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In the event you are new to EDGAR, you’ll want to make sure you consistently apply a term or check on a precise definition. This glossary is for you – and includes commonly used EDGAR terms, acronyms and abbreviations. Acceptance messageNotification from the SEC that an electronic submission has met the minimum filing requirements and been accepted by EDGAR. If the submitter or filer has an e-mail address, the acceptance messages are sent by e-mail to that account. Acceptance messages are also sent to all Internet e-mail addresses listed in the submission header fields. Acceptance reviewProcedural checks performed by EDGAR to determine whether a filing meets certain minimum filing requirements. The requirements may relate to the composition and completeness of the submission package, as well as to the particular type of filing being made. The EDGAR system does not check the content contained within is a filing. AcceptedThe term that describes a filing that has successfully passed acceptance review. A live filing is deemed public at this point. Accession numberA unique number generated by the EDGAR system for each electronic submission. Accession numbers are reported to submitters and filers in the acceptance and suspense messages. Assignment of an accession number does not mean that EDGAR has accepted your submission. Animated graphicsThe term "animated graphics" means text or images that do not remain static but that may move when viewed in a browser. Such graphics are not permitted in SEC filings. ASCII documentThe term "ASCII document" means an electronic text document with contents limited to American Standard Code for Information Interchange (ASCII) characters and that is tagged with Standard Generalized Mark Up Language (SGML) tags in the format required for ASCII/SGML documents by the EDGAR Filer Manual. BrowserCommercially available software used for viewing on the Internet. The most popular versions are Netscape and Internet Explorer. (CIK) Central Index KeyA unique ten-digit number assigned by the SEC, distinguishing the company or individual to which it is assigned. Used by EDGAR to identify either a submitter (LOGIN CIK) or filer. (CCC) Confirmation CodeAn eight-character code that EDGAR uses in conjunction with the CIK to authenticate a filer. It is case-sensitive and must contain at least one numeric character and at least one special character (*, #, @, $). ConfidentialRefers to portions of documents omitted from public filings pursuant to SEC rules (e.g., Rule 406 under 1933 Act). Confirming copyAn electronic copy of a paper filing filed under Form TH (Temporary Hardship). The paper filing is the official copy and the confirming copy is an electronic duplicate. Correspondence submissionA submission type EDGAR filers may use to submit non-public information, generally correspondence, to the SEC staff. Note: Some of these documents may be made public (on www.gsionline.com) after registration is declared effective. Data fieldAn identifier that labels specific information submitted to EDGAR. Data fields are created by placing angle brackets on either side of a term. An end data field is distinguishable from a begin data field by the "/" (virgule/slash) immediately following the opening angle bracket (<). For example, the beginning and end of a table would be signified by <TABLE> and </TABLE>, respectively. Disruptive codeThe term "disruptive code" means any active content or other executable code, or any program or set of electronic computer instructions inserted into a computer, operating system, or program that replicates itself or that actually or potentially modifies or in any way alters, damages, destroys or disrupts the file content or the operation of any computer, computer file, computer database, computer system, computer network or software, and otherwise set forth in the EDGAR Filer Manual. DocumentDocument is a generic term for the various forms, reports, schedules, exhibits, items of correspondence, etc., that comprise filings and other submissions. An electronic document originating with a filer or agent can only be sent as part of a submission. A document is a discrete unit of text. One or more documents comprise an electronic submission. Examples of documents include a 1933 Act registration statement, a 1934 Act Form 10-Q, or a cover letter. Each exhibit is a separate document within a submission. The SEC EDGAR system also treats each graphic file included in a submission as a separate document. Document headerA header used within an EDGAR submission to indicate, by the appropriate use of tags and tag values, the document type, and if desired, the description of the document. EDGARLink constructs document headers for each separate document contained within a submission. Document type: Submissions received may consist of more than one document. For example, a Form 10-K, an exhibit, and a cover letter constitute three separate documents in one submission. Each document must begin with a document header. A Form 10-K submission must contain at least one document, which is the Form 10-K. EDGARThe term "EDGAR" – Electronic Data Gathering, Analysis, and Retrieval – refers to the computer system for the receipt, acceptance, review and dissemination of documents submitted to the SEC in electronic format. EDGAR Filer ManualThe term "EDGAR Filer Manual" means the current version of the manual prepared by the Commission setting out the technical format requirements for an electronic submission. Note: See Rule 301 of Regulation S-T (§232.301). SEC’s EDGAR Filer Manual.
The term "electronic document" means the portion of an electronic submission separately tagged as an individual document in the format required by the EDGAR Filer Manual. The term "electronic filer" means a person or an entity that submits filings electronically pursuant to Rules 100 and 101 of Regulation S-T (§§232.100 and 232.101, respectively). The term "electronic filing" means one or more electronic documents filed under the federal securities laws that are transmitted or delivered to the Commission in electronic format. The term "electronic format" means the computerized format of a document prepared in accordance with the EDGAR Filer Manual (e.g., HTML, ASCII). The term "electronic submission" means any document, such as a filing, correspondence, or modular submission, or any discrete set of documents, transmitted or delivered to the Commission in electronic format. The term "Exchange Act" means the Securities Exchange Act of 1934. For a copy of the SEC Handbook covering the Exchange Acts, click here to order the annually updated printed copy or see a PDF or HTML version. The term "executable code" means instructions to a computer to carry out operations that use features beyond the viewer's, reader's, or Internet browser's native ability to interpret and display HTML, PDF, and static graphic files. Such code may be in binary (machine language) or in script form. Executable code includes disruptive codes. A number assigned by the SEC to registrations, applications, and reports. A person or entity on whose behalf an electronic filing is made. A third party such as RR Donnelley, law firm or other party that submits filings on behalf of a filer. A distinct type of submission that must be filed pursuant to the federal securities laws (e.g., 1934 Act Form 10-K or a preliminary proxy statement). The form used to apply for access codes needed to use EDGAR, namely the CIK, Password, CCC, and PMAC. Download Form ID A Form "Separate Exhibit" accompanies all exhibits to electronic filings that are submitted in paper. Download Form SE The form used to notify the Commission that the filing is being made in paper pursuant to a temporary hardship exemption, as specified by Rule 201 of Regulation S-T. Download Form TH The term "HTML document" means an electronic text document tagged with HyperText Markup Language tags in the format required by the EDGAR Filer Manual. The term "header information" means information designated by the EDGAR Filer Manual to precede the text of each electronic submission and document submitted therewith via EDGAR that identifies characteristics of the submission and documents in order to facilitate electronic processing by the EDGAR system. The term "hypertext links" or "hyperlinks" means the representation of an Internet address in a form that an Internet browser application can recognize as an Internet address. The term "Investment Company Act" means the Investment Company Act of 1940. For a copy of the Investment Company Act, click here to order the annually updated printed copy or see a PDF or HTML version. The term used to describe the arrangement with the US Treasury-designated depository to collect and deposit checks, money orders, cash, and wire transfers to an SEC account at the depository. In EDGAR, a segment, referred to as a subordinate segment, is a document (partial or whole) that is to be included into a submission once EDGAR has processed it. The master segment is the final submission you transmit to EDGAR that incorporates all the previously submitted subordinate segments. For HTML filings, segments must contain complete documents. Partial documents can only be filed in the ASCII format. The term "modular submission" means an electronic submission that contains one or more documents, or portions of a document, submitted for storage in the non-public EDGAR data storage area for purposes of subsequent inclusion in one or more electronic filings pursuant to Rule 501(a) of Regulation S-T (§232.501(a) of this chapter). For HTML filings, modules must contain complete documents. Partial documents can only be filed in ASCII format. Certain data fields that must appear together are "nested". In the tables beginning with Section 4.6, the lead fields are shown first in nested groupings. The fields that must follow are shown with the same number plus an alpha designation (e.g., 5, 5a, etc.) When you use nested fields, not all of the possible nested fields may apply to your situation. You should only use the fields that apply. Certain nested field sets also require an end field. Information that is not disseminated publicly. Correspondence is non-public information, but it is not considered “confidential.” Such information may be disclosed if requested pursuant to the Freedom of Information Act. Investment Management Semiannual Report. The term official filing means any filing that is received and accepted by the SEC, regardless of filing medium and exclusive of header information, tags and any other technical information required in an electronic filing. The term "paper format" means a paper document. A unique, eight-character, confidential code assigned to EDGAR participants that must be used in conjunction with the CIK number. The two codes must "match" to access EDGAR. Use the Form ID to apply for a password. The code is case-sensitive and must contain at least one numeric character and at least one special character (*, #, @, $). The password expires after one year. Portable Document Format. Public Data Network. PMAC
Password Modification Authorization Code. An eight-character, confidential code that authenticates a request to change a password. The code is case-sensitive and must contain at least one numeric character and at least one special character (*, #, @, $). The term "Public Utility Act" means the Public Utility Holding Company Act of 1935. The term "registrant" means an issuer of securities for which a Securities Act registration statement is required to be filed and/or an issuer of securities with respect to which an Exchange Act registration statement or report is required to be filed and/or an investment company required to file an Investment Company Act registration statement or report. A copy of an accepted filing posted on the Filing website and available to registrants and co-registrants only. A Return Copy must be requested in the submission header so that EDGAR can generate one. Return copies are available for seven business days after the submission is received by EDGAR. US Securities and Exchange Commission. The term "Securities Act" means the Securities Act of 1933. For a copy of the SEC Handbook, click here to order the annually updated printed copy or see a PDF or HTML version. The term "segmented filing" means an electronic format document assembled from segments previously submitted to the non-public EDGAR data storage for one-time inclusion in an electronic filing pursuant to Rule 501(b) of Regulation S-T (§232.501(b) of this chapter). For HTML filings, segments must contain complete documents. Partial documents can only be filed in ASCII format. Standard Generalized Mark-up Language. Self-Regulatory Organizations. Example SROs are: NYSE – New York Stock Exchange and NASD – National Association of Securities Dealers. A submission is the fundamental unit of information that is transmitted to EDGAR for receipt, validation, and acceptance. It is the conveyance of a document or series of documents, in electronic format, to the SEC via EDGAR. Filings that have not successfully passed EDGAR’s acceptance review are placed in a suspended status indicating fatal flaws within the submission. Suspended filings are deleted in six business days. Notification from the SEC that an electronic submission has not met the minimum filing requirements and been suspended by EDGAR. If the filer has an Internet address on file, the suspense messages are sent electronically to that Internet address. Suspense messages are also sent to all Internet addresses on the Notification page. The term "tag" means an identifier that highlights specific information to EDGAR that is in the format required by the the SEC’s EDGAR Filer Manual. A submission made to EDGAR to test the ability to create a filing in an EDGAR-acceptable format. Such filings are neither publicly available nor retained on the filing database. EDGAR sends the results of a test filing acceptance review to the filer via acceptance or suspense messages. A test filing cannot be changed to a live filing. The term "third party filer" means any person or entity that files documents with the Commission with respect to another entity. A person or entity which sends only testing filings in conjunction with training other persons. The term "Trust Indenture Act" means the Trust Indenture Act of 1939. The term "unofficial PDF copy" means an optional copy of an electronic document that may be included in an EDGAR submission tagged as a Portable Document Format document in the format required by the EDGAR Filer Manual and submitted in accordance with Rule 104 of Regulation S-T (§232.104). Extended Forms Definition Language Extensible Markup Language |
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