S-K 601

S-K 601(a) Exhibits and Index Required

S-K 601(a) Exhibits and index required

Requires exhibits to be filed (a)(1)

Exhibit index (a)(2)

S-K Item

Forms covered (a)(3)

S-K Item
Only applies to Forms specified in Exhibit Table

Material contracts; M&A agreements (a)(4)

S-K Item

Instructions

Instr 1 Updated and corrected exhibits
Instr 2 Substantially identical documents
Instr 3 Originals generally not necessary
Instr 4 Non-electronic filings (Hardship exemption)

S-K 601(b) Description of Exhibits

Exhibit Table

Hyperlinked Exhibit Table

1 Underwriting agreement

S-K 601(b)(1)

S-K Item

Applies to

2 M&A agreement

S-K 601(b)(2)

Plan of acquisition, reorganization, arrangement,
liquidation or succession
S-K Item

Applies to

3(i) Articles of incorporation

S-K 601(b)(3)(i)

S-K Item

Applies to

3(ii) Bylaws

S-K 601(b)(3)(ii)

S-K Item

Applies to

4 Indentures

S-K 601(b)(4)

Instruments defining the rights of security holders, including indentures
S-K Item

Applies to

5 Legal opinion

S-K 601(b)(5)

S-K Item

Applies to

S-1 S-3 S-4 S-8 S-11
F-1 F-3 F-4

7 Auditor letter: Non-reliance on prior financials

S-K 601(b)(7)

S-K Item

Applies to

8 Tax opinion

S-K 601(b)(8)

S-K Item

Applies to

S-1 S-3 S-4 S-11
F-1 F-3 F-4

9 Voting trust agreement

S-K 601(b)(9)

S-K Item

Applies to

10 Material contracts

S-K 601(b)(10)

S-K Item

Applies to

11 Computation of per share earnings

S-K 601(b)(11)

S-K Item

Applies to

12 Computation of ratios

S-K 601(b)(12)

S-K Item

Applies to

13 Incorporation of annual or quarterly report

S-K 601(b)(13)

Annual report to security holders, Form 10-Q and
Form 10-QSB or quarterly report to security holders
S-K Item

Applies to

S-4
10-K

14 Code of ethics

S-K 601(b)(14)

S-K Item

Applies to

10-K
8-K

15 Auditor letter: Interim financials

S-K 601(b)(15)

S-K Item

Applies to

16 Auditor letter: Change in auditor

S-K 601(b)(16)

S-K Item

Applies to

17 Director resignation correspondence

S-K 601(b)(17)

S-K Item

Applies to

18 Change in accounting principles

S-K 601(b)(18)

S-K Item

Applies to

10-K 10-Q

19 Incorporation of report (10-Q Part I)

S-K 601(b)(19)

Report furnished to security holders
S-K Item

Applies to

10-Q

20 Incorporation of other documents

S-K 601(b)(20)

Other documents or statements to security holders
S-K Item

Applies to

21 Subsidiaries

S-K 601(b)(21)

S-K Item

Applies to

22 Results of security holder vote

S-K 601(b)(22)

Published report regarding matters submitted to vote of security holders
S-K Item

Applies to

10-K 10-Q 10-D

23 Consents of experts and counsel

S-K 601(b)(23)

Securities Act filings (b)(23)(i)
Exchange Act reports (b)(23)(ii)

Applies to

24 Power of attorney

S-K 601(b)(24)

S-K Item

Applies to

25 Statement of eligibility of trustee

S-K 601(b)(25)

S-K Item

Applies to

S-1 S-3 S-4 S-11
F-1 F-3 F-4

26 Invitations for competitive bids

S-K 601(b)(26)

S-K Item

Applies to

S-1 S-3 S-4
F-1 F-3 F-4

31(i) CEO - CFO Certifications (§302)

S-K 601(b)(31)(i)

S-K Item

Applies to

10-K 10-Q

31(ii) CEO - CFO Certifications (ABS)

S-K 601(b)(31)(ii)

S-K Item

Applies to

10-K

32 CEO - CFO Certifications (§1350)

S-K 601(b)(32)

S-K Item

Applies to

10-K 10-Q

33 ABS servicing criteria assessment

S-K 601(b)(33)

Report on assessment of compliance with servicing criteria for asset-backed securities
S-K Item

Applies to

10-K

34 ABS attestation report

S-K 601(b)(34)

S-K Item

Applies to

10-K

35 ABS servicer compliance statement

S-K 601(b)(35)

S-K Item

Applies to

10-K

99 Additional exhibits

S-K 601(b)(99)

S-K Item

Applies to

100 XBRL

S-K 601(b)(100)

S-K Item
XBRL

Applies to

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