美国证券交易委员会表格说明(SECFormsIndex)

October20123-1EDGARFilerManual(VolumeII)3.INDEXTOFORMSAsafiler,youwillfirstneedtodeterminewhetheryoumustmeetyourfilingobligationviaEDGAR.TheSECRules,particularlyRegulationS-T,GeneralRulesandRegulationsforElectronicFilings,outlinewhichfilingsaremandatedaselectronic.ThismeansthattheymustbefiledonEDGARunlessthereisacaseforTemporaryorPermanentHardship.(Therulesforeachformandhardshipexemptionsmaydiffer,sopleaseseetheregulationforspecificinformation.)Onceyoudeterminetheformyouneedtofileiselectronic,thenyouneedtoidentifythesubmissiontypetouse.Foreachsubmissiontype,therearespecifictoolsthatyoucanuse.AstheEDGARsystemhasevolvedusingnewtechnologies,toolshavebeenadded,changed,andsometimesupdated.ThereisnolongerasingletoolforpreparinganEDGARsubmission.Yourguidetothetoolsisthisindex.ThefirstindexallowsyoutolookupEDGARelectronicsubmissiontypeseasilyifallyouknowisthesubmissionformtype.Includedinthelasttwocolumnsisdetailedinformationaboutthetoolsthatareusedtocreateand/orassemblethefiling.ThesecondindexiseasiesttouseifyouaremorecomfortablelookingupyoursubmissiontypebyAct.Beforeusingtheindexes,itisimportanttounderstandthedifferencebetweentheCodeofFederalRegulations(CFR)Form/Schedule/RulecolumnreferenceandtheEDGARSubmissionTypecolumn.TheindexentriesundertheCFRForm/Schedule/RulecolumnrefertothetitlesoftheactualForm,ScheduleorRulenamedintheCFR.TheSubmissionTypereferstoFormvariationsfilersuseontheelectronicfilingsystemtofulfilltheirfilingobligation.Forexample,thepaperForm15isimplementedonEDGARasanumberofdifferentsubmissiontypesincluding:15-12B,15-12G,and15-15D.Thelastthreedigitsrepresentthesectionsofthe34Actunderwhichthefilerisregistered.UsingeitherIndex,findthesubmissiontype,checkthatthedescriptionoftheformmatchesyourunderstandingofthepurposeoftheform,andidentifythetoolthatshouldbeusedtocreatetheform.TheoptionsinthiscolumnareEDGARLinkOnline,EDGARLite,andthecorrespondingtemplatesandOnlineForms.Thereisasectioninthismanualdescribingindetaileachofthesetools.Chapter7,PREPARINGANDTRANSMITTINGEDGARLINKONLINESUBMISSIONS,describesEDGARLinkOnline.Chapter8,PREPARINGANDTRANSMITTINGEDGARLITESUBMISSIONS,describesEDGARLite.Chapter9,PREPARINGANDTRANSMITTINGONLINESUBMISSIONS,describesonlinesubmissionsusingtheEDGAROnlineForms/XMLWebsite.ThecolumnentitledFiler-ConstructedTechnicalSpecificationsshouldonlybeusedbyfilerswhowanttocreatetheirsubmissionswithouttheuseofEDGARtools.TheseTechnicalSpecificationsareavailableontheSEC’sPublicWebsite.TheTechnicalSpecificationsaredeliveredseparatelyandarenotpartoftheFilerManual.Note:InSection3.1forsimplicityweincludeboththeinitialformandtheassociatedamendmentintheSubmissionTypecolumn.EDGARFilerManual(VolumeII)3-2October20123.1Alpha/NumericSubmissionTypeDescriptionTool/TemplateNumberFiler-ConstructedFormSpec.1-E,1-E/ANotificationunderRegulationEbysmallbusinessinvestmentcompaniesandbusinessdevelopmentcompanies.EDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification1-EAD,1-EAD/ASalesmaterialfiledpursuanttoRule607underRegulationE.EDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification2-E,2-E/AReportofsalesofsecuritiespursuanttoRule609underRegulationE.EDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification10-12B,10-12B/AInitialgeneralformforregistrationofaclassofsecuritiespursuanttosection12(b)EDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification10-12G,10-12G/AInitialgeneralformforregistrationofaclassofsecuritiespursuanttosection12(g)EDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification10-D,10-D/APeriodicdistributionreportsbyAsset-BackedissuerspursuanttoRule13a-17or15d-17EDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification10-K,10-K/AAnnualreportpursuanttosection13and15(d)EDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification10-KT,10-KT/ATransitionreportpursuanttoRule13a-10or15d-10EDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification10-Q,10-Q/AQuarterlyreportpursuanttosections13or15(d)EDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification10-QT,10-QT/ATransitionreportpursuanttoRule13a-10or15d-10EDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecificationOctober20123-3EDGARFilerManual(VolumeII)11-K,11-K/AAnnualreportofemployeestockpurchase,savingsandsimilarplansEDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification11-KT,11-KT/ATransitionreportpursuanttorule13a-10or15d-10EDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification13F-HR,13F-HR/AInitialQuarterlyForm13FHoldingsReportfiledbyinstitutionalmanagersEDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification13F-NT,13F-NT/AInitialQuarterlyForm13FNoticeReportfiledbyinstitutionalmanagersEDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification13H,13H-Q,13H-A,13H-I,13H-R,13H-TLargeTraderRegistrationInformationRequiredofLargeTradersPursuanttotheSecuritiesExchangeActof1934andRule13h-1Thereunder.InitialFiling(13H),AmendedFiling(13H-Q),AnnualFiling(13H-A),InactiveStatus(13H-I),ReactivatedStatus(13H-R),andTerminationFiling(13H-T)EDGARFilingWebsiteOnlineFormsN/A144,144/AFilingforproposedsaleofsecuritiesunderRule144EDGARLinkOnlineEDGARLinkOnlineXMLTechnicalSpecification15-12B,1