Initial commit

venv/lib/python3.10/site-packages/edgar/reference/data/README_PORTFOLIO_MANAGERS.md

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+# Portfolio Manager Database - Manual Maintenance Guide
+
+This guide explains how to manually add, update, and maintain portfolio manager information in the EdgarTools database.
+
+## File Location
+**Database File**: `/Users/dwight/PycharmProjects/edgartools/edgar/data/portfolio_managers.json`
+
+## Database Structure
+
+The JSON file has two main sections:
+
+### 1. Metadata Section
+```json
+{
+  "metadata": {
+    "version": "2024.12.01",
+    "description": "Curated database of portfolio managers for major 13F filing institutions", 
+    "total_companies": 15,
+    "total_managers": 25,
+    "last_updated": "2024-12-01",
+    "sources": ["company_websites", "sec_filings", "press_releases", "public_records"]
+  }
+}
+```
+
+**Update when adding managers:**
+- Increment `total_companies` when adding new companies
+- Increment `total_managers` when adding new individual managers
+- Update `last_updated` to current date
+
+### 2. Managers Section
+Each company entry follows this structure:
+
+```json
+{
+  "managers": {
+    "company_key": {
+      "company_name": "Full Legal Company Name",
+      "aum_billions": 123,
+      "match_patterns": ["pattern1", "pattern2", "pattern3"],
+      "website": "https://www.company.com",
+      "managers": [
+        {
+          "name": "Manager Full Name",
+          "title": "Official Title",
+          "status": "active|retired|deceased|former", 
+          "confidence": "high|medium|low",
+          "sources": ["source1", "source2"],
+          "start_date": "YYYY-MM-DD",
+          "end_date": "YYYY-MM-DD",
+          "last_verified": "YYYY-MM-DD",
+          "note": "Additional context or details"
+        }
+      ]
+    }
+  }
+}
+```
+
+## Adding New Companies
+
+### Step 1: Choose Company Key
+Use lowercase, underscore-separated format:
+- ✅ Good: `berkshire_hathaway`, `goldman_sachs`, `two_sigma`  
+- ❌ Bad: `Berkshire-Hathaway`, `goldmanSachs`, `TwoSigma`
+
+### Step 2: Research Company Information
+Gather the following data:
+
+**Required:**
+- Full legal company name (from SEC filings)
+- Current AUM in billions (approximate is fine)
+- Company website URL
+- Portfolio manager names and titles
+
+**Recommended Sources:**
+1. Company website "Leadership" or "Team" pages
+2. Latest 10-K filing (Item 1A - Directors and Executive Officers)
+3. Latest DEF 14A proxy statement  
+4. Recent press releases
+5. Financial news articles
+
+### Step 3: Add Company Entry
+```json
+{
+  "new_company": {
+    "company_name": "New Company Inc", 
+    "aum_billions": 50,
+    "match_patterns": ["new company", "newco", "nc inc"],
+    "website": "https://www.newcompany.com",
+    "managers": []
+  }
+}
+```
+
+**Match Patterns Tips:**
+- Include common variations of company name
+- Include stock ticker symbols if applicable  
+- Include abbreviations commonly used
+- All patterns should be lowercase
+
+### Step 4: Add Manager Information
+```json
+{
+  "managers": [
+    {
+      "name": "Jane Smith",
+      "title": "Chief Investment Officer",
+      "status": "active",
+      "confidence": "high", 
+      "sources": ["company_website", "sec_filing_2024"],
+      "start_date": "2020-01-01",
+      "last_verified": "2024-12-01",
+      "note": "Former Goldman Sachs managing director"
+    }
+  ]
+}
+```
+
+## Manager Status Definitions
+
+- **active**: Currently in active management role
+- **retired**: Retired but may retain advisory role
+- **deceased**: Deceased (include year in status like "deceased_2023")
+- **former**: No longer with the organization
+
+## Confidence Levels
+
+- **high**: Verified from multiple official sources (company website + SEC filing)
+- **medium**: Verified from single official source  
+- **low**: Approximate or historical information
+
+## Common Sources
+
+**Primary (High Confidence):**
+- `company_website` - Official leadership pages
+- `sec_filings` - 10-K, DEF 14A proxy statements
+- `annual_report_2024` - Latest annual report
+
+**Secondary (Medium Confidence):**  
+- `press_releases` - Official company announcements
+- `financial_press` - WSJ, FT, Bloomberg articles
+- `industry_publications` - Trade publications
+
+**Tertiary (Low Confidence):**
+- `linkedin_profile` - Professional profiles
+- `wikipedia` - Publicly edited sources
+- `interview_transcript` - Media interviews
+
+## Example: Adding a New Manager
+
+Let's add a new company "Example Capital Management":
+
+```json
+{
+  "example_capital": {
+    "company_name": "Example Capital Management LLC",
+    "aum_billions": 25,
+    "match_patterns": ["example capital", "example", "ecm"],
+    "website": "https://www.examplecapital.com",
+    "managers": [
+      {
+        "name": "John Doe",
+        "title": "Founder & Chief Investment Officer", 
+        "status": "active",
+        "confidence": "high",
+        "sources": ["company_website", "sec_filing_2024"],
+        "start_date": "2015-01-01",
+        "last_verified": "2024-12-01",
+        "note": "Former hedge fund analyst at Two Sigma"
+      },
+      {
+        "name": "Sarah Wilson",
+        "title": "Portfolio Manager",
+        "status": "active", 
+        "confidence": "medium",
+        "sources": ["company_website"],
+        "start_date": "2018-06-01",
+        "last_verified": "2024-12-01",
+        "note": "Specializes in technology sector investments"
+      }
+    ]
+  }
+}
+```
+
+## Data Validation Checklist
+
+Before adding entries, verify:
+
+- [ ] Company key is lowercase with underscores
+- [ ] Company name matches legal entity in SEC filings
+- [ ] AUM is reasonable (check recent 13F filings)
+- [ ] Match patterns are comprehensive and lowercase
+- [ ] Manager names are spelled correctly (double-check sources)
+- [ ] Status is appropriate (active/retired/deceased/former)
+- [ ] Confidence level matches quality of sources
+- [ ] Dates are in YYYY-MM-DD format
+- [ ] Sources are specific and verifiable
+- [ ] Notes provide helpful context
+
+## Updating Existing Entries
+
+### Manager Status Changes
+When a manager retires, is promoted, or leaves:
+
+```json
+{
+  "name": "John Smith",
+  "title": "Former CEO", 
+  "status": "retired",
+  "end_date": "2024-06-30",
+  "note": "Retired June 2024, remains on board of directors"
+}
+```
+
+### Adding New Managers to Existing Companies
+Simply add to the managers array:
+
+```json
+{
+  "managers": [
+    // ... existing managers ...
+    {
+      "name": "New Manager Name",
+      "title": "Chief Investment Officer",
+      "status": "active",
+      // ... complete manager entry
+    }
+  ]
+}
+```
+
+## Testing Your Changes
+
+After making changes, test the functionality:
+
+```python
+import edgar
+
+# Test with a company you added/modified
+company = edgar.Company("COMPANY_TICKER")
+filing = company.get_filings(form="13F-HR").head(1)[0]
+thirteen_f = filing.obj()
+
+# Check if your managers are returned
+managers = thirteen_f.get_portfolio_managers()
+print(f"Found managers: {managers}")
+
+# Test manager info summary
+summary = thirteen_f.get_manager_info_summary()
+print(f"Manager count: {summary['external_sources']['manager_count']}")
+```
+
+## Common Mistakes to Avoid
+
+1. **Inconsistent naming**: Use exact legal names from SEC filings
+2. **Missing match patterns**: Add common abbreviations and variations
+3. **Outdated information**: Always verify against recent sources
+4. **Low confidence data**: Avoid unverified Wikipedia or blog sources  
+5. **JSON syntax errors**: Use a JSON validator before saving
+6. **Forgetting metadata**: Update total counts and last_updated date
+
+## Priority Companies to Add
+
+Focus on top 13F filers by AUM:
+
+1. **Immediate Priority (AUM > $100B):**
+   - Already added: BlackRock, Vanguard, Fidelity, State Street
+   - Still needed: T. Rowe Price, Capital Group, Invesco
+
+2. **High Priority (AUM $50-100B):**
+   - Already added: AQR, Citadel, Two Sigma, Renaissance
+   - Still needed: Millennium, D.E. Shaw, Baupost Group
+
+3. **Medium Priority (AUM $20-50B):**
+   - Already added: Elliott, Pershing Square, Icahn
+   - Still needed: Third Point, ValueAct, Jana Partners
+
+This systematic approach will provide coverage for the majority of institutional investment assets tracked in 13F filings.
+
+---
+
+## Enhancement Planning
+
+**Current Status**: As of January 2025, this database covers 21 companies with verified CIKs (53.8% by count, 63.5% by AUM).
+
+**Enhancement Roadmap**: See `docs-internal/features/FEAT-021-portfolio-manager-enhancement-followup.md` for:
+- Systematic expansion plans to reach 85% AUM coverage
+- Quarterly maintenance automation
+- International firm integration strategy
+- Historical manager tracking capabilities
+
+**Priority Targets for Next Expansion**:
+1. **Vanguard Group** ($8.1T AUM) - Research filing patterns
+2. **Capital Group Companies** ($2.8T AUM) - American Funds family  
+3. **T. Rowe Price Group** ($1.6T AUM) - Major active manager
+4. **Wellington Management** ($1.3T AUM) - Institutional specialist
+
+For enhancement requests or database improvements, see the follow-up planning document and contribute via GitHub issues.

venv/lib/python3.10/site-packages/edgar/reference/data/common.py

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+import sys
+from functools import lru_cache
+
+import pandas as pd
+import pyarrow.parquet as pq
+
+# Dynamic import based on Python version
+if sys.version_info >= (3, 9):
+    from importlib import resources
+else:
+    import importlib_resources as resources
+
+__all__ = ['read_parquet_from_package', 'read_pyarrow_from_package', 'read_csv_from_package']
+
+
+@lru_cache(maxsize=1)
+def read_parquet_from_package(parquet_filename: str):
+    package_name = 'edgar.reference.data'
+
+    with resources.path(package_name, parquet_filename) as parquet_path:
+        df = pd.read_parquet(parquet_path)
+
+    return df
+
+
+def read_pyarrow_from_package(parquet_filename: str):
+    package_name = 'edgar.reference.data'
+
+    with resources.path(package_name, parquet_filename) as parquet_path:
+        # Read a pyarrow table from a parquet file
+        table = pq.read_table(parquet_path)
+    return table
+
+
+def read_csv_from_package(csv_filename: str, **pandas_kwargs):
+    package_name = 'edgar.reference.data'
+
+    with resources.path(package_name, csv_filename) as csv_path:
+        df = pd.read_csv(csv_path, **pandas_kwargs)
+
+    return df

venv/lib/python3.10/site-packages/edgar/reference/data/exhibits.csv

@@ -0,0 +1,37 @@
+Exhibit No.,Description,Form Types Involved,Regex
+1,Underwriting Agreement,"S-1, S-3, F-1, F-3, S-8, S-11, etc.",^EX-1\b
+2,"Plan of Acquisition, Reorganization, Arrangement, Liquidation or Succession","Commonly used across various forms including S-4, S-1, S-11, 10-K, etc.",^EX-2\b
+3,Articles of Incorporation and Bylaws,"S-1, S-3, F-1, F-3, S-8, S-11, etc.",^EX-3(\.\d+)?\b
+4,"Instruments Defining the Rights of Security Holders, including Indentures",Required across various form types,^EX-4\b
+5,Opinion regarding Legality,Typically required across all form types,^EX-5\b
+6,Reserved,N/A,^EX-6\b
+7,Correspondence from Independent Accountants,Limited use (specific forms only),^EX-7\b
+8,Opinion re Tax Matters,"S-11, F-1, F-3, S-3, S-8",^EX-8\b
+9,Voting Trust Agreements,Mostly required in S-4 and other specific forms,^EX-9\b
+10,Material Contracts,Required widely across forms for significant contracts,^EX-10(\.\d+)?\b
+11,Statement re Computation of Per Share Earnings,Commonly required where applicable,^EX-11\b
+12,Statements re Computation of Ratios,Required in forms where ratios are relevant,^EX-12\b
+13,Annual Report to Security Holders,Typically part of 10-K or annual disclosures,^EX-13\b
+14,Code of Ethics,Required disclosure for most forms,^EX-14\b
+15,Letter re Unaudited Interim Financial Information,Used in specific situations across various forms,^EX-15\b
+16,Letter re Change in Certifying Accountant,Used primarily in 10-K and 10-Q,^EX-16\b
+17,Correspondence on Departure of Director,"Occasionally required, depending on the circumstances",^EX-17\b
+18,Letter re Change in Accounting Principles,Used when significant changes in accounting principles occur,^EX-18\b
+19,Report Furnished to Security Holders,Often part of 10-Q or similar reports,^EX-19\b
+20,Other Documents or Statements to Security Holders,"As applicable, varies by form and content required",^EX-20\b
+21,Subsidiaries of the Registrant,Required across various forms depending on the structure of the registrant,^EX-21\b
+22,Published Report Regarding Matters Submitted to Vote of Security Holders,As applicable to the voting matters,^EX-22\b
+23,Consents of Experts and Counsel,Required across various forms when expert consents are necessary,^EX-23(\.\d+)?\b
+24,Power of Attorney,"As required, often associated with filings involving multiple signatories",^EX-24\b
+25,Statement of Eligibility of Trustee,Required in filings involving indentures under the Trust Indenture Act,^EX-25\b
+26,Invitation for Competitive Bids,Required in specific cases involving competitive bids,^EX-26\b
+27-30,Reserved,N/A,`^EX-(27
+31,Rule 13a-14(a)/15d-14(a) Certifications,Common certification required across various forms,^EX-31(\.\d+)?\b
+32,Section 1350 Certifications,Required under specific legal stipulations,^EX-32\b
+33-34,Assessment and Attestation Reports regarding Compliance,Specific to asset-backed securities,`^EX-(33
+35-36,Servicer Compliance Statement and Depositor Certification,Specific to asset-backed securities,`^EX-(35
+95,Mine Safety Disclosure Exhibit,Specific to registrants involved in mining operations,^EX-95\b
+99,Additional Exhibits,As required by specific circumstances or regulatory demands,^EX-99(\.\d+)?\b
+100-101,XBRL-Related Documents and Interactive Data File,Required for electronic data submission,`^EX-(100
+102-103,Asset Data File and Asset Related Documents,Specific to asset-backed securities filings,`^EX-(102
+104-106,Reserved/Static Pool PDF,N/A or specific to asset-backed securities,`^EX-(104

venv/lib/python3.10/site-packages/edgar/reference/data/popular_us_stocks.csv

@@ -0,0 +1,86 @@
+Ticker,Company,Cik
+AAPL,Apple Inc.,320193
+MSFT,Microsoft Corporation,789019
+AMZN,"Amazon.com, Inc.",1018724
+NVDA,NVIDIA Corporation,1045810
+TSLA,"Tesla, Inc.",1318605
+GOOGL,Alphabet Inc. Class A,1652044
+META,"Meta Platforms, Inc.",1326801
+AMD,"Advanced Micro Devices, Inc.",2488
+NFLX,"Netflix, Inc.",1065280
+BRK.B,Berkshire Hathaway Inc.,1067983
+V,Visa Inc.,1403161
+JNJ,Johnson & Johnson,200406
+PG,Procter & Gamble Co.,80424
+JPM,JPMorgan Chase & Co.,19617
+UNH,UnitedHealth Group Incorporated,731766
+DIS,The Walt Disney Company,1744489
+HD,"Home Depot, Inc.",354950
+XOM,Exxon Mobil Corporation,34088
+KO,Coca-Cola Company,21344
+PEP,"PepsiCo, Inc.",77476
+PFE,Pfizer Inc.,78003
+MA,Mastercard Incorporated,1141391
+ADBE,Adobe Inc.,796343
+CRM,"Salesforce, Inc.",1108524
+INTC,Intel Corporation,50863
+CSCO,"Cisco Systems, Inc.",858877
+NKE,"Nike, Inc.",320187
+T,AT&T Inc.,732717
+CMCSA,Comcast Corporation,1166691
+VZ,Verizon Communications Inc.,732712
+CVX,Chevron Corporation,93410
+ABBV,AbbVie Inc.,1551152
+MRK,"Merck & Co., Inc.",310158
+BMY,Bristol-Myers Squibb Company,14272
+WMT,Walmart Inc.,104169
+MCD,McDonald's Corporation,63908
+SBUX,Starbucks Corporation,829224
+GS,"Goldman Sachs Group, Inc.",886982
+MS,Morgan Stanley,895421
+AXP,American Express Company,4962
+C,Citigroup Inc.,831001
+BA,Boeing Company,12927
+DAL,"Delta Air Lines, Inc.",27904
+LUV,Southwest Airlines Co.,92380
+MAR,"Marriott International, Inc.",1048286
+HLT,Hilton Worldwide Holdings Inc.,1585689
+BKNG,Booking Holdings Inc.,1075531
+PYPL,"PayPal Holdings, Inc.",1633917
+SQ,"Square, Inc.",1512673
+ZM,"Zoom Video Communications, Inc.",1585521
+SNOW,Snowflake Inc.,1640147
+UBER,"Uber Technologies, Inc.",1543151
+LYFT,"Lyft, Inc.",1759509
+ROKU,"Roku, Inc.",1428439
+SPOT,Spotify Technology S.A.,1639920
+SHOP,Shopify Inc.,1594805
+EBAY,eBay Inc.,1065088
+TWTR,"Twitter, Inc.",1418091
+SNAP,Snap Inc.,1564408
+PINS,"Pinterest, Inc.",1506293
+PLTR,Palantir Technologies Inc.,1321655
+ZI,ZoomInfo Technologies Inc.,1794515
+DOCU,"DocuSign, Inc.",1261333
+TWLO,Twilio Inc.,1447669
+CRWD,"CrowdStrike Holdings, Inc.",1535527
+NET,"Cloudflare, Inc.",1477333
+DDOG,"Datadog, Inc.",1561550
+MDB,"MongoDB, Inc.",1441816
+ZS,"Zscaler, Inc.",1713683
+OKTA,"Okta, Inc.",1660134
+DBX,"Dropbox, Inc.",1467623
+SMAR,Smartsheet Inc.,1366561
+ASAN,"Asana, Inc.",1477720
+RNG,"RingCentral, Inc.",1384905
+PTON,"Peloton Interactive, Inc.",1639825
+TTD,"The Trade Desk, Inc.",1671933
+HUBS,"HubSpot, Inc.",1404655
+COUP,Coupa Software Incorporated,1385867
+AYX,"Alteryx, Inc.",1689923
+SPLK,Splunk Inc.,1353283
+NEWR,"New Relic, Inc.",1448056
+DT,"Dynatrace, Inc.",1773383
+NOW,"ServiceNow, Inc.",1373715
+WDAY,"Workday, Inc.",1327811
+ADSK,"Autodesk, Inc.",769397

venv/lib/python3.10/site-packages/edgar/reference/data/secforms.csv

@@ -0,0 +1,312 @@
+Form,Description
+1-A POS,Reg A Offering Amendment
+1-A-W,Reg A Offering Withdrawal
+1-E,Notification filing for small business investment companies
+1-E AD,Sales material for small business investment companies
+1-K,Annual report for Regulation A issuers
+1-SA,Semiannual report for Regulation A issuers
+1-U,Current report for Regulation A issuers
+1-Z,Exit report for terminated Regulation A offerings
+1-Z-W,Withdrawal of Regulation A exit report
+2-E,Report of securities sales
+10-12B,Registration of a class of securities)
+10-12G,Registration of a class of securities
+10-D,Periodic distribution reports for asset-backed securities
+10-K,Annual report for public companies
+10-KT,Transition report with change in fiscal year
+10-Q,Quarterly report for public companies
+10-QT,Quarterly transition report with change in fiscal year
+11-K,Annual report for employee stock plans
+11-KT,Transition report for employee stock plans
+13F-CTR,Confidential treatment request by institutional managers
+13F-HR,Initial quarterly holdings report by institutional managers
+13F-NT,Initial quarterly notice by institutional managers
+13H,Registration for large traders
+144,Notice of proposed sale
+15-12G,Securities registration termination
+15-15D,Suspension of reporting obligations
+15F-12B,Foreign private issuer equity securities termination
+15F-12G,Securities registration termination by foreign private issuer
+15F-15D,Foreign private issuer reporting suspension
+17HACON,Confidential annual broker-dealer report
+17HQCON,Confidential quarterly broker-dealer report
+18-12B,Securities registration by foreign governments
+18-12G,Securities registration by foreign governments
+18-K,Annual report for foreign governments
+20-F,Annual report for foreign companies
+20FR12B,Foreign private issuer securities registration
+20FR12G,Foreign private issuer securities registration
+24F-2NT,Rule 24F-2 notice for investment companies
+25,Securities delisting
+25-NSE,Notice of matured/redeemed/retired securities by exchanges
+3,Initial statement of beneficial ownership
+305B2,Application for new trustee
+4,Statement of changes in beneficial ownership
+40-6B,Application by employees' securities company
+40-17F1,Custody report for management investment companies
+40-17F2,Custody report for management investment companies
+40-17G,Fidelity bond filing for investment companies
+40-17GCS,Claims and settlements under investment company fidelity bond
+40-24B2,Sales literature filing for investment companies
+40-33,Investment company shareholder derivative actions
+40-8B25,Investment company report or document
+40-8F-2,Application for deregistration by investment companies
+40-APP,Applications under Investment Company/Advisers Acts
+40-F,Annual report (Canadian)
+40FR12B,Securities registration by certain Canadian issuers
+40FR12G,Securities registration by certain Canadian issuers
+40-OIP,Applications under Investment Company/Advisers Acts reviewed by insurance office
+424A,Prospectus outlining the details of securities offered by a company
+424B1,Initial primary offering
+424B2,Primary offering prospectus
+424B3,Prospectus supplement
+424B4,Prospectus supplement with pricing
+424B5,Supplement to primary offering
+424B7,Prospectus with material changes
+424B8,Final prospectus changes
+424H,Preliminary prospectus
+425,Prospectus in business combination transactions
+424I,Prospectus filed under Rule 424(i)(1)
+485APOS,Post effective amendment
+485BPOS,Post effective amendment
+485BXT,Amendment to designate new effective date
+486APOS,Post-effective amendment
+486BPOS,Post-effective amendment
+486BXT,Amendment to designate new effective date
+487,Pre-effective pricing amendment under Rule 487
+497,Fund prospectus
+497AD,Rule 482 ads filed under Rule 497
+497H2,Filings under Rule 497(h)(2)
+497J,Certification of no changes to prospectus
+497K,Summary fund prospectus
+497VPI,Variable contracts summary prospectus
+497VPSUB,Substitution-related supplement for variable contracts
+497VPU,Updated summary prospectus for variable contracts
+5,Annual statement of beneficial ownership changes
+6-K,Foreign issuer current report
+8-A12B,Registration of securities
+8-A12G,Registration of securities
+8-K,Current report
+8-K12B,Successor issuer registration
+8-K12G3,Successor issuer registration
+8-K15D5,Successor issuer reporting
+ABS-15G,Asset-backed securities report
+ABS-EE,Electronic exhibits for asset-backed securities offerings
+ANNLRPT,Annual development bank report
+APP WD,Withdrawal of exemptive relief application
+ARS,Annual report to security holders
+ATS-N,Initial Alternative Trading System (ATS) notice
+ATS-N/CA,Correcting amendment to ATS notice
+ATS-N/MA,Material amendment to ATS notice
+ATS-N/OFA,Order display and fair access amendment to ATS notice
+ATS-N/UA,Updating amendment to ATS notice
+ATS-N-C,Notice of ATS cessation
+ATS-N-W,Withdrawal of ATS notice
+AW,Withdrawal of Securities Act registration amendment
+AW WD,Withdrawal request for registration amendment withdrawal
+BULK,Bulk submission
+C,Offering statement
+C-W,Withdrawal of offering statement
+C/A-W,Withdrawal of offering statement amendment
+C-U,Progress update
+C-U-W,Withdrawal of progress update
+C-AR,Annual report
+C-AR-W,Withdrawal of annual report
+C-AR/A-W,Withdrawal of annual report amendment
+C-TR,Termination of reporting
+C-TR-W,Withdrawal of termination of reporting
+CB,Notice for certain foreign issuer transactions
+CERT,Exchange certification of listing approval
+CFPORTAL,Funding portal registration application
+CFPORTAL-W,Withdrawal of funding portal registration
+CORRESP,Correspondence with the SEC
+D,Notice of exempt Regulation D offering
+DEF 14A,Definitive proxy statement
+DEF 14C,Definitive information statement
+DEFA14A,Additional definitive proxy materials
+DEFA14C,Additional definitive information statement materials
+DEFC14A,Definitive proxy statement - contested solicitation
+DEFC14C,Definitive information statement - contested solicitation
+DEFM14A,Definitive proxy statement for merger/acquisition
+DEFM14C,Definitive information statement for merger/acquisition
+DEFN14A,Definitive proxy statement by non-management
+DEFR14A,Revised definitive proxy materials
+DEFR14C,Revised definitive information statement materials
+DEL AM,Delaying amendment for registration statement
+DFAN14A,Additional proxy materials by non-management
+DFRN14A,Revised proxy statement by non-management
+DOS,Draft offering statement under Regulation A
+DOSLTR,Draft offering statement letter
+DRS,Draft registration statement
+DRSLTR,Draft registration statement letter
+DSTRBRPT,Distribution report for development bank
+F-1,Securities registration by foreign private issuers
+F-10,Securities registration by certain Canadian issuers
+F-10EF,Auto-effective registration by certain Canadian issuers
+F-10POS,Amendment to F-10EF registration
+F-1MEF,Additional securities registered to prior F-1
+F-3,Foreign private securities registration
+F-3ASR,Foreign private securities registration
+F-3D,Foreign private securities registration
+F-3DPOS,Amendment to F-3D registration
+F-3MEF,Additional securities registered to prior F-3
+F-4,Business combination for foreign issuers
+F-4MEF,Additional securities registered to prior F-4
+F-6 POS,Amendment to F-6EF registration
+F-6,Depositary receipts by foreign private issuers
+F-6EF,Depositary receipts by foreign private issuers
+F-7 POS,Amended F-7 registration
+F-7,Canadian rights offerings
+F-8 POS,Amendment to F-8 registration
+F-8,Canadian business combination
+F-80,Canadian business combination
+F-80POS,Amendment to F-80 registration
+F-N,Appointment of agent for service by foreign institutions
+FWP,Filing of free writing prospectuses
+F-X,Appointment of agent for service by foreign issuers
+IRANNOTICE,Notice of Iran/Syria disclosures in periodic reports
+MA,Municipal advisor registration
+MA-I,Natural persons engaged in municipal advisory activities
+MA-W,Withdrawal from municipal advisor registration
+MODULE,Module submission
+N-14 8C,Initial registration statement by closed-end funds for business combinations
+N-14,Initial registration statement by open-end funds for business combinations
+N-14MEF,Additional securities registered by closed-end funds
+N-18F1,Election of terms for future filings
+N-1A,Initial registration statement for open-end funds
+N-2,Closed-end fund registration
+N-2ASR,Closed-end fund automatic registration
+N-2 POSASR,Amendment to N-2ASR registration
+N-23C-2,Notice of closed-end fund's intention to call or redeem securities
+N-23C3A,Closed-end fund periodic repurchase offer notice
+N-23C3B,Filing under by closed-end funds
+N-23C3C,Filings under and (c) by closed-end funds
+N-27D-1,Accounting report for segregated trust accounts
+N-2MEF,Additional securities registered to prior N-2
+N-3,Initial registration for separate accounts of management companies
+N-30B-2,Periodic reports (other than annual/semi-annual) by management companies
+N-30D,Annual and semi-annual reports by management companies
+N-4,Initial registration for separate accounts of unit trusts
+N-5,Registration statement for small business investment companies
+N-54A,Election filing by business development companies
+N-54C,Withdrawal filing by business development companies
+N-6,Registration statement for separate accounts of unit trusts
+N-6F,Notice by business development companies electing to be subject to Sections 55-65
+N-8A,Initial notification of registration
+N-8B-2,Initial registration statement for unit investment trusts
+N-8B-3,Initial registration statement for periodic payment plans
+N-8B-4,Initial registration statement for face-amount certificate companies
+N-8F,Application for deregistration
+N-CEN,Annual report for registered investment companies
+N-CR,Current report for money market funds
+N-CSR,Certified annual shareholder report
+N-CSRS,Certified semi-annual shareholder report
+N-MFP2/A,Monthly portfolio holdings for money market funds
+N-MFP3,Monthly portfolio holdings for money market funds
+NPORT-EX,Portfolio holdings exhibit to Form N-PORT
+NPORT-NP,Non-public monthly portfolio investments report
+NPORT-P,Public monthly portfolio investments report
+N-PX,Annual proxy voting record report
+N-PX CTR,Confidential treatment request for Form N-PX
+N-RN,Current report for registered funds and BDCs
+NRSRO-UPD,Registration update by credit rating agencies
+NRSRO-CE,Annual certification by credit rating agencies
+NRSRO-FR,Annual reports for statistical rating organizations
+NRSRO-WCLS,Withdrawal from credit rating class for nationally recognized statistical rating organizations
+NRSRO-WREG,Withdrawal from registration as a nationally recognized statistical rating organization
+NT 10-K,Late filing of 10-K
+NT 10-D,Late filing of 10-D
+NT 10-Q,Late filing of 10-Q
+NT 11-K,Late filing of 11-K
+NT 15D2,Late filing of special report
+NT 20-F,Late filing of Form 20-F
+NT-NCEN,Late filing of Form N-CEN
+NT-NCSR,Late filing of Form N-CSR
+N-VP,Notice document for certain variable contracts
+N-VPFS,Financial statements for certain variable contracts
+POS 8C,Post-effective amendment for closed-end funds
+POS AM,Post-effective amendment to a registration statement
+POS AMI,Post-effective amendment for investment company filings
+POSASR,Post-effective amendment to automatic shelf registration
+POS EX,Post-effective amendment adding exhibits
+POS462B,Post-effective amendment filed
+POS462C,Post-effective amendment filed
+PRE 14A,Preliminary proxy statement
+PRE 14C,Preliminary information statement
+PREC14A,Preliminary proxy statement for contested solicitations
+PREC14C,Preliminary information statement for contested solicitations
+PREM14A,Preliminary merger proxy statement
+PREM14C,Preliminary merger information statement
+PREN14A,Preliminary proxy statement filed by non-management
+PRER14A,Preliminary revised proxy materials
+PRER14C,Preliminary revised information statements
+PRRN14A,Revised preliminary proxy statement non-management
+PX14A6G,Exempt solicitation
+PX14A6N,Exempt solicitation for roll-up transaction
+QRTLYRPT,Development banks quarterly report
+RW,Registration withdrawal
+RW WD,Withdrawal of registration withdrawal
+S-1,Securities registration
+S-11,Real estate securities registration
+S-11MEF,Registration statement for prior Form S-11
+S-1MEF,Registration statement for prior Form S-1
+S-20,Standardized options registration
+S-3,Simplified securities registration
+S-3ASR,Automatic shelf registration
+S-3D,Dividend reinvestment plans automatic securities registration
+S-3DPOS,Post-effective amendment to Form S-3D
+S-3MEF,Registration statement filed relating to prior Form S-3
+S-4 POS,Post-effective amendment to Form S-4
+S-4,Business acquisitions registration
+S-4EF,Bank/S&L loan registration
+S-4MEF,Registration statement filed relating to prior Form S-4
+S-6,Initial registration statement for unit investment trusts
+S-8,Employee securities registration
+S-8 POS,Post-effective amendment to Form S-8
+S-B,Foreign governments securities registration
+S-BMEF,Registration statement filed relating to prior Form S-B
+SBSE,Security-based swap dealer registration
+SBSE-A,Abbreviated application for SEC-registered swap entities also registered with CFTC
+SBSE-BD,Application for broker-dealer security-based swap dealers/major participants
+SBSE-C,Certifications for security-based swap dealer/major participant registration
+SBSE-W,Request to withdraw registration as security-based swap dealer/major participant
+SBSE-DISPUTE NOTICE,Notice of valuation dispute by a security-based swap entity
+SBSE-CCO-RPT,Annual compliance report for security-based swap dealers
+SC 13D,Ownership for control disclosure
+SCHEDULE 13D,Disclosure of beneficial ownership over 5% (XML)
+SC 13E1,Issuer statement for going private transactions
+SC 13E3,Schedule for going private transactions
+SC 13G,Beneficial ownership
+SCHEDULE 13G,Beneficial ownership by passive investors/institutions
+SC 14D9,Solicitation/recommendation statement for third-party tender offers
+SC 14F1,Statement for changes to majority of directors
+SC 14N,Information by nominating shareholders
+SC 14N-S,Solicitation relating to Rule 14a-11 nominating groups
+SC TO-C,Written communication relating to tender offers
+SC TO-I,Tender offer by issuer
+SC TO-T,Tender offer by third party
+SC13E4F,Foreign issuer tender
+SC14D1F,3rd party tender offer by foreign issuer
+SC14D9C,Subject company communication relating to third-party tender offer
+SC14D9F,Solicitation/recommendation statement by foreign issuers for third-party tender offers
+SD,Specialized disclosure report on conflict minerals or resource extraction payments
+SDR,Registration for security-based swap data repositories
+SDR-CCO,Compliance and financial reports for security-based swap data repositories
+SDR-W,Withdrawal from registration as security-based swap data repository
+SF-1,Asset-backed securities registration
+SF-1MEF,Registration statement filed relating to prior Form SF-1
+SF-3,Asset-backed securities shelf offerings
+SF-3MEF,Registration statement filed relating to prior Form SF-3
+SH-ER,Weekly entries report by institutional investment managers
+SH-NT,Weekly notice report by institutional investment managers
+SP 15D2,Special financial report
+SPDSCL,Specialized disclosure filing
+SUPPL,Supplemental material filed by foreign private issuers
+T-3,Initial application for trust indenture qualification
+T-6,Application for foreign entity to act as institutional trustee
+TA-1,Initial application for transfer agent registration
+TA-2,Annual report by registered transfer agents
+TA-W,Notice of withdrawal from transfer agent registration
+UPLOAD,Submission of documents
+UNDER,Initial undertaking to file reports
+X-17A-5,Reports required of brokers and dealers