
|
Regulation S-K EXHIBIT TABLE |
|||||||||||||
| Securities Act Forms |
Exchange Act Forms | ||||||||||||
| S-1 | S-3 | S-43 | S-8 | S-11 | F-1 | F-3 | F-43 | 100 | 8-K5 | 10-DD | 10-Q | 10-K | |
| (1) Underwriting agreement
|
X | X | X | X | X | X | X | X | |||||
| (2) Plan of acquisition,
reorganization, arrangement, liquidation or succession
|
X | X | X | X | X | X | X | X | X | X | X | ||
| (3) (i) Articles of incorporation
|
X | X | X | X | X | X | X | X | X | X | |||
| (3) (ii) Bylaws
|
X | X | X | X | X | X | X | X | X | X | |||
| (4) Instruments defining the rights
of security holders, including indentures
|
X | X | X | X | X | X | X | X | X | X | X | X | X |
| (5) Opinion re legality
|
X | X | X | X | X | X | X | X | |||||
| (7) Correspondence from an
independent accountant regarding non-reliance on a previously issued
audit report or completed interim review
|
X | ||||||||||||
| (8) Opinion re tax matters
|
X | X | X | X | X | X | X | ||||||
| (9) Voting trust agreement
|
X | X | X | X | X | X | X | ||||||
| (10) Material contracts |
X | X | X | X | X | X | X | X | X | ||||
| (11) Statement re computation of per share earnings |
X | X | X | X | X | X | X | X | |||||
| (12) Statements re computation of
ratios
|
X | X | X | X | X | X | X | X | |||||
| (13) Annual report to security
holders, Form 10-Q and 10-QSB, or quarterly report to security holders1
|
X | X | |||||||||||
| (14) Code of Ethics
|
X | X | |||||||||||
| (15) Letter : unaudited interim
financial information
|
X | X | X | X | X | X | X | X | X | ||||
| (16) Letter: change in certifying
accountant4 |
X | X | X | X | X | X | |||||||
| (17) Correspondence - departure of
director
|
X | ||||||||||||
| (18) Letter: change in accounting
principles
|
X | X | |||||||||||
| (19) Report furnished to security
holders |
X | ||||||||||||
| (20) Other documents or statements
to security holders
|
X | ||||||||||||
| (21) Subsidiaries of the registrant
|
X | X | X | X | X | X | X | ||||||
| (22) Published report regarding
matters submitted to vote of security holders
|
X | X | X | ||||||||||
| (23) Consents of experts and counsel
|
X | X | X | X | X | X | X | X | X2 | X | X2 | X2 | |
| (24) Power of attorney
|
X | X | X | X | X | X | X | X | X | X | X | X | X |
| (25) Statement of eligibility of
trustee
|
X | X | X | X | X | X | X | ||||||
| (26) Invitations for competitive
bids
|
X | X | X | X | X | X | |||||||
| (27) through (30) [Reserved] | |||||||||||||
| (31)(i) Rule 13a-14(a)/15d-14(a)
Certifications
|
X | X | |||||||||||
| (31)(ii) Rule
13a-14(d)/15d-14(d) Certifications6
|
X | ||||||||||||
| (32) Section 1350 Certifications
|
X | X | |||||||||||
| (33) Report on assessment of
compliance with servicing criteria for asset-backed securities
|
X | ||||||||||||
| (34) Attestation report on
assessment of compliance with servicing criteria for asset-backed
securities
|
X | ||||||||||||
| (35) Servicer compliance
statement
|
X | ||||||||||||
| (99) Additional exhibits
|
X | X | X | X | X | X | X | X | X | X | X | X | X |
| (100) XBRL-related documents
|
X | X | X | X | |||||||||
_________________
Footnotes
1 Where incorporated by reference into the text of the prospectus and delivered to security holders along with the prospectus as permitted by the registration statement; or, in the case of the Form 10-K, where the annual report to security holders is incorporated by reference into the text of the Form 10-K.
2 Where the opinion of the expert or counsel has been incorporated by reference into a previously filed Securities Act registration statement.
3 An exhibit need not be provided about a company if: (1) With respect to such company an election has been made under Form S-4 or F-4 to provide information about such company at a level prescribed by Forms S-2, S-3, F-2 or F-3 and (2) the form, the level of which has been elected under Forms S-4 or F-4, would not require such company to provide such exhibit if it were registering a primary offering.
4 If required pursuant to Item 304 of Regulation S-K.
5 A Form 8-K exhibit is required only if relevant to the subject matter reported on the Form 8-K report. For example, if the Form 8-K pertains to the departure of a director, only the exhibit described in paragraph (b)(17) of this section need be filed. A required exhibit may be incorporated by reference from a previous filing.
6 Pursuant to §§ 240.13a-13(b)(3) and 240.15d-13(b)(3) of this chapter, asset-backed issuers are not required to file reports on Form 10-Q.
Instructions to the Exhibit Table