3.5 KiB
3.5 KiB
| 1 | Exhibit No. | Description | Form Types Involved | Regex |
|---|---|---|---|---|
| 2 | 1 | Underwriting Agreement | S-1, S-3, F-1, F-3, S-8, S-11, etc. | ^EX-1\b |
| 3 | 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 |
| 4 | 3 | Articles of Incorporation and Bylaws | S-1, S-3, F-1, F-3, S-8, S-11, etc. | ^EX-3(\.\d+)?\b |
| 5 | 4 | Instruments Defining the Rights of Security Holders, including Indentures | Required across various form types | ^EX-4\b |
| 6 | 5 | Opinion regarding Legality | Typically required across all form types | ^EX-5\b |
| 7 | 6 | Reserved | N/A | ^EX-6\b |
| 8 | 7 | Correspondence from Independent Accountants | Limited use (specific forms only) | ^EX-7\b |
| 9 | 8 | Opinion re Tax Matters | S-11, F-1, F-3, S-3, S-8 | ^EX-8\b |
| 10 | 9 | Voting Trust Agreements | Mostly required in S-4 and other specific forms | ^EX-9\b |
| 11 | 10 | Material Contracts | Required widely across forms for significant contracts | ^EX-10(\.\d+)?\b |
| 12 | 11 | Statement re Computation of Per Share Earnings | Commonly required where applicable | ^EX-11\b |
| 13 | 12 | Statements re Computation of Ratios | Required in forms where ratios are relevant | ^EX-12\b |
| 14 | 13 | Annual Report to Security Holders | Typically part of 10-K or annual disclosures | ^EX-13\b |
| 15 | 14 | Code of Ethics | Required disclosure for most forms | ^EX-14\b |
| 16 | 15 | Letter re Unaudited Interim Financial Information | Used in specific situations across various forms | ^EX-15\b |
| 17 | 16 | Letter re Change in Certifying Accountant | Used primarily in 10-K and 10-Q | ^EX-16\b |
| 18 | 17 | Correspondence on Departure of Director | Occasionally required, depending on the circumstances | ^EX-17\b |
| 19 | 18 | Letter re Change in Accounting Principles | Used when significant changes in accounting principles occur | ^EX-18\b |
| 20 | 19 | Report Furnished to Security Holders | Often part of 10-Q or similar reports | ^EX-19\b |
| 21 | 20 | Other Documents or Statements to Security Holders | As applicable, varies by form and content required | ^EX-20\b |
| 22 | 21 | Subsidiaries of the Registrant | Required across various forms depending on the structure of the registrant | ^EX-21\b |
| 23 | 22 | Published Report Regarding Matters Submitted to Vote of Security Holders | As applicable to the voting matters | ^EX-22\b |
| 24 | 23 | Consents of Experts and Counsel | Required across various forms when expert consents are necessary | ^EX-23(\.\d+)?\b |
| 25 | 24 | Power of Attorney | As required, often associated with filings involving multiple signatories | ^EX-24\b |
| 26 | 25 | Statement of Eligibility of Trustee | Required in filings involving indentures under the Trust Indenture Act | ^EX-25\b |
| 27 | 26 | Invitation for Competitive Bids | Required in specific cases involving competitive bids | ^EX-26\b |
| 28 | 27-30 | Reserved | N/A | `^EX-(27 |
| 29 | 31 | Rule 13a-14(a)/15d-14(a) Certifications | Common certification required across various forms | ^EX-31(\.\d+)?\b |
| 30 | 32 | Section 1350 Certifications | Required under specific legal stipulations | ^EX-32\b |
| 31 | 33-34 | Assessment and Attestation Reports regarding Compliance | Specific to asset-backed securities | `^EX-(33 |
| 32 | 35-36 | Servicer Compliance Statement and Depositor Certification | Specific to asset-backed securities | `^EX-(35 |
| 33 | 95 | Mine Safety Disclosure Exhibit | Specific to registrants involved in mining operations | ^EX-95\b |
| 34 | 99 | Additional Exhibits | As required by specific circumstances or regulatory demands | ^EX-99(\.\d+)?\b |
| 35 | 100-101 | XBRL-Related Documents and Interactive Data File | Required for electronic data submission | `^EX-(100 |
| 36 | 102-103 | Asset Data File and Asset Related Documents | Specific to asset-backed securities filings | `^EX-(102 |
| 37 | 104-106 | Reserved/Static Pool PDF | N/A or specific to asset-backed securities | `^EX-(104 |