SEC FILINGS

FilingsFormatDescriptionFiled/EffectiveFile/Film Number
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0000950170-24-059774 (34 Act) Size: 16 MB
2024-05-14814-01054
24945622
8-KDocument Current report, items 5.02 and 9.01
Acc-no: 0001193125-24-138217 (34 Act) Size: 159 KB
2024-05-14814-01054
24944338
40-17GDocument Fidelity Bond [Rule 17G-1(g)]
Acc-no: 0001193125-24-134193 (40 Act) Size: 486 KB
2024-05-08814-01054
24925839
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0000950170-24-016606 (34 Act) Size: 16 MB
2024-02-20814-01054
24650030
NT 10-QDocument Notification of inability to timely file Form 10-Q or 10-QSB
Acc-no: 0001193125-24-036296 (34 Act) Size: 22 KB
2024-02-14814-01054
24638844
8-KDocument Current report, item 5.02
Acc-no: 0001193125-24-036183 (34 Act) Size: 145 KB
2024-02-14814-01054
24638058
8-KDocument Current report, items 1.01 and 9.01
Acc-no: 0001193125-24-012976 (34 Act) Size: 1 MB
2024-01-23814-01054
24552546
8-KDocument Current report, item 5.02
Acc-no: 0001193125-23-286815 (34 Act) Size: 141 KB
2023-12-01814-01054
231457610
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0000950170-23-062921 (34 Act) Size: 17 MB
2023-11-13814-01054
231398661
8-KDocument Current report, item 5.07
Acc-no: 0001193125-23-274648 (34 Act) Size: 145 KB
2023-11-09814-01054
231393952
DEF 14ADocument Other definitive proxy statements
Acc-no: 0001193125-23-244807 (34 Act) Size: 822 KB
2023-09-28814-01054
231286255
10-KDocument Annual report [Section 13 and 15(d), not S-K Item 405]
Acc-no: 0000950170-23-049175 (34 Act) Size: 24 MB
2023-09-21814-01054
231269197
8-KDocument Current report, items 2.02, 5.02, and 9.01
Acc-no: 0001193125-23-238617 (34 Act) Size: 274 KB
2023-09-20814-01054
231266829
8-KDocumentCurrent report, items 1.01 and 9.012023-06-21814-01054
231029866
10-QDocument Acc-no: 0001193125-23-171147 (34 Act) Size: 1 MB2023-05-15814-01054
23922696
40-17GDocument Fidelity Bond [Rule 17G-1(g)]
Acc-no: 0001193125-23-041067 (40 Act) Size: 473 KB
2023-02-16814-01054
23638551
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0000950170-23-002611 (34 Act) Size: 20 MB
2023-02-13814-01054
23618704
8-KDocument Current report, item 5.02
Acc-no: 0001193125-23-028380 (34 Act) Size: 23 KB
2023-02-08814-01054
23599080
8-KDocument Current report, item 5.02
Acc-no: 0001193125-23-013747 (34 Act) Size: 16 KB
2023-01-24814-01054
23545918
8-KDocument Current report, items 1.01 and 9.01
Acc-no: 0001193125-22-290577 (34 Act) Size: 1 MB
2022-11-22814-01054
23599080
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-22-284636 (34 Act) Size: 1 MB
2022-11-14814-01054
221385936
8-KDocument Current report, item 5.07
Acc-no: 0001193125-22-283526 (34 Act) Size: 19 KB
2022-11-14814-01054
221379690
DEF 14ADocument Other definitive proxy statements
Acc-no: 0001193125-22-248432 (34 Act) Size: 845 KB
2022-09-21814-01054
221256813
10-KDocument Annual report [Section 13 and 15(d), not S-K Item 405]
Acc-no: 0001193125-22-243741 (34 Act) Size: 1 MB
2022-09-13814-01054
221241111
8-KDocument Current report, items 2.02 and 9.01
Acc-no: 0001193125-22-239064 (34 Act) Size: 125 KB
2022-09-06814-01054
221229064
SC 13D/ADocument [Amend] General statement of acquisition of beneficial ownership
Acc-no: 0000902664-22-002823 (34 Act) Size: 53 KB
2022-05-09005-88002
22905533
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-22-145020 (34 Act) Size: 1 MB
2022-05-09333-260533
22905347
RWDocument Registration Withdrawal Request
Acc-no: 0001193125-22-089912 (NE Act) Size: 6 KB
2022-03-30005-88002
22787084
CORRESPDocument [Cover]Correspondence
Acc-no: 0001193125-22-089905 Size: 54 KB
2022-03-30
SC 13G/ADocument [Amend] Statement of acquisition of beneficial ownership by individuals
Acc-no: 0000884589-22-000012 (34 Act) Size: 18 KB
2022-02-14005-88002
22630918
8-KDocument Current report, item 7.01
Acc-no: 0001193125-22-037345 (34 Act) Size: 13 KB
2022-02-11814-01054
22622540
40-17GDocument Fidelity Bond [Rule 17G-1(g)]
Acc-no: 0001193125-22-034479 (40 Act) Size: 490 KB
2022-02-10814-01054
22614255
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-22-029658 (34 Act) Size: 1 MB
2022-02-07814-01054
22597640
8-KDocument Current report, item 1.02
Acc-no: 0001193125-21-338508 (34 Act) Size: 14 KB
2021-11-23814-01054
211438816
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-21-323049 (34 Act) Size: 920 KB
2021-11-08814-01054
211388152
8-KDocument Current report, item 5.07
Acc-no: 0001193125-21-318505 (34 Act) Size: 16 KB
2021-11-03814-01054
211376056
DEF 14ADocument Other definitive proxy statements
Acc-no: 0001193125-21-282207 (34 Act) Size: 827 KB
2021-09-24814-01054
211277287
10-KDocument Annual report [Section 13 and 15(d), not S-K Item 405]
Acc-no: 0001193125-21-271907 (34 Act) Size: 1 MB
2021-09-14814-01054
211251061
8-KDocument Current report, item 3.02
Acc-no: 0001193125-21-266613 (34 Act) Size: 14 KB
2021-09-07814-01054
211239391
8-KDocument Current report, items 1.01, 2.02, 2.03, and 9.01
Acc-no: 0001193125-21-256357 (34 Act) Size: 1 MB
2021-08-25814-01054
211207448
40-APP/ADocument [Amend] Application for exemption and other relief filed under the Investment Company Act of 1940
Acc-no: 0001193125-21-184110 (40 Act) Size: 312 KB
2021-06-07812-15176
21999081
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-21-156366 (34 Act) Size: 978 KB
2021-05-10814-01054
21908078
25-NSEDocument Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities
Acc-no: 0001354457-21-000507 (34 Act) Size: 2 KB
2021-04-23001-36300
21850219
8-KDocument Current report, items 1.01, 2.03, and 9.01
Acc-no: 0001193125-21-102329 (34 Act) Size: 162 KB
2021-03-31814-01054
21793863
8-KDocument Current report, items 1.01, 8.01, and 9.01
Acc-no: 0001193125-21-096527 (34 Act) Size: 227 KB
2021-03-26814-01054
21777340
N-23C-2Document Notice by closed-end investment companies of intent to purchase their own securities
Acc-no: 0001193125-21-096505 (40 Act) Size: 9 KB
2021-03-26817-01418
21777235
424B2Document Prospectus [Rule 424(b)(2)]
Acc-no: 0001193125-21-094633 (33 Act) Size: 3 MB
2021-03-25333-223999
21773557
497ADDocument Filing by certain investment companies of Rule 482 advertising [Rule 497 and 482(c)]
Acc-no: 0001193125-21-093045 (33 Act) Size: 12 KB
2021-03-25333-223999
21769957
497ADDocument Filing by certain investment companies of Rule 482 advertising [Rule 497 and 482(c)]
Acc-no: 0001193125-21-093044 (33 Act) Size: 11 KB
2021-03-25333-223999
21769956
497ADDocument Filing by certain investment companies of Rule 482 advertising [Rule 497 and 482(c)]
Acc-no: 0001193125-21-093043 (33 Act) Size: 11 KB
2021-03-25333-223999
21769952
497ADDocument Filing by certain investment companies of Rule 482 advertising [Rule 497 and 482(c)]
Acc-no: 0001193125-21-092957 (33 Act) Size: 9 KB
2021-03-25333-223999
21769772
FWPDocument Filing under Securities Act Rules 163/433 of free writing prospectuses
Acc-no: 0001193125-21-092887 (34 Act) Size: 22 KB
2021-03-25333-223999
21769526
424B2Document Prospectus [Rule 424(b)(2)]
Acc-no: 0001193125-21-092390 (33 Act) Size: 3 MB
2021-03-24333-223999
21767801
40-17GDocument Fidelity Bond [Rule 17G-1(g)]
Acc-no: 0001193125-21-052311 (40 Act) Size: 492 KB
2021-02-23814-01054
21665321
40-APP/ADocument [Amend] Application for exemption and other relief filed under the Investment Company Act of 1940
Acc-no: 0001193125-21-045270 (40 Act) Size: 313 KB
2021-02-16812-15176
21641148
SC 13GDocument Statement of acquisition of beneficial ownership by individuals
Acc-no: 0000884589-21-000003 (34 Act) Size: 18 KB
2021-02-16005-88002
21636336
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-21-034421 (34 Act) Size: 957 KB
2021-02-09814-01054
21606823
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-20-289085 (34 Act) Size: 935 KB
2020-11-09814-01054
201297907
8-KDocument Current report, item 5.07
Acc-no: 0001193125-20-285201 (34 Act) Size: 18 KB
2020-11-04814-01054
201285240
40-APPDocument Application for exemption and other relief filed under the Investment Company Act of 1940
Acc-no: 0001193125-20-282587 (40 Act) Size: 316 KB
2020-10-30812-15176
201277616
8-KDocument Current report, items 1.01, 2.03, and 9.01
Acc-no: 0001193125-20-263374 (34 Act) Size: 1 MB
2020-10-05814-01054
201196080
DEF 14ADocument Other definitive proxy statements
Acc-no: 0001193125-20-253513 (34 Act) Size: 364 KB
2020-09-24814-01054
201196080
10-KDocument Annual report [Section 13 and 15(d), not S-K Item 405]
Acc-no: 0001193125-20-250318 (34 Act) Size: 2 MB
2020-09-22814-01054
201187356
8-KDocument Current report, items 2.02 and 9.01
Acc-no: 0001193125-20-245209 (34 Act) Size: 102 KB
2020-09-14814-01054
201173461
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-20-139072 (34 Act) Size: 1 MB
2020-05-11814-01054
20865011
SC 13D/ADocument [Amend] General statement of acquisition of beneficial ownership
Acc-no: 0001140361-20-006569 (34 Act) Size: 194 KB
2020-03-23005-88002
20735328
D/ADocument [Amend] Notice of Exempt Offering of Securities, item 06b
Acc-no: 0001567619-20-006805 (33 Act) Size: 10 KB
2020-03-20021-355469
20730309
SC 13DDocument General statement of acquisition of beneficial ownership
Acc-no: 0001011438-20-000107 (34 Act) Size: 362 KB
2020-03-12005-88002
20709810
8-KDocument Current report, items 1.01 and 9.01
Acc-no: 0001193125-20-068922 (34 Act) Size: 27 KB
2020-03-10814-01054
20702478
8-KDocument Current report, item 3.02
Acc-no: 0001193125-20-063959 (34 Act) Size: 15 KB
2020-03-06814-01054
20692682
SC 13G/ADocument [Amend] Statement of acquisition of beneficial ownership by individuals
Acc-no: 0000919574-20-001526 (34 Act) Size: 100 KB
2020-02-14005-88002
20617428
SC 13G/ADocument [Amend] Statement of acquisition of beneficial ownership by individuals
Acc-no: 0001011438-20-000073 (34 Act) Size: 142 KB
2020-02-12005-88002
20604062
10QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-20-029862 (34 Act) Size: 989 KB
2020-02-10814-01054
20592421
40-17GDocument Fidelity Bond [Rule 17G-1(g)]
Acc-no: 0001193125-20-029412 (40 Act) Size: 495 KB
2020-02-10814-01054
20590609
DDocument Notice of Exempt Offering of Securities, item 06b
Acc-no: 0001567619-19-023030 (33 Act) Size: 10 KB
2019-12-13 021-355469
191283479
SC 13D/ADocument Fidelity Bond [Rule 17G-1(g)]
Acc-no: 0001193125-20-029412 (40 Act) Size: 495 KB
2019-12-06005-88002
191273288
8-K/ADocument [Amend] Current report, item 5.07
Acc-no: 0001193125-19-307312 (34 Act) Size: 20 KB
2019-12-05814-01054
191270599
8-KDocument Current report, item 3.02
Acc-no: 0001193125-19-307284 (34 Act) Size: 14 KB
2019-12-05814-01054
191270445
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-19-298091 (34 Act) Size: 23 KB
2019-11-22814-01054
191238799
10QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-19-289995 (34 Act) Size: 909 KB
2019-11-12814-01054
191209963
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-19-287177 (34 Act) Size: 30 KB
2019-11-07814-01054
191199994
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-19-287174 (34 Act) Size: 22 KB
2019-11-07814-01054
191199987
8-KDocument Current report, items 5.07 and 9.01
Acc-no: 0001193125-19-285945 (34 Act) Size: 27 KB
2019-11-06814-01054
191196785
8-KDocument Current report, items 1.01, 2.03, and 9.01
Acc-no: 0001193125-19-270045 (34 Act) Size: 213 KB
2019-10-18814-01054
191157793
497Document Definitive materials
Acc-no: 0001193125-19-269306 (33 Act) Size: 3 MB
2019-10-17333-223999
191155178
497ADDocument Filing by certain investment companies of Rule 482 advertising [Rule 497 and 482(c)]
Acc-no: 0001193125-19-268109 (33 Act) Size: 12 KB
2019-10-16333-223999
191152037
POS EXDocument Post-effective amendment adding exhibits to registration statement [Rule 462(d)]
Acc-no: 0001193125-19-267719 (33 Act) Size: 122 KB
2019-10-15333-223999
191151241
497ADDocument Filing by certain investment companies of Rule 482 advertising [Rule 497 and 482(c)]
Acc-no: 0001193125-19-267712 (33 Act) Size: 10 KB
2019-10-15333-223999
191151226
497Document Definitive materials
Acc-no: 0001193125-19-267710 (33 Act) Size: 3 MB
2019-10-15333-223999
191151207
8-KDocument Current report, item 2.02
Acc-no: 0001193125-19-267706 (34 Act) Size: 19 KB
2019-10-15814-01054
191151175
DEF 14ADocument Other definitive proxy statements
Acc-no: 0001193125-19-265250 (34 Act) Size: 407 KB
2019-10-09814-01054
191145572
SC 13D/ADocument [Amend] General statement of acquisition of beneficial ownership
Acc-no: 0001140361-19-018035 (34 Act) Size: 160 KB
2019-10-07005-88002
191140385
SC 13D/ADocument [Amend] General statement of acquisition of beneficial ownership
Acc-no: 0001193125-19-262533 (34 Act) Size: 146 KB
2019-10-04005-88002
191138204
SC 13DDocument General statement of acquisition of beneficial ownership
Acc-no: 0001140361-19-017997 (34 Act) Size: 339 KB
2019-10-04005-88002
191138034
PRE 14ADocument Other preliminary proxy statements
Acc-no: 0001193125-19-246958 (34 Act) Size: 409 KB
2019-09-17814-01054
191097747
10-KDocument Annual report [Section 13 and 15(d), not S-K Item 405]
Acc-no: 0001193125-19-244862 (34 Act) Size: 1 MB
2019-09-13814-01054
191092656
8-KDocument Current report, items 2.02 and 9.01
Acc-no: 0001193125-19-242041 (34 Act) Size: 133 KB
2019-09-10814-01054
191085617
8-KDocument Current report, items 1.01, 1.02, 5.02, 5.03, 8.01, and 9.01
Acc-no: 0001193125-19-235920 (34 Act) Size: 192 KB
2019-09-03814-01054
191070954
8-KDocument Current report, item 5.07
Acc-no: 0001193125-19-232604 (34 Act) Size: 20 KB
2019-08-28814-01054
191062729
DEF 14ADocument Other definitive proxy statements
Acc-no: 0001193125-19-193212 (34 Act) Size: 536 KB
2019-07-12814-01054
19953155
PRE 14ADocument Other preliminary proxy statements
Acc-no: 0001193125-19-188254 (34 Act) Size: 536 KB
2019-07-02814-01054
19937725
8-KDocument Current report, items 1.01, 3.02, and 9.01
Acc-no: 0001193125-19-186701 (34 Act) Size: 361 KB
2019-07-01814-01054
19931406
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-19-186052 (34 Act) Size: 4 MB
2019-06-28814-01054
19929651
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-19-186044 (34 Act) Size: 91 KB
2019-06-28814-01054
19929639
8-KDocument Current report, items 7.01 and 9.01
Acc-no: 0001193125-19-186039 (34 Act) Size: 4 MB
2019-06-28814-01054
19929628
8-KDocument Current report, items 1.01, 1.02, 2.03, and 9.01
Acc-no: 0001193125-19-184337 (34 Act) Size: 2 MB
2019-06-27814-01054
19925537
8-KDocument Current report, items 8.01 and 9.01
Acc-no: 0001193125-19-183122 (34 Act) Size: 130 KB
2019-06-27814-01054
19922841
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-19-139635 (34 Act) Size: 1 MB
2019-05-07814-01054
19803189
EFFECTDocument Notice of Effectiveness
Acc-no: 9999999995-19-000655 (33 Act) Size: 1 KB
2019-04-10333-223999
19742748
CORRESPDocument [Cover]Correspondence
Acc-no: 0001193125-19-101757 Size: 40 KB
2019-04-09
POS 8CDocument Post-effective amendments filed by certain investment companies [Section 8(c)]
Acc-no: 0001193125-19-101750 (33 Act) Size: 3 MB
2019-04-09333-223999
19739934
40-17GDocument Fidelity Bond [Rule 17G-1(g)]
Acc-no: 0001193125-19-037973 (40 Act) Size: 509 KB
2019-02-13814-01054
19597245
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-19-029532 (34 Act) Size: 882 KB
2019-02-06 814-01054
19571630
POS 8CDocument Post-effective amendments filed by certain investment companies [Section 8(c)]
Acc-no: 0001193125-18-353378 (33 Act) Size: 3 MB
2018-12-1933-223999
181243958
8-K/ADocument [Amend] Current report, item 5.07
Acc-no: 0001193125-18-353245 (34 Act) Size: 15 KB
2018-12-19814-01054
181243556
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-18-345555 (34 Act) Size: 36 KB
2018-12-10814-01054
181224892
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-18-344975 (34 Act) Size: 26 KB
2018-12-07814-01054
181223882
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-18-338760 (34 Act) Size: 36 KB
2018-11-30814-01054
181206013
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-18-336626 (34 Act) Size: 27 KB
2018-11-28814-01054
181166883
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-18-320990 (34 Act) Size: 970 KB
2018-11-07814-01054
181166883
8-KDocument Current report, items 5.07 and 9.01
Acc-no: 0001193125-18-320937 (34 Act) Size: 24 KB
2018-11-07814-01054
181166578
DEFA 14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-18-320903 (34 Act) Size: 19 KB
2018-11-07814-01054
181166431
40-APP/ADocument [Amend] Application for exemption and other relief filed under the Investment Company Act of 1940
Acc-no: 0001193125-18-307743 (40 Act) Size: 133 KB
2018-10-25812-14850
181139102
DEFA 14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-18-305330 (34 Act) Size: 35 KB
2018-10-23814-01054
181134437
DEFA 14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-18-305315 (34 Act) Size: 49 KB
2018-10-23814-01054
181134403
DEF 14ADocument Other definitive proxy statements
Acc-no: 0001193125-18-278752 (34 Act) Size: 406 KB
2018-09-20814-01054
181079612
10-KDocument Annual report [Section 13 and 15(d), not S-K Item 405]
Acc-no: 0001193125-18-266247 (34 Act) Size: 1 MB
2018-09-04814-01054
181052702
PRE 14ADocument Other preliminary proxy statements
Acc-no: 0001193125-18-265078 (34 Act) Size: 399 KB
2018-08-31814-01054
181050469
CERTDocument Acc-no: 0001354457-18-000251 (34 Act) Size: 137 KB2018-07-13001-36300
18951726
8-A12BDocument Registration of securities [Section 12(b)]
Acc-no: 0001193125-18-211370 (34 Act) Size: 21 KB
2018-07-02001-36300
18932815
POS EXDocument Post-effective amendment adding exhibits to registration statement [Rule 462(d)]
Acc-no: 0001193125-18-211352 (33 Act) Size: 337 KB
2018-07-02333-223999
18932715
497Document Definitive materials
Acc-no: 0001193125-18-207593 (33 Act) Size: 3 MB
2018-06-28333-223999
18925433
497ADDocument Filing by certain investment companies of Rule 482 advertising [Rule 497 and 482(c)]
Acc-no: 0001193125-18-206636 (33 Act) Size: 19 KB
2018-06-28333-223999
18923237
497ADDocument Filing by certain investment companies of Rule 482 advertising [Rule 497 and 482(c)]
Acc-no: 0001193125-18-206041 (33 Act) Size: 11 KB
2018-06-28333-223999
18922817
305B2Document Filing [Trust Indenture Act]
Acc-no: 0001193125-18-204828 (33 Act) Size: 232 KB
2018-06-27333-223999
18920632
497Document Definitive materials
Acc-no: 0001193125-18-204825 (33 Act) Size: 3 MB
2018-06-27333-223999
18920619
497ADDocument Filing by certain investment companies of Rule 482 advertising [Rule 497 and 482(c)]
Acc-no: 0001193125-18-204823 (33 Act) Size: 10 KB
2018-06-27333-223999
18920616
N-2/ADocument [Amend] Registration statement for closed-end investment companies
Acc-no: 0001193125-18-180498 (33 Act) Size: 4 MB
2018-05-31333-223999
18872563
4Document Statement of changes in beneficial ownership of securities
Acc-no: 0000899243-18-013394 (34 Act) Size: 4 KB
2018-05-18814-01054
18846133
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001398344-18-007120 (34 Act) Size: 952 KB
2018-05-08814-01054
18814617
8-KDocument Current report, item 8.01
Acc-no: 0001193125-18-152801 (34 Act) Size: 14 KB
2018-05-04814-01054
18808149
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001398344-18-001685 (34 Act) Size: 913 KB
2018-02-07814-01054
18581164
40-17GDocument Fidelity Bond [Rule 17G-1(g)]
Acc-no: 0001398344-18-001623 (40 Act) Size: 887 KB
2018-02-06814-01054
18577682
SC 13GDocument Statement of acquisition of beneficial ownership by individuals
Acc-no: 0000919574-18-000005 (34 Act) Size: 110 KB
2018-01-02005-88002
18500720
8-K/ADocument [Amend] Current report, item 5.07
Acc-no: 0001193125-17-377682 (34 Act) Size: 19 KB
2017-12-22814-01054
171272894
40-APPDocument Application for exemption and other relief filed under the Investment Company Act of 1940
Acc-no: 0001193125-17-368332 (40 Act) Size: 141 KB
2017-12-13812-14850
171254217
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-17-360768 (34 Act) Size: 28 KB
2017-12-05814-01054
171238628
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-17-358924 (34 Act) Size: 140 KB
2017-12-01814-01054
171234363
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-17-357332 (34 Act) Size: 18 KB
2017-11-30814-01054
171231463
8-KDocument Current report, items 1.01, 1.02, 2.03, and 9.01
Acc-no: 0001193125-17-352425 (34 Act) Size: 1 MB
2017-11-27814-01054
171223084
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-17-346961 (34 Act) Size: 25 KB
2017-11-17814-01054
171211144
4Document Statement of changes in beneficial ownership of securities
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2017-11-15814-01054
171205357
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-17-340031 (34 Act) Size: 31 KB
2017-11-13814-01054
171193527
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-17-339116 (34 Act) Size: 46 KB
2017-11-13814-01054
171192351
8-KDocument Current report, items 5.07 and 9.01
Acc-no: 0001193125-17-337264 (34 Act) Size: 26 KB
2017-11-08814-01054
171186813
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-17-335882 (34 Act) Size: 19 KB
2017-11-07814-01054
171184189
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001398344-17-014332 (34 Act) Size: 1 MB
2017-11-07814-01054
171183483
POS 8CDocument Statement of changes in beneficial ownership of securities
Acc-no: 0000899243-17-021981 Size: 9 KB
2017-10-18333-201432
171143216
10-K/ADocument[Amend] Annual report [Section 13 and 15(d), not S-K Item 405]
Acc-no: 0001193125-17-304668 (34 Act) Size: 86 KB
2017-10-05814-01054
171124890
DEF 14ADocument Other definitive proxy statements
Acc-no: 0001193125-17-288662 (34 Act) Size: 392 KB
2017-09-20814-01054
171093217
4Document Statement of changes in beneficial ownership of securities
Acc-no: 0000899243-17-021981 Size: 9 KB
2017-09-13
8-K/ADocument [Amend] Current report, items 4.01 and 9.01
Acc-no: 0001193125-17-281799 (34 Act) Size: 31 KB
2017-09-11814-01054
171079121
10-KDocument Annual report [Section 13 and 15(d), not S-K Item 405]
Acc-no: 0001193125-17-277801 (34 Act) Size: 1 MB
2017-09-06814-01054
171071428
PRE 14ADocument Other preliminary proxy statements
Acc-no: 0001193125-17-274640 (34 Act) Size: 391 KB
2017-09-01814-01054
171064431
8-KDocument Current report, items 4.01 and 9.01
Acc-no: 0001193125-17-271973 (34 Act) Size: 27 KB
2017-08-29814-01054
171058089
POS 8CDocument Post-effective amendments filed by certain investment companies [Section 8(c)]
Acc-no: 0001193125-17-257430 (33 Act) Size: 2 MB
2017-08-15333-201432
171031903
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-17-165843 (34 Act) Size: 831 KB
2017-05-10814-01054
17830226
SC 13G/ADocument[Amend] Statement of acquisition of beneficial ownership by individuals
Acc-no: 0001013228-17-000627 (34 Act) Size: 11 KB
2017-04-10005-88002
17754139
4DocumentStatement of changes in beneficial ownership of securities
Acc-no: 0000899243-17-008346 Size: 12 KB
2017-03-22
8-KDocument Current report, items 1.01, 2.03, and 9.01
Acc-no: 0001193125-17-065702 (34 Act) Size: 1 MB
2017-03-01814-01054
17654121
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-17-034611 (34 Act) Size: 818 KB
2017-02-08814-01054
17582539
40-17GDocument Fidelity Bond [Rule 17G-1(g)]
Acc-no: 0001193125-17-032612 (40 Act) Size: 517 KB
2017-02-07814-01054
17577432
8-KDocument Current report, item 5.07
Acc-no: 0001193125-16-795811 (34 Act) Size: 17 KB
2016-12-16814-01054
162056435
EFFECTDocument Notice of Effectiveness
Acc-no: 9999999995-16-006432 (33 Act) Size: 1 KB
2016-12-12333-201432
162047530
CORRESPDocument [Cover]Correspondence
Acc-no: 0001193125-16-789702 Size: 4 KB
2016-12-09
CORRESPDocument Cover]Correspondence
Acc-no: 0001193125-16-789694 Size: 28 KB
2016-12-09
POS 8CDocument Post-effective amendments filed by certain investment companies [Section 8(c)]
Acc-no: 0001193125-16-789691 (33 Act) Size: 2 MB
2016-12-09333-201432
162044229
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-16-769716 (34 Act) Size: 40 KB
2016-11-16814-01054
162002214
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-16-768997 (34 Act) Size: 44 KB
2016-11-15814-01054
162000404
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-16-764491 (34 Act) Size: 17 KB
2016-11-09814-01054
161985028
10-QDocument Quarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-16-764324 (34 Act) Size: 1 MB
2016-11-09814-01054
161984241
8-KDocument Current report, items 5.07 and 9.01
Acc-no: 0001193125-16-761890 (34 Act) Size: 22 KB
2016-11-07814-01054
161979261
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-16-759062 (34 Act) Size: 16 KB
2016-11-03814-01054
161972774
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-16-745309 (34 Act) Size: 52 KB
2016-10-24814-01054
161948801
DEFA14ADocument Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Acc-no: 0001193125-16-742841 (34 Act) Size: 40 KB
2016-10-20814-01054
161944715
POS 8CDocument Post-effective amendments filed by certain investment companies [Section 8(c)]
Acc-no: 0001193125-16-738667 (33 Act) Size: 2 MB
2016-10-14333-201432
161937171
DEF 14ADocument Other definitive proxy statements
Acc-no: 0001144204-16-124164 (34 Act) Size: 2 MB
2016-09-16814-01054
161888173
10-KDocument Annual report [Section 13 and 15(d), not S-K Item 405]
Acc-no: 0001144204-16-122036 (34 Act) Size: 2 MB
2016-08-30814-01054
161860882
PRE 14ADocument Other preliminary proxy statements
Acc-no: 0001144204-16-121430 (34 Act) Size: 673 KB
2016-08-26814-01054
161854188
3DocumentInitial statement of beneficial ownership of securities
Acc-no: 0001144204-16-106299 Size: 9 KB
2016-06-01
4DocumentStatement of changes in beneficial ownership of securities
Acc-no: 0001144204-16-102265 Size: 7 KB
2016-05-16
8-KDocumentCurrent report, items 5.02, 8.01, and 9.01
Acc-no: 0001144204-16-099945 (34 Act) Size: 21 KB
2016-05-09814-01054
161632248
10-QDocumentQuarterly report [Sections 13 or 15(d)]
Acc-no: 0001144204-16-099893 (34 Act) Size: 860 KB
2016-05-09814-01054
161631635
8-KDocumentCurrent report, item 5.02
Acc-no: 0001144204-16-095280 (34 Act) Size: 14 KB
2016-04-20814-01054
161581554
APP WDGDocumentAcc-no: 9999999997-16-022341 (40 Act) Size: 203 KB2016-04-18812-14369
161576577
APP WDDocumentWithdrawal of an Application for exemption [Section 12(g)] or from filing certain reports [Section 13(a)]
Acc-no: 0001144204-16-094561 (40 Act) Size: 7 KB
2016-04-15812-14369
161573626
SC 13G/ADocument[Amend]Statement of acquisition of beneficial ownership by individuals
Acc-no: 0001193125-16-462002 (34 Act) Size: 150 KB
2016-02-12005-88002
161418068
SC 13GDocumentStatement of acquisition of beneficial ownership by individuals
Acc-no: 0001013228-16-003315 (34 Act) Size: 11 KB
2016-02-10814-01054
161404273
10-QDocumentQuarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-16-453843 (34 Act) Size: 774 KB
2016-02-08814-01054
161395822
3DocumentInitial statement of beneficial ownership of securities
Acc-no: 0000899243-16-012639 (34 Act) Size: 3 KB
2016-02-03
40-17GDocumentFidelity Bond [Rule 17G-1(g)]
Acc-no: 0001193125-16-447646 (40 Act) Size: 446 KB
2016-02-02814-01054
161380995
4DocumentStatement of changes in beneficial ownership of securities
Acc-no: 0000899243-15-009942 (34 Act) Size: 10 KB
2015-12-16
4DocumentStatement of changes in beneficial ownership of securities
Acc-no: 0000899243-15-009698 Size: 4 KB
2015-12-11
EFFECTDocumentNotice of Effectiveness
Acc-no: 9999999995-15-003223 (33 Act) Size: 1 KB
2015-12-09333-201432
151279552
CORRESPDocument[Cover]Correspondence
Acc-no: 0001193125-15-397889 Size: 44 KB
2015-12-08
CORRESPDocument[Cover]Correspondence
Acc-no: 0001193125-15-397884 Size: 4 KB
2015-12-08
POS 8CDocumentPost-effective amendments filed by certain investment companies [Section 8(c)]
Acc-no: 0001193125-15-397880 (33 Act) Size: 2 MB
2015-12-08333-201432
151276431
4DocumentStatement of changes in beneficial ownership of securities
Acc-no: 0000899243-15-009254 (34 Act) Size: 4 KB
2015-12-03
4DocumentStatement of changes in beneficial ownership of securities
Acc-no: 0000899243-15-008715 (34 Act) Size: 5 KB
2015-11-23
4DocumentStatement of changes in beneficial ownership of securities
Acc-no: 0000899243-15-008161 (34 Act) Size: 30 KB
2015-11-16
10-QDocumentQuarterly report [Sections 13 or 15(d)]
Acc-no: 0001193125-15-371989 (34 Act) Size: 741 KB
2015-11-09814-01054
151215957
8-KDocumentCurrent report, item 5.07
Acc-no: 0001193125-15-368312 (34 Act) Size: 18 KB
2015-11-05814-01054
151200876
POS 8CDocumentPost-effective amendments filed by certain investment companies [Section 8(c)]
ACC-no: 0001193125-15-343339 (33 Act)  Size: 2 MB
2015-10-14333-201432
151157348
DEF 14ADocumentOther definitive proxy statements
ACC-no: 0001193125-15-322973 (34 Act)  Size: 362 KB
2015-09-18814-01054
151114550
4DocumentStatement of changes in beneficial ownership of securities
ACC-no: 0000899243-15-004923 Size: 6 KB
2015-09-17
4DocumentStatement of changes in beneficial ownership of securities
ACC-no: 0000899243-15-004753 (34 Act)  Size: 5 KB
2015-09-14814-01054
151105981
4DocumentStatement of changes in beneficial ownership of securities
ACC-no: 0000899243-15-004706 (34 Act)  Size: 13 KB
2015-09-14814-01054
151104794
10-KDocumentAnnual report [Section 13 and 15(d), not S-K Item 405]
ACC-no: 0001193125-15-314410 (34 Act) Size: 3 MB
2015-09-08814-01054
151096929
PRE 14ADocumentOther preliminary proxy statements
ACC-no: 0001193125-15-306185 (34 Act)  Size: 296 KB
2015-08-28814-01054
151080874
8-KDocumentCurrent report, items 1.01 and 2.03
ACC-no: 0001193125-15-292495 (34 Act) Size: 13 KB
2015-08-17814-01054
151057751
40-APP/ADocument[Amend] Application for exemption and other relief filed under the Investment Company Act of 1940
ACC-no: 0001193125-15-250465 (40 Act) Size: 126 KB
2015-07-10812-14369
15984393
4DocumentStatement of changes in beneficial ownership of securities
ACC-no: 0001209191-15-044364 Size: 7 KB
2015-05-19
8-KDocumentCurrent report, item 5.02
ACC-no: 0001193125-15-192045 (34 Act) Size: 12 KB
2015-05-18814-01054
15873837
10-QDocumentQuarterly report [Sections 13 or 15(d)]
ACC-no: 0001193125-15-181920 (34 Act) Size: 791 KB
2015-05-1114-01054
15850795
EFFECTDocumentNotice of Effectiveness 
ACC-no: 9999999995-15-000544 (33 Act) Size: 1 KB
2015-03-06
16:00:00
333-201432
15683343
CORRESPDocument[Cover] Correspondence 
ACC-no: 0001193125-15-078913 Size: 4 KB
2015-03-05
CORRESPDocument[Cover] Correspondence 
ACC-no: 0001193125-15-078896 Size: 91 KB
2015-03-05
N-2/ADocument[Amend] Registration statement for closed-end investment companies
ACC-no: 0001193125-15-078883 (33 Act) Size: 3 MB
2015-03-05333-201432
15677818
SC 13GDocumentStatement of acquisition of beneficial ownership by individuals 
ACC-no: 0001193125-15-045297 (34 Act) Size: 155 KB
2015-02-12005-88002
15601807
40-APP/ADocument[Amend] Application for exemption and other relief filed under the Investment Company Act of 1940 
ACC-no: 0001193125-15-041039 (40 Act) Size: 123 KB
2015-02-10812-14369
15592183
CORRESPDocument[Cover] Correspondence 
ACC-no: 0001193125-15-041020 Size: 195 KB
2015-02-10
40-17GDocumentFidelity Bond [Rule 17G-1(g)] 
ACC-no: 0001193125-15-040780 (40 Act) Size: 268 KB
2015-02-10814-01054
15591212
10-QDocumentQuarterly report [Sections 13 or 15(d)] 
ACC-no: 0001193125-15-039178 (34 Act) Size: 760 KB
2015-02-09814-01054
15588792
8-KDocumentCurrent report, items 2.02 and 9.01 
ACC-no: 0001193125-15-011956 (34 Act) Size: 113 KB
2015-01-15814-01054
15530371
N-2Document[Cover] Registration statement for closed-end investment companies 
ACC-no: 0001193125-15-006678 (33 Act) Size: 2 MB
2015-01-09333-201432
15519950
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-076761 Size: 6 KB
2014-12-18
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-076588 Size: 4 KB
2014-12-18
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-076572 Size: 5 KB
2014-12-18
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-075611 Size: 4 KB
2014-12-16
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-070873 Size: 10 KB
2014-11-24
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-070756 Size: 4 KB
2014-11-24
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-070721 Size: 4 KB
2014-11-21
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-070482 Size: 7 KB
2014-11-20
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-070446 Size: 4 KB
2014-11-20
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-070441 Size: 5 KB
2014-11-20
8-KDocumentCurrent report, item 5.07 
ACC-no: 0001193125-14-406163 (34 Act) Size: 20 KB
2014-11-10814-01054
141209180
10-QDocumentQuarterly report [Sections 13 or 15(d)] 
ACC-no: 0001193125-14-406152 (34 Act) Size: 764 KB
2014-11-10 814-01054
141209141
DEFA14ADocumentAdditional definitive proxy soliciting materials and Rule 14(a)(12) material 
ACC-no: 0001193125-14-369360 (34 Act) Size: 40 KB
2014-10-10 814-01054
141153168
40-APPDocumentApplication for exemption and other relief filed under the Investment Company Act of 1940 
ACC-no: 0001193125-14-364774 (40 Act) Size: 122 KB
2014-10-06 812-14369
141143627
8-KDocumentCurrent report, items 1.01, 2.03, and 9.01 
ACC-no: 0001193125-14-362146 (34 Act) Size: 1 MB
2014-10-02
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-060072 Size: 4 KB
2014-09-29
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-059068 Size: 7 KB
2014-09-22
DEF 14ADocumentOther definitive proxy statements 
ACC-no: 0001193125-14-346723 (34 Act) Size: 748 KB
2014-09-19 814-01054
141136837
CORRESPDocument[Cover] Correspondence 
ACC-no: 0001193125-14-346721 Size: 20 KB
2014-09-19
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-058282 Size: 11 KB
2014-09-16
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-058281 Size: 4 KB
2014-09-16
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-057970 Size: 4 KB
2014-09-15
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-057968 Size: 4 KB
2014-09-15
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-057966 Size: 4 KB
2014-09-15
3DocumentInitial statement of beneficial ownership of securities 
ACC-no: 0001209191-14-057728 Size: 7 KB
2014-09-12
10-KDocumentAnnual report [Section 13 and 15(d), not S-K Item 405] 
ACC-no: 0001193125-14-335540 (34 Act) Size: 1 MB
2014-09-08 814-01054
141091252
8-KDocumentCurrent report, item 5.02 
ACC-no: 0001193125-14-335509 (34 Act) Size: 15 KB
2014-09-08 814-01054
141091185
PRE 14ADocument[Cover] Other preliminary proxy statements 
ACC-no: 0001193125-14-317227 (34 Act) Size: 700 KB
2014-08-21 814-01054
141058337
5DocumentAnnual statement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-052271 Size: 16 KB
2014-08-14
5DocumentAnnual statement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-052009 Size: 4 KB
2014-08-12
5DocumentAnnual statement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-052007 Size: 4 KB
2014-08-12
5DocumentAnnual statement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-052006 Size: 10 KB
2014-08-12
5DocumentAnnual statement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-052005 Size: 8 KB
2014-08-12
5DocumentAnnual statement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-052004 Size: 4 KB
2014-08-12
5DocumentAnnual statement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-052003 Size: 4 KB
2014-08-12
5DocumentAnnual statement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-052002 Size: 4 KB
2014-08-12
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-038562 Size: 4 KB
2014-06-03
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-038095 Size: 7 KB
2014-05-30
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-035719 Size: 4 KB
2014-05-21
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-035663 Size: 7 KB
2014-05-20
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-035660 Size: 4 KB
2014-05-20
10-QDocumentQuarterly report [Sections 13 or 15(d)] 
ACC-no: 0001193125-14-199144 (34 Act) Size: 776 KB
2014-05-14 814-01054
14841978
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-032897 Size: 4 KB
2014-05-12
10-QDocumentQuarterly report [Sections 13 or 15(d)] 
ACC-no: 0001193125-14-100053 (34 Act) Size: 673 KB
2014-03-14 814-01054
14694679
40-17GDocumentFidelity Bond [Rule 17G-1(g)] 
ACC-no: 0001193125-14-067583 (40 Act) Size: 281 KB
2014-02-25 814-01054
14641916
SC 13DDocumentGeneral statement of acquisition of beneficial ownership 
ACC-no: 0000950138-14-000181 (34 Act) Size: 158 KB
2014-02-18 005-88002
14620957
3DocumentInitial statement of beneficial ownership of securities 
ACC-no: 0000950138-14-000179 Size: 5 KB
2014-02-18
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-009146 Size: 4 KB
2014-02-11
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-009140 Size: 4 KB
2014-02-11
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-009139 Size: 4 KB
2014-02-11
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-009138 Size: 4 KB
2014-02-11
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-009136 Size: 4 KB
2014-02-11
4DocumentStatement of changes in beneficial ownership of securities 
ACC-no: 0001209191-14-009131 Size: 4 KB
2014-02-11
497DocumentDefinitive materials 
ACC-no: 0001193125-14-040986 (33 Act) Size: 2 MB
2014-02-07 333-192370
14585331
497DocumentDefinitive materials 
ACC-no: 0001193125-14-039028 (33 Act) Size: 2 MB
2014-02-06 333-192370
14581151
DDocumentNotice of Exempt Offering of Securities, item 06c 
ACC-no: 0001140361-14-005067 (33 Act) Size: 11 KB
2014-02-06 021-211454
14580550
DDocumentNotice of Exempt Offering of Securities, item 06c 
ACC-no: 0001140361-14-005063 (33 Act) Size: 11 KB
2014-02-06 021-211454
14580550
497ADDocumentFiling by certain investment companies of Rule 482 advertising [Rule 497 and 482(c)] 
ACC-no: 0001193125-14-037375 (33 Act) Size: 9 KB
2014-02-06 333-192370
14577761
CERTNASDocument[Paper] Certification by the National Association of Securities Dealers Automated Quotation approving securities for listing 
ACC-no: 9999999997-14-008907 (34 Act) Size: 1 KB
2014-02-05 001-36300
14025241
EFFECTDocumentNotice of Effectiveness 
ACC-no: 9999999995-14-000325 (33 Act) Size: 1 KB
2014-02-05
16:00:00
333-192370
14577874
3DocumentInitial statement of beneficial ownership of
securities 
ACC-no: 0001209191-14-007705 Size: 14 KB
2014-02-05
3DocumentInitial statement of beneficial ownership of securities 
ACC-no: 0001209191-14-007650 Size: 7 KB
2014-02-05
3DocumentInitial statement of beneficial ownership of securities 
ACC-no: 0001209191-14-007645 Size: 7 KB
2014-02-05
3DocumentInitial statement of beneficial ownership of securities 
ACC-no: 0001209191-14-007639 Size: 7 KB
2014-02-05
3DocumentInitial statement of beneficial ownership of securities 
ACC-no: 0001209191-14-007629 Size: 7 KB
2014-02-05
3DocumentInitial statement of beneficial ownership of securities 
ACC-no: 0001209191-14-007628 Size: 7 KB
2014-02-05
3DocumentInitial statement of beneficial ownership of securities 
ACC-no: 0001209191-14-007627 Size: 7 KB
2014-02-05
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Michael C. Mauer

Chairman and CEO, CM Finance
Managing Partner, Co-Founder and Co-CIO, CM Investment Partners

Michael Mauer formerly worked for Icahn Capital where he was a Senior Managing Director and a member of the investment team. In addition, he was in charge of the firm’s Marketing and Investor Relations. Prior to that, Mr. Mauer spent over eight years at Citigroup, where he was a Managing Director.  During that time he led several businesses including roles as the Global Co-Head of Leverage Finance and Global Co-Head of Fixed Income Currency and Commodity Distribution. From 1988 to 2001, Mr. Mauer held several positions at JPMorgan including Head of North American Investment Grade and Leverage Loan Syndicate, Sales and Trading businesses.  Mr. Mauer began his career in 1982 at Price Waterhouse & Co. where he was a Senior Accountant and a C.P.A.  Mr. Mauer received a B.S. from the University of Scranton and an M.B.A. from Columbia University.