Question

Listed below are items that may or may not require the filing of an SEC form.

For each item ibelow, select the appropriate form from the list provided. A selection may be used once, more than once, or not at all.

There is a change in beneficial ownership.

There is a change in control of the company.

The annual report providing a comprehensive overview of a company's business and financial condition.

A brief notice that provides information about a company and offering that is raising less than $1 million and need not be registered with the SEC but is required to file.

To report required disclosures as specified under Rule 504 of Regulation B.

To report insider transactions that should have been reported earlier or were eligible for deferred reporting.

To disclose whether a company that is an accelerated filer makes periodic and current reports available, free of charge, on its website.

A current report to announce major events that shareholders should know about.

The report filed for each of the first three quarters of the company's fiscal year.

The initial filing of a statement of beneficial ownership.

1. Form 2 2. Form 4 3. Form 8-K 4. Form 10-K 5. Form A 6. Form C 7. Form S-T 8. Form 3 9. Form 5 10. Form 8-Q 11. Form 10-Q 12. Form B 13. Form D 14. None

Answer 1

1. There is a change in beneficial ownership. - Form 4 (option 2)

2. There is a change in control of the company - None (option 14)

3. The annual report providing a comprehensive overview of a company's business and financial condition - Form 1 K : but here option 14 - none.

4.A brief notice that provides information about a company and offering that is raising less than $1 million and need not be registered with the SEC but is required to file. - Form 1N . But here option 14 - none.

5. To report required disclosures as specified under Rule 504 of Regulation B. - Option 14 - None.

6. To report insider transactions that should have been reported earlier or were eligible for deferred reporting. Form 2 & 2E option 1.

7. To disclose whether a company that is an accelerated filer makes periodic and current reports available, free of charge, on its website. - Form 1U

8. A current report to announce major events that shareholders should know about. - Form N-CSR here option 14 - None.

9.The report filed for each of the first three quarters of the company's fiscal year. - Form 10 Q Option 11.

10.The initial filing of a statement of beneficial ownership. - Form 3 option 8