DCF Valuator
Form Types Used for Electronic Filing on EDGAR
For full list, go to http://www.sec.gov/edaux/forms/edgform.htm.
Forms for Due Diligence Investigation TABLE FORM CONTENT Table 1 144 Sale of securities Table 3 10-Q
10-K
8-K
20-F
3
4
5Quarterly report to shareholders
Annual report to shareholders
Interim report
Annual report of foreign issuer
Initial ownership
Change of ownership
Annual ownership (non-control investors)Table 4 13D
13GInitial ownership
Initial ownership by certain personsDefinition of "Insider" and explanation of related forms. Note: When asked about the difference between Form 10-K405 and Form 10-K, the SEC staff responded as follows: "In substance, there is no difference between the Forms. The Form 10-K405 and Form 10-K only differentiate between filings where the Rule 405 box is checked or not checked. Checking the rule 405 box on the facing page of the Form 10-K indicates that no disclosure of delinquent ownership reports is required. Presumably, this is because the registrant has satisfied itself that there were no delinquencies. When the rule 405 box is checked, we ask that the filing be submitted as form type 10-K405 on EDGAR."
ANNUAL, QUARTERLY, AND PERIODIC REPORTS
June 1998
Note: This material is extracted and adapted from the v. 5.50 EDGAR Filer Manual
Form types that are accepted by the EDGAR system are listed in the tables below.
The tables are organized by the Act under which they are used. Each table has three columns: Form Type, Description, and Header Submission Type.
Under the column for Form Types (first column), each table lists the form names as they have been known for paper filings and as they are listed in the Code of Federal Regulations (CFR).
The Description (second) column explains the purpose of the form.
The Header Submission Type column (last column) shows the form type name as recognized by the EDGAR system.
| Table 1 | Securities Act Form Types Accepted by EDGAR |
| Table 2 | Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant to Section 14 Form Types Accepted by EDGAR |
| Table 3 | Securities Exchange Act - Registration and Report Form Types Accepted by EDGAR |
| Table 4 | Williams Act Filing Form Types Accepted by EDGAR |
| Not Included Here (see the URL at top for SEC) | |
| Table 5 | Public Utility Holding Company Act Form Types Accepted by EDGAR |
| Table 6 | Investment Company Filing Form Types Accepted by EDGAR |
| Table 7 | World Bank Form Types Accepted by EDGAR (These form types are to be used only by the World Bank.) |
| Form Type | Description | Header Submission Type |
| Form F-1 | Registration statement for certain
foreign private issuers: Initial statement Pre-effective amendments Post-effective amendments |
F-1 F-1/A POS AM |
| Form F-1MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-1. | F-1MEF |
| Form F-2 | Registration statement for certain
foreign private issuers: Initial statement Pre-effective amendments Post-effective amendments Registration
of securities pursuant to dividend or interest
re-investment plans: |
F-2
F-2D |
| Form F-2MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-2. | F-2MEF |
| Form F-3 | Registration statement for specified
transactions by certain foreign private issuers: Initial statement Pre-effective amendments Post-effective amendments Registration
of securities pursuant to dividend or interest
reinvestment plans |
F-3
F-3D |
| Form F-3MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-3. | F-3MEF |
| Form F-4 | Registration statement for securities
issued by foreign private issuers in certain business
combination transactions: Initial statement Pre-effective amendments Post-effective amendments |
|
| Form F-4MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-4. | F-4MEF |
| Form F-6 | Registration statement for American
Depositary Receipt shares that is not automatically
effective upon filing: Initial statement Pre-effective amendments Post-effective amendments Filing to
become effective immediately upon filing: |
F-6 F-6/A POS AM F-6EF |
| Form F-9MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-9. | F-9MEF |
| Form F-10MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-10. | F-10MEF |
| Form S-1 | General form of registration statement: Initial statement Pre-effective amendments Post-effective amendments |
S-1 S-1/A POS AM |
| Form S-1MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-1. | S-1MEF |
| Form S-2 | Registration of securities of certain
issuers: Initial statement Pre-effective amendments Post-effective amendments |
S-2 S-2/A POS AM |
| Form S-2MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-2. | S-2MEF |
| Form S-3 | Registration statement for specified
transactions by certain issuers: Initial statement Pre-effective amendments Post-effective amendments Registration
of securities pursuant to dividend or interest
reinvestment plans which become effective automatically
upon filing: |
S-3 S-3/A POS AM S-3D |
| Form S-3MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-3. | S-3MEF |
| Form S-4 | Registration of securities issued in
business combination transactions Initial statement Pre-effective amendments Post-effective amendments Securities
issued in connection with the formation of a bank or
savings and loan holding company in compliance with
General Instruction G. |
S-4 S-4/A POS AM S-4EF |
| Form S-4MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-4. | S-4MEF |
| Form S-8 | Securities to be offered to employees
pursuant to employee benefit plans Initial statement Post-effective amendments |
S-8 S-8 POS |
| Form S-11 | Registration statement for securities to
be issued by real estate companies: Initial statement Pre-effective amendments Post-effective amendments |
S-11 S-11/A POS AM |
| Form S-11MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-11. | S-11MEF |
| Form S-20 | For standardized options: Initial statement Pre-effective amendments Post-effective amendments |
S-20 S-20/A POS AM |
| Form SB-1 | Optional form for the registration of
securities to be sold to the public by small business
issuers: Initial statement Pre-effective amendments Post-effective amendments |
SB-1 SB-1/A POS AM |
| Form SB-1MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form SB-1. | SB-1MEF |
| Form SB-2 | Optional form for the registration of
securities to be sold to the public by small business
issuers: Initial statement Pre-effective amendments Post-effective amendments |
SB-2 SB-2/A POS AM |
| Form SB-2MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form SB-2. | SB-2MEF |
| POS462B | Post-effective amendment to Securities Act Rule 462(b) registration statement. | POS462B |
| POS462C | Post-effective amendment to a registration statement filed under Rule 424(c). | POS462C |
| POS EX | Post-effective amendment filed solely to add exhibits to a registration statement. | POS EX |
| POS AM | Post-effective amendments (to provide updated prospectus information). | POS AM |
| Filed pursuant to Rule 424(a). Filed pursuant to Rule 424(b)(1). Filed pursuant to Rule 424(b)(2). Filed pursuant to Rule 424(b)(3). Filed pursuant to Rule 424(b)(4). Filed pursuant to Rule 424(b)(5). Filed pursuant to Rule 424(b)(7). |
424A 424B1 424B2 424B3 424B4 424B5 424B7 |
|
| 305B2 | Initial statement Pre-effective amendments |
305B2 305B2/A |
| T-3 | Application for qualification of trust
indentures: Initial statement Pre-effective amendments Note: "Form types" T-1 and T-2 are not used as stand-alone forms on the EDGAR system. They are filed as EX-25 to registration statements. |
T-3 T-3/A |
| Form 144 | Report of proposed sale of securities: Initial filing Amendments Note: Form 144 may be filed electronically on a voluntary basis if the issuer of the securities is a public company. |
144 144/A |
| Form 425 | Delaying amendment. Information pursuant to Item 4 of Form S-6. Amendment to information pursuant to Item 4 of Form S-6. Registration Withdrawal Request Amendment Withdrawal Request Filing of certain prospectuses and communications in
connection with business combination transactions. |
DEL AM UNDER UNDER/A RW AW 425 |
Issuers are advised that the form types listed below will receive a "Filing Date" identical to the EDGAR "Received Date." This means that filings in the listed group, even if received after 5:30 p.m. (Eastern time) will be considered to be filed with the SEC on the actual day of receipt. Unlike most EDGAR filings, they will not receive a filing date of the next business day if received between 5:30 p.m. and 10:00 p.m. These form types were necessitated by the rule changes adopted by the Commission effective June 7, 1995, regarding prospectus delivery issues arising from the T+3 initiative (Securities Act Release 33-7168).
The following form types will receive a filing date identical to the EDGAR "Received Date:"
| F-1MEF | F-2MEF | F-3MEF | F-4MEF | F-10MEF |
| POS462B | S-1MEF | S-2MEF | F-9MEF | S-4MEF |
| SB-1MEF | SB-2MEF | S-3MEF | S-11MEF | N-2MEF |
| N-14MEF |
You should designate any fee payment made to the Commission's lockbox for the above registration statements as "unrestricted." Additionally, you should submit any fee payment certification that you are making for the above-listed form types, pursuant to Rule 111(b), using the "CORRESP" form type.
| Form Type | Description | Header Submission Type |
| Preliminary Proxy Soliciting Materials | ||
| Preliminary proxy statements relating to merger or acquisition | PREM14A | |
| Preliminary proxy statements - contested solicitations | PREC14A | |
| Preliminary proxy statements - special meeting | PRES14A | |
| Non-management preliminary proxy statements not involving contested solicitations | PREN14A | |
| All other preliminary proxy statements | PRE 14A | |
| Preliminary Information Statements | ||
| Preliminary information statements relating to merger or acquisition | PREM14C | |
| Preliminary information statements -contested solicitations | PREC14C | |
| Preliminary information statements -special meeting | PRES14C | |
| All other preliminary information statements | PRE 14C | |
| Revised Preliminary Materials | ||
| Proxy soliciting materials | PRER14A | |
| Non-management revised preliminary proxy soliciting materials for both contested solicitations and other situations. | PRNN14A | |
| Information statements | PRER14C | |
| Definitive Materials (Proxy Materials) | ||
| Definitive proxy statement relating to merger or acquisition | DEFM14A | |
| Definitive proxy statement in connection with contested solicitations | DEFC14A | |
| Definitive proxy statement filed by non-management not in connection with contested solicitations | DEFN14A | |
| All other definitive proxy statements | DEF 14A | |
| Revised definitive proxy statement filed by non-management | DFRN14A | |
| Revised proxy soliciting materials -definitive | DEFR14A | |
| Additional proxy soliciting materials -definitive | DEFA14A | |
| Additional proxy soliciting materials-definitive - filed by non-management | DFAN14A | |
| Definitive proxy statement for special meeting | DEFS14A | |
| Notice of exempt solicitation | PX14A6G | |
| PX14A6N | ||
| Definitive Materials (Information Statements) | ||
| Definitive information statement relating to merger or acquisition | DEFM14C | |
| Definitive information statement - contested solicitations | DEFC14C | |
| All other definitive information statements | DEF 14C | |
| Additional information statement materials - definitive | DEFA14C | |
| Revised information statement materials - definitive | DEFR14C | |
| Definitive information statement for special meeting | DEFS14C | |
| Form Type | Description | Header Submission Type |
| Registration Statements | ||
| Form 8A | Registration of certain classes of securities pursuant to section 12(b) or (g) | |
| Registration of securities pursuant to
section 12(b) Initial filing Amendments |
8-A12B 8-A12B/A |
|
| Registration of securities pursuant to
section 12(g) Initial filing Amendments |
8-A12G 8-A12G/A |
|
| Form 10 | General form for registration of securities pursuant to section 12(b) or (g) | |
| Registration of securities pursuant to
section 12(b) Initial filing Amendments |
10-12B 10-12B/A |
|
| Registration of securities pursuant to
section 12(g) Initial filing Amendments |
10-12G 10-12G/A |
|
| FORM 10-SB | Registration of securities for small
business issuers pursuant to section 12(b) Initial filing Amendments |
10SB12B 10SB12B/A |
| Registration of securities for small
business pursuant to section 12(g) Initial filing Amendments |
10SB12G 10SB12G/A |
|
| Form 20F | Registration of securities of foreign private issuers pursuant to section 12(b) or (g) | |
| Registration of securities pursuant to
section 12(b) Initial filing Amendments |
20FR12B 20FR12B/A |
|
| Registration of securities pursuant to
section 12(g) Initial filing Amendments |
20FR12G 20FR12G/A |
|
| Form 18 | Registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(b) or 12(g) | |
| Registration of securities pursuant to
section 12(b) Initial filing Amendments |
18-12B 18-12B/A |
|
| Registration of securities pursuant to
section 12(g) Initial filing Amendments |
18-12G 18-12G/A |
|
| Annual, Quarterly, And Periodic Reports | ||
| Annual Report to Security Holders Note: Use this submission type when furnishing the annual report to security holders for the information of the Commission pursuant to Rule 14a-3(c) or Rule 14c-3(b). Portions of the annual report to security holders filed with the Commission as part of a registration statement or periodic report should be filed as Exhibit 13, as provided by Item 601 of Regulation S-K and S-B. See Appendix C for proper tagging of Exhibit 13. |
ARS | |
| Form 6-K | Report of foreign issuer pursuant to
Rules 13a-16 and 15d-16 Initial filing Amendments |
6-K 6-K/A |
| Form 10-Q | Quarterly and transition report filed
pursuant to sections 13 or 15(d) Initial filing Amendments |
10-Q 10-Q/A |
| Transition reports pursuant to rule
13a-10 or 15d-10 Initial filing Amendments |
10-QT 10-QT/A |
|
| Form 10-QSB | Optional form for quarterly and
transition reports of small business issuers under section 13 or 15(d) Initial filing Amendments |
10QSB 10QSB/A |
| Form 10-K405 | Annual and transitional reports pursuant
to Sections 13 and 15(d) where the Regulation S-K Item
405 box on the cover page (relating to Section 16(a)
reports) is checked Initial filing Amendments |
10-K405 10-K405/A |
| Transition reports pursuant to Rule
13a-10 or 15d-10 Initial filing Amendments |
10KT405 10KT405/A |
|
| Form 10-K | Annual and transition reports pursuant
to section 13 and 15(d) where the Regulation S-K Item 405
box (relating to Section 16(a) reports) on the cover page
is not checked Initial filing Amendments |
10-K 10-K/A |
| Transition reports pursuant to rule
13a-10 or 15d-10 Initial filing Amendments |
10-KT 10-KT/A |
|
| Form 10KSB405 | Optional form for annual and transition
reports of small business issuers under Section 13 or
15(d) where the Regulation S-B Item 405 box on the cover
page (relating to Section 16(a) reports) is checked Initial filing Amendments |
10KSB40 10KSB40/A |
| Form 10-KSB | Optional form for annual and transition
reports of small business issuers under section 13 or
15(d) where the Regulation S-B Item 405 box (relating to
Section 16(a) reports) on the cover page is not
checked Initial filing Amendments |
10KSB 10KSB/A |
| Form 8-K | Current report Initial filing Amendments |
8-K 8-K/A |
| Notification of securities of successor
issuers deemed to registered pursuant to section 12 Initial filing Amendments |
8-K12G3 8-K12G3/A |
|
| Notification of assumption of duty to
report by successor issue under section 15(d) Initial filing Amendments |
8-K15D5 8-K15D5/A |
|
| Form 11-K | Annual report of employee stock
purchase, savings and similar plans Initial filing Amendments |
11-K 11-K/A |
| Pursuant to rule 13a-10 or 15d-10 Initial filing Amendments |
11-KT 11-KT/A |
|
| Form 18-K | Annual report for foreign governments
and political subdivisions Initial filing Amendments |
18-K 18-K/A |
| Form 20-F | Annual and transition report of foreign
private issuers pursuant to sections 13 or 15(d) Initial filing Amendments |
20-F 20-F/A |
| Form 12b-25 | Notification of inability to timely file
filing Special report pursuant to section 15d-2 Initial filing Amendments |
NT 15D2 NT 15D2/A |
| Form 10-Q or 10-QSB Initial filing Amendments |
NT 10-Q NT 10-Q/A |
|
| Form 10-K 405, 10-K, 10-KSB 405, 10-KSB,
10-KT, or 10-KT405 Initial filing Amendments |
NT 10-K NT 10-K/A |
|
| Form 11-K Initial filing Amendments |
NT 11-K NT 11-K/A |
|
| Form 20-F Initial filing Amendments |
NT 20-F NT 20-F/A |
|
| Form 15 | Certification of termination of
registration of a class of security under Section 12(g)
or notice of suspension of duty to file reports pursuant
to Section 13 and 15(d) of the Act Section 12(b) Initial filing Amendments Section 12(g) Initial filing Amendments Section 13 and 15(d) Initial filing Amendments |
15-12B 15-12B/A 15-12G 15-15D |
| See Rule 15d-2 | Special Financial Report pursuant to
Rule 15d-2 Initial filing Amendments |
SP 15D2 SP 15D2/A |
| Miscellaneous Forms/Filings | ||
| Form 13F | Quarterly reports filed by institutional
managers 13F Holdings Report Initial filing Amendments 13F Notice Report Initial filing Amendments 13F Combination Report Initial filing Amendments |
13F-HR 13F-HR/A 13F-NT 13F-HR |
| Request for Withdrawal ** | RW | |
| Amendment Withdrawal ** | AW | |
| ** Form Types RW and AW are suitable only for registration statement withdrawals and amendments. | ||
| Form 425 | Filing of certain prospectuses and communications in connection with business combination transactions. | 425 |
| Section 16 Ownership Forms/Filings | ||
| Form 3 | Initial statement of beneficial
ownership of securities Initial filing Amendments |
3 3/A |
| Form 4 | Statement of changes in beneficial
ownership of securities Initial filing Amendments |
4 4/A |
| Form 5 | Annual statement of changes in
beneficial ownership of securities Initial filing Amendments |
5 5/A |
| Note: You can file Forms 3, 4, and 5 electronically on a voluntary basis. | ||
| Form Type | Description | Header Submission Type |
| Schedule 13D | General statement of beneficial
ownership Initial statement Amendments |
SC 13D SC 13D/A |
| n/a | Statement of issuer required by Rule
13e-1 Initial statement Amendments |
SC 13E1 SC 13E1/A |
| Schedule 13E-3 | Going private transaction by certain
issuers Initial statement Amendments |
SC 13E3 SC 13E3/A |
| Schedule 13E-4 | Issuer tender offer statement Initial statement Amendments |
SC TO-I SC 13E4/A |
| Schedule 13G | Statement of beneficial ownership by
certain persons Initial statement Amendments |
SC TO-T SC 13G/A |
| Schedule 14D1 | Tender offer statement Initial statement Amendments |
SC TO-T SC 14D1/A |
| Schedule TO-I | Tender offer statement by Issuer Initial statement Amendments |
SC TO-I SC TO-I/A |
| Schedule TO-T | Tender offer statement by Third Party Initial statement Amendments |
SC TO-T SC TO-T/A |
| Schedule TO-C | Written communication relating to an
issuer or third party |
SC TO-C |
| Schedule 14D9-C | Written communication by the subject company relating to a third party tender offer | SC 14D9-C |
| Schedule 14D-9 | Solicitation/recommendation statements Initial statement Amendments |
SC 14D9 SC14D9/A |
| n/a | Statement regarding change in majority
of directors pursuant to Rule 14f-1 Initial statement Amendments |
SC 14F1 SC 14F1/A |
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