |
| N-54C | Notification of election by business development companies |
| N-6 | Registration statement for separate accounts |
| N-6F | Notice of intent by business development companies to elect to be subject to Sections 55 through 65 of the 1940 Act filed on Form N-6F |
| N-8A | Initial notification of registration under section 8(a) filed on Form N-8A |
| N-8B-2 | Initial registration statement for unit investment trusts |
| N-8B-4 | |
| N-8F | Application for deregistration made on Form N-8F |
| N-8F NTC | Notice of Pending Investment Company Deregistration, Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 1940 |
| N-8F ORDR | Order Suspending Investment Company Registration |
| N-CEN | Series/Class Registration Information Annual Report |
| N-CR | |
| N-CSR | Annual/semi-annual shareholder reports |
| N-CSRS | Semi-Annual Certified Shareholder Report, Certified Shareholder Report, Semi-Annual |
| N-MFP | Monthly Schedule Of Portfolio Holdings Of Money Market Funds |
| N-MFP1 | Monthly Money Market Portfolio Report, MONTHLY SCHEDULE OF PORTFOLIO HOLDINGS OF MONEY MARKET FUNDS |
| N-MFP2 | Monthly Schedule of Money Market Fund Holdings, MONTHLY SCHEDULE OF PORTFOLIO HOLDINGS OF MONEY MARKET FUNDS |
| N-PX | Proxy Voting Annual Report, N-PX - Annual Report of proxy voting record of management investment companies |
| N-Q | Quarterly Holding Report, Quarterly Schedule of portfolio holdings of management investment companies |
| N-VP | |
| N-VPFS | |
| N14AE24 | |
| N14EL24 | |
| NO ACT | No Action Statement, A NO ACT filing is a statement or request for no action to be taken. |
| NPORT-EX | Portfolio of Investments |
| NPORT-P | Monthly Portfolio Investments Report |
| NRSRO-CE | |
| NRSRO-UPD | |
| NSAR-A | Semi-Annual Report, Semi-annual report for management companies |
| NSAR-AT | |
| NSAR-B | Annual Report, Annual report for management companies |
| NSAR-BT | Transitional annual report filed on Form NSAR |
| NSAR-U | Annual report for unit investment trusts |
| NT 10-D | |
| NT 10-K | Notice of Late Annual Filing |
| NT 10-K/A | Amended Notice of Late Annual Filing |
| NT 10-Q | Notice of Late Quarterly Filing |
| NT 10-Q/A | Amended Notice of Late Quarterly Filing |
| NT 11-K | Notice under Rule 12b25 of inability to timely file all or part of a form 11-K |
| NT 15D2 | |
| NT 20-F | Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F |
| NT N-CEN | |
| NT N-MFP | |
| NT N-MFP1 | |
| NT N-MFP2 | |
| NT NPORT-EX | |
| NT NPORT-P | |
| NT-NCEN | |
| NT-NCSR | Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) |
| NT-NSAR | Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR |
| NTFNCEN | |
| NTFNCSR | |
| NTFNSAR | |
| NTN 10D | |
| NTN 10K | Filing NTN 10K |
| NTN 10Q | Filing NTN 10Q |
| NTN 11K | |
| NTN 20F | Filing NTN 20F |
| NTN15D2 | |
| OIP NTC | |
| OIP ORDR | |
| POS 8C | Post-effective amendment by closed-end investment companies |
| POS AM | Post-Effective Filing Amendment, Form POS AM includes ammendments to any type of filing which has already taken effect. |
| POS AMC | |
| POS AMI | Post-effective amendment |
| POS EX | Registration Statement Exhibits, POS EX - Post-effective amendment adding exhibits to registration statement [Rule 462(d)] |
| POS462B | Post-effective amendment to Securities Act Rule 462(b) registration statement |
| POS462C | Post-effective amendment to a registration statement filed under Rule 462(c) |
| POSASR | Post-effective amendment to an automatic shelf registration statement on Form S-3ASR or Form F-3ASR |
| PRE 14A | Preliminary Proxy Soliciting Materials, A preliminary DEF 14A / DEFA14A proxy soliciting material filing for SEC records or approval. |
| PRE 14C | Preliminary information statement not related to a contested matter or merger/acquisition |
| PRE13E3 | Initial statement (preliminary) |
| PREA14A | |
| PREA14C | |
| PREC14A | Preliminary proxy statement in connection with contested solicitations |
| PREC14C | Preliminary information statements - contested solicitations |
| PREM14A | Preliminary proxy statement relating to a merger or acquisition |
| PREM14C | Preliminary information statements relating to merger or acquisition |
| PREN14A | Preliminary proxy statement filed by non-management |
| PRER14A | Preliminary revised proxy soliciting materials |
| PRER14C | Preliminary revised information statements |
| PRES14A | Preliminary Proxy Statement/Special Meeting |
| PRES14C | Information Statement - Special Meeting (preliminary) |
| PRRN14A | Revised preliminary proxy statement filed by non-management |
| PX14A6G | Shareholder Solicitation by 3rd Party, Exempt Solicitation Pursuant to rules 14a-6(g) (1) and 14a-103 |
| PX14A6N | |
| QRTLYRPT | Periodic Development Bank filing, submitted quarterly |
| QUALIF | Notice of Qualification |
| REG-NR | REG-NR Filing |
| REGDEX | Scanned Paper Filing, A REGDEX is a scanned paper filing that may be any form. |
| REVOCATION-MA | |
| REVOKED | Revocation of Securities |
| RW | Registration Withdrawal Request |
| RW WD | Withdrawal of a Registration Withdrawal Request |
| S-1 | IPO Investment Prospectus |
| S-11 | Registration statement for securities to be issued by real estate companies |
| S-11MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 11 |
| S-1MEF | Registration of Securities Addition, Registration adding securities to prior Form S-1 registration [Rule 462(b)] |
| S-2 | Securities Registration Statement |
| S-20 | |
| S-2MEF | |
| S-3 | Security Offering and Investment Prospectus |
| S-3ASR | Securities Registration, Automatic shelf registration statement of securities of well-known seasoned issuers |
| S-3D | Automatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans |
| S-3DPOS | Post-effective amendment to a S-3D registration statement |
| S-3MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 3 |
| S-4 | Business Securities Merger/Acquisition Registration, Registration of securities, business combinations |
| S-4 POS | Post-effective amendment to a S-4EF registration statement |
| S-4EF | |
| S-4MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-4 |
| S-6 | Securities Registration Statement [Investment Trust], Registration statement for unit investment trusts |
| S-6EL24 | |
| S-8 | Employee Benefit Plan Security Offering, Securities to be offered to employees in employee benefit plans, post-effective amendments |
| S-8 POS | Employee Benefit Plan Security Offering, Securities to be offered to employees in employee benefit plans, post-effective amendments |
| S-B | Registration statement for securities of foreign governments and subdivisions |
| S-BMEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form SB-1 |
| SB-1 | |
| SB-1MEF | |
| SB-2 | Small Business Stock Registration, Optional form for registration of securities to be sold to the public by small business issuers |
| SB-2MEF | |
| SBSE | |
| SBSE-A | |
| SBSE-BD | |
| SBSE-C | |
| SC 13D | Acquisition Statement, General statement of acquisition of beneficial ownership |
| SC 13E1 | |
| SC 13E3 | Privatization Statement, Going private transaction by certain issuers |
| SC 13E4 | |
| SC 13G | Ownership Acquisition Statement, Statement of acquisition of beneficial ownership by individuals |
| SC 14D1 | |
| SC 14D9 | Solicitation, Recommendation Statements, Solicitation, recommendation statements |
| SC 14F1 | Majority Director Change Statement, Statement regarding change in majority of directors |
| SC 14N | |
| SC TO-C | Acquisition Statement, Notice statement of Solicitation, Acquisition, or Tender Offer |
| SC TO-I | Tender Offer Acquisition Statement, Tender offer statement by Issuer |
| SC TO-T | Tender Offer Acquisition Statement, Tender Offer Statement by Third Party |
| SC13E4F | Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers |
| SC14D1F | Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers |
| SC14D9C | Merger Offer Communication, Written communication relating to third party tender offer |
| SC14D9F | |
| SD | Specialized Disclosure Report |
| SDR | APPLICATION OR AMENDMENT TO APPLICATION FOR REGISTRATION OR WITHDRAWAL FROM REGISTRATION AS SECURITY-BASED SWAP DATA REPOSITORY |
| SE | SE Filing |
| SEC ACTION | |
| SEC STAFF ACTION | |
| SEC STAFF LETTER | Letter from SEC Staff |
| SF-1 | |
| SF-3 | |
| SL | |
| SP 15D2 | |
| STOP ORDER | |
| SUPPL | Voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers |
| T-3 | Trust Indenture Qualification App, Application for qualification of trust indentures |
| T-6 | |
| TA-1 | Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 |
| TA-2 | Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 |
| TA-W | Notice of withdrawal from registration as transfer agent filed pursuant to the Securities Exchange Act of 1934 |
| TACO | |
| TH | |
| TTW | TTW Filing |
| U-1 | |
| U-12-IA | |
| U-12-IB | Public Utility Compensation Statement U-12(I)-B |
| U-13-60 | |
| U-13E-1 | |
| U-33-S | |
| U-3A-2 | |
| U-3A3-1 | |
| U-57 | |
| U-6B-2 | Public Utility Certificate of Security Issuance |
| U-7D | |
| U-9C-3 | |
| U5A | |
| U5B | |
| U5S | |
| UNDER | |
| UPLOAD | Securities Filing Public Response |
| WDL-REQ | WDL-REQ Filing |
| X-17A-5 | Annual Report, Annual Audited Focus Report Form X-17A-5 |
Common EDGAR filing exhibits with their respective descriptions and form types
The following table lists all exhibits of the most common EDGAR filing types, such as Form 10-K, 10-Q, S-1, etc. The exhibit identifiers can be used in combination with the filing search capabilities of the Query API to find filings that include specific exhibits.
A sample search query to locate Form 10-K filings that include Exhibit 21 (subsidiaries of the filer) can be performed in the sandbox here.
| Exhibit ID and Description | Securities act forms | Exchange act forms | ||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| S-1 | S-3 | SF-1 | SF-3 | S-41 | S-8 | S-11 | F-1 | F-3 | F-41 | 10 | 8-K2 | 10-D | 10-Q | 10-K | ABS-EE | |
| (1) Underwriting agreement | X | X | X | X | X | X | X | X | X | X | ||||||
| (2) Plan of acquisition, reorganization, arrangement, liquidation or succession | X | X | X | X | X | X | X | X | X | X | X | X | X | |||
| (3) (i) Articles of incorporation | X | X | X | X | X | X | X | X | X | X | X | X | ||||
| (ii) Bylaws | X | X | X | X | X | X | X | X | X | X | X | X | ||||
| (4) Instruments defining the rights of securities holders, including indentures, (i) through (v) | X | X | X | X | X | X | X | X | X | X | X | X | X | X | X | |
| (vi) Description of registrant's securities | X | |||||||||||||||
| (5) Opinion re legality | X | X | X | X | X | X | X | X | X | X | ||||||
| (6) [Reserved] | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| (7) Correspondence from an independent accountant regarding non-reliance on a previously issued audit report or completed interim review | X | |||||||||||||||
| (8) Opinion re tax matters | X | X | X | X | X | X | X | X | X | |||||||
| (9) Voting trust agreement | X | X | X | X | X | X | X | |||||||||
| (10) Material contracts | X | X | X | X | X | X | X | X | X | X | X | |||||
| (11)-(12) [Reserved] | ||||||||||||||||
| (13) Annual report to security holders, Form 10-Q or quarterly report to security holders3 | X | X | X | |||||||||||||
| (14) Code of Ethics | X | X | ||||||||||||||
| (15) Letter re unaudited interim financial information | X | X | X | X | X | X | X | X | X | |||||||
| (16) Letter re change in certifying accountant4 | X | X | X | X | X | X | ||||||||||
| (17) Correspondence on departure of director | X | |||||||||||||||
| (18) Letter re change in accounting principles | X | X | ||||||||||||||
| (19) Insider trading policies and procedures | X | |||||||||||||||
| (20) Other documents or statements to security holders | X | |||||||||||||||
| (21) Subsidiaries of the registrant | X | X | X | X | X | X | X | X | X | |||||||
| (22) Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant | X | X | X | X | X | X | X | X | X | X | X | X | ||||
| (23) Consents of experts and counsel | X | X | X | X | X | X | X | X | X | X | 5 X | 5 X | 5 X | 5 X | ||
| (24) Power of attorney | X | X | X | X | X | X | X | X | X | X | X | X | X | X | ||
| (25) Statement of eligibility of trustee | X | X | X | X | X | X | X | X | ||||||||
| (26) through (30) [Reserved] | ||||||||||||||||
| (31) (i) Rule 13a-14(a)/15d-14(a) Certifications | X | X | ||||||||||||||
| (ii) Rule 13a-14/15d-14 Certifications | X | |||||||||||||||
| (32) Section 1350 Certifications6 | X | X | ||||||||||||||
| (33) Report on assessment of compliance with servicing criteria for asset-backed issuers | X | |||||||||||||||
| (34) Attestation report on assessment of compliance with servicing criteria for asset-backed securities | X | |||||||||||||||
| (35) Servicer compliance statement | X | |||||||||||||||
| (36) Depositor Certification for shelf offerings of asset-backed securities | X | |||||||||||||||
| (37) through (94) [Reserved] | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| (95) Mine Safety Disclosure Exhibit | X | X | ||||||||||||||
| (96) Technical report summary7 | X | X | X | X | X | X | X | X | ||||||||
| (97) Policy Relating to Recovery of Erroneously Awarded Compensation | X | |||||||||||||||
| (98) Reports, opinions, or appraisals in de-SPAC transactions8 | X | X | X | X | ||||||||||||
| (99) Additional exhibits | X | X | X | X | X | X | X | X | X | X | X | X | X | X | X | |
| (100) [Reserved] | ||||||||||||||||
| (101) Interactive Data File | X | X | X | X | X | X | X | X | X | X | ||||||
| (102) Asset Data File | X | X | X | X | ||||||||||||
| (103) Asset Related Documents | X | X | X | X | ||||||||||||
| (104) Cover Page Interactive Data File | X | X | X | |||||||||||||
| (105) [Reserved] | ||||||||||||||||
| (106) Static Pool PDF | X | X | X | |||||||||||||
| (107) Filing Fee Table | X | X | X | X | X | X | X | X | X | X | ||||||
| 1 An exhibit need not be provided about a company if: (1) With respect to such company an election has been made under Form S-4 or F-4 to provide information about such company at a level prescribed by Form S-3 or F-3; and (2) the form, the level of which has been elected under Form S-4 or F-4, would not require such company to provide such exhibit if it were registering a primary offering. | ||||||||||||||||
| 2 A Form 8-K exhibit is required only if relevant to the subject matter reported on the Form 8-K report. For example, if the Form 8-K pertains to the departure of a director, only the exhibit described in paragraph (b)(17) of this section need be filed. A required exhibit may be incorporated by reference from a previous filing. | ||||||||||||||||
| 3 Where incorporated by reference into the text of the prospectus and delivered to security holders along with the prospectus as permitted by the registration statement; or, in the case of the Form 10-K, where the annual report to security holders is incorporated by reference into the text of the Form 10-K. | ||||||||||||||||
| 4 If required pursuant to Item 304 of Regulation S-K. | ||||||||||||||||
| 5 Where the opinion of the expert or counsel has been incorporated by reference into a previously filed Securities Act registration statement. | ||||||||||||||||
| 6 Pursuant to §§ 240.13a-13(b)(3) and 240.15d-13(b)(3) of this chapter, asset-backed issuers are not required to file reports on Form 10-Q. | ||||||||||||||||
| 7 If required pursuant to § 229.1302 (Item 1302 of Regulation S-K). | ||||||||||||||||
| 8 If required pursuant to § 229.1607(c) (Item 1607(c) of Regulation S-K). | ||||||||||||||||