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EDGAR Library
Simfund Criteria
SEC Criteria

SEC Filing Types


SEC FORM TYPE PURPOSE CONTENTS
N-1A & N-1 Registration statement for open-end management investment companies:
  • Initial statement (Form N-1A, N-1)
  • Pre-effective amendments (Form N-1A, N-1)
  • Form registering a new portfolio or set of portfolios. Contains general prospectus information about underlying fund(s): investment objectives/strategies/risk, fee and expenses, risk/return information, management and capital structure, shareholder information, dividends, tax considerations, distribution arrangements, financial highlights.
    N-2 Registration statement for closed-end investment companies:
  • Initial statement (Form N-2)
  • Pre-effective amendments (Form N-2/A)
  • Post-effective amendments (Form POS AMI)
  • N-14 Registration statement for open-end investment company (business combinations):
  • Initial statement (Form N-14)
  • Pre-effective amendments (Form N-14/A)
  • Initial statement with automatic effectiveness under Rule 488 (Form N-14AE)
  • Pre-effective amendments (Form N-14AE/A)
  • 485APOS Post-effective amendments filed pursuant to Rule 485(a)
    Prospectus and SAI. Contains the following information: investment objectives/strategies/risks, past performance, expenses, risk/return information, management and capital structure, shareholder information, dividends, tax considerations, distribution arrangements, financial highlights, etc.
    485BPOS Post-effective amendments filed pursuant to Rule 485(b)
    POS AMI Post-effective amendments submitted under the 1940 Act only.
    485BXT Post-effective amendments filed pursuant to Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Rule 485(a).
    497 Definitive materials
    497J Certification of no change in definitive materials
    497K1
    497K2
    497K3A
    497K3B
    Profiles for certain open-end management investment companies.
    NSAR-A
    NSAR-A/A
    NSAR-AT
    NSAR-AT/A
    NSAR-B
    NSAR-B/A
    NSAR-BT
    NSAR-BT/A
    NSAR-U
    NSAR-U/A
  • Semi-annual report for management companies
  • Amendment to semi-annual report
  • Transitional semi-annual report
  • Amendment to transitional semi-annual report
  • Annual report for management company
  • Amendment to annual report
  • Transitional annual report
  • Amendment to transitional annual report
  • Annual report for unit investment trusts
  • Amendment to annual report
  • Form submitted to the S.E.C. by registered investment companies on a semi-annual and annual basis. Note that the data is supplied electronically and each response is tagged using numbers corresponding to the questions.
    N-30D
    N-30D/A
    N-30B-2
    N-CSR
    N-CSRS
    Annual and semi-annual reports mailed to shareholders pursuant to Rule 30d-1
  • Amendments
  • Periodic and interim reports mailed to shareholders
  • Semi/Annual Reports. Management company information, performance summary, portfolio holdings, financial statements, financial highlights and notes to financial statements.

    PREM14A

    PREC14A
    PRES14A
    PREN14A

    PRE 14A
    Preliminary Proxy Soliciting Materials
  • Proxy statements relating to merger or acquisition
  • Proxy statements - contested solicitations
  • Proxy statements - special meetings
  • Non-management proxy statements not involving contested solicitations
  • All other preliminary proxy statements
  • Proxies. Shareholder votes or notification of fund name changes, amendments to or deletion of fundamental investment restrictions, trustee elections and compensation, ratification of auditors by the trustees, and merger and acquision information.

    PREM14C

    PREC14C
    PRES14C
    PRE 14A
    Preliminary Information Statements
  • Information statements relating to merger or acquisition
  • Information statements - contested solicitations
  • Information statements - special meetings
  • All other preliminary information statements

  • PRER14A
    PRNN14A


    PRER14C
    Revised Preliminary Materials
  • Proxy soliciting materials
  • Non-management revised preliminary proxy soliciting materials for both contested solicitations and other situations
  • Information statements

  • DEFM14A
    DEFC14A
    DEFN14A

    DEF 14A
    DFRN14A

    DEFR14A
    DEFA14A
    DFAN14A

    DEFS14A
    PX14A6G
    PX14A6N
    Definitive Materials (Proxy Materials)
  • Proxy statement relating to merger or acquisition
  • Proxy statement - contested solicitations
  • Proxy statement filed by non-management - not in connection with contested solicitations
  • All other definitive proxy statements
  • Revised proxy statement filed by non-management
  • Revised proxy soliciting materials - definitive
  • Additional proxy soliciting materials - definitive
  • Additional proxy soliciting materials - definitive - filed by non-management
  • Definitive proxy statement - special meeting
  • Notice of exempt solicitation

  • DEFM14C

    DEFC14C
    DEF 14C
    DEFA14C

    DEFR14C

    DEFS14C
    Definitive Materials (Information Materials)
  • Information statement relating to merger or acquisition
  • Information statement - contested solicitations
  • All other definitive information statements
  • Additional information statement materials - definitive
  • Revised information statement materials - definitive
  • Definitive information statement - special meeting
  •  

     

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