Submission Types

Datamule currently can parse any html or xml document, as well as most PDF documents thanks to doc2dict, which was written to support the datamule project.

The result is a nested dictionary such as this Parsed Microsoft 10-K.

These dictionaries are further standardized using doc2dict's mapping dict feature. What standardized means is that e.g. 'ITEM 1A RISK FACTORS' is cleaned to 'item1a' to allow easy programmatic extraction.

Below is the skeleton of what will be a complete glossary of every SEC submission type, with the corresponding document types.

Information will include: 1. Short Description of the submission type & document type. 2. Whether the document type has been standardized.

Note: There are a lot of SEC Submissions & Document Types. In the interests of preserving my sanity, I will be heavily using Claude Extended to standardize my notes on this page. I have a lot of documents to read, and many pages of technical pdfs.

Note: I plan to create a timeline for each document for when it is in xml, html, pdf, txt form etc to reflect changes in SEC system. This will be done using a de facto method done through parsing every file.

Note: some of the standardization will have to be de facto, using identified headers, then finding consistency across documents and standardizing names. this will be done due to lack of consistent documentation. Also, might be done for sections that are often shared between companies - huh that seems really cool. Also because we need to find all the different document types. This probably should be done after the archive speed update which will be done after the SGML robustness update.

Note: I should probably talk to a legal or business expert with domain knowledge on the variations.

Note: See:

Google Sheets

1-A-W

1-A

This is XML, so should have table conversion but keys need to be standardized.

PART II AND III

Looks standardizable. Not sure what items to standardize.

EX1A-12 OPN CNSL

EX1A-3 HLDRS RTS

EX1A-4 SUBS AGMT

1

Paper. (Looks like nicely formatted PDF)

1-K

Instructions

1-K

XML.

PART II

Item 1. Business
Item 2. Management's Discussion and Analysis of Financial Condition and Results of Operations
Item 3. Directors and Officers
Item 4. Security Ownership of Management and Certain Securityholders
Item 5. Interest of Management and Others in Certain Transactions
Item 6. Other Information
Item 7. Financial Statements

1-SA

I can't find good documentation on this online. Wayback machine saved a version of the official documentation, but it's clearly incomplete.

1-SA

Standardized, but not sure what the items are due to variation between documents.

See and this.

1-U

Instructions

1-U

Item 1. Fundamental Changes
Item 2. Bankruptcy or Receivership
Item 3. Material Modification to Rights of Securityholders
Item 4. Changes in Issuer's Certifying Accountant
Item 5. Non-reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
Item 6. Changes in Control of Issuer
Item 7. Departure of Certain Officers
Item 8. Certain Unregistered Sales of Equity Securities
Item 9. Other Events
Signatures

1-Z

XML.

10-12B

Instructions

10-12B

Item 1. Business
Item 1A. Risk Factors
Item 2. Financial Information
Item 3. Properties
Item 4. Security Ownership of Certain Beneficial Owners and Management
Item 5. Directors and Executive Officers
Item 6. Executive Compensation
Item 7. Certain Relationships and Related Transactions, and Director Independence
Item 8. Legal Proceedings
Item 9. Market Price of and Dividends on the Registrant's Common Equity and Related Stockholder Matters
Item 10. Recent Sales of Unregistered Securities
Item 11. Description of Registrant's Securities to be Registered
Item 12. Indemnification of Directors and Officers
Item 13. Financial Statements and Supplementary Data
Item 14. Changes in and Disagreements with Accountants on Accounting and Financial Disclosure
Item 15. Financial Statements and Exhibits
Signatures

10-12G

Instructions

10-12G

Item 1. Business
Item 1A. Risk Factors
Item 2. Financial Information
Item 3. Properties
Item 4. Security Ownership of Certain Beneficial Owners and Management
Item 5. Directors and Executive Officers
Item 6. Executive Compensation
Item 7. Certain Relationships and Related Transactions, and Director Independence
Item 8. Legal Proceedings
Item 9. Market Price of and Dividends on the Registrant's Common Equity and Related Shareholder Matters
Item 10. Recent sales of Unregistered Securities
Item 11. Description of Registrant's Securities to Be Registered
Item 12. Indemnification of Directors and Officers
Item 13. Financial Statements and Supplementary Data
Item 14. Changes in and Disagreements with Accountants on Accounting and Financial Disclosure
Item 15. Financial Statements and Exhibits
Signatures

10-D

Instructions

10-D

PART I – DISTRIBUTION INFORMATION - Item 1. Distribution and Pool Performance Information - Item 1A. Asset-Level Information - Item 1B. Asset Representations Reviewer and Investor Communication

PART II – OTHER INFORMATION - Item 2. Legal Proceedings - Item 3. Sales of Securities and Use of Proceeds - Item 4. Defaults Upon Senior Securities - Item 5. [Reserved] - Item 6. Significant Obligors of Pool Assets - Item 7. Change in Sponsor Interest in the Securities - Item 8. Significant Enhancement Provider Information - Item 9. Other Information - Item 10. Exhibits - Signatures

10-K

Instructions

10-K

Part I: - Item 1. Business - Item 1A. Risk Factors - Item 1B. Unresolved Staff Comments - Item 1C. Cybersecurity - Item 2. Properties - Item 3. Legal Proceedings - Item 4. Mine Safety Disclosures

Part II: - Item 5. Market for Registrant's Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities - Item 6. [Reserved] - Item 7. Management's Discussion and Analysis of Financial Condition and Results of Operations - Item 7A. Quantitative and Qualitative Disclosures About Market Risk - Item 8. Financial Statements and Supplementary Data - Item 9. Changes in and Disagreements With Accountants on Accounting and Financial Disclosure - Item 9A. Controls and Procedures - Item 9B. Other Information - Item 9C. Disclosure Regarding Foreign Jurisdictions that Prevent Inspections

Part III: - Item 10. Directors, Executive Officers and Corporate Governance - Item 11. Executive Compensation - Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters - Item 13. Certain Relationships and Related Transactions, and Director Independence - Item 14. Principal Accountant Fees and Services

Part IV: - Item 15. Exhibits and Financial Statement Schedules - Item 16. Form 10-K Summary

Signatures

10-KT

See 10-K

10-Q

Instructions

10-Q

Part I: - Item 1. Financial Statements - Item 2. Management's Discussion and Analysis of Financial Condition and Results of Operations - Item 3. Quantitative and Qualitative Disclosures About Market Risk - Item 4. Controls and Procedures

Part II: - Item 1. Legal Proceedings - Item 1A. Risk Factors - Item 2. Unregistered Sales of Equity Securities and Use of Proceeds - Item 3. Defaults Upon Senior Securities - Item 4. Mine Safety Disclosures - Item 5. Other Information - Item 6. Exhibits

Signatures

11-K

Doesn't seem standardizable.

13F-HR

XML.

INFORMATION TABLE

XML.

13F-NT

XML.

144

XML.

15-12G

Short html document - no need to standardize?

15-15D

Short html document - no need to standardize?

15F-12B

PART I - Item 1. Exchange Act Reporting History - Item 2. Recent United States Market Activity - Item 3. Foreign Listing and Primary Trading Market - Item 4. Comparative Trading Volume Data - Item 5. Alternative Record Holder Information - Item 6. Debt Securities - Item 7. Notice Requirement - Item 8. Prior Form 15 Filers

PART II - Item 9. Rule 12g3-2(b) Exemption

PART III - Item 10. Exhibits - Item 11. Undertakings - Signatures

15F-15D

Short html document - no need to standardize?

17AD-27

Doesn't seem standardizable.

18-K

Might be standardizable.

19B-4E

No documents with information in the SEC archive. Think I need to use the other archive.

20-F

Instructions

20-F

Note: This can be standardized much more. Lot of subsections that are standardized.

PART I - Item 1. Identity of Directors, Senior Management and Advisers - A. Directors and senior management - B. Advisers - C. Auditors - Item 2. Offer Statistics and Expected Timetable - A. Offer statistics - B. Method and expected timetable - Item 3. Key Information - A. Reserved - B. Capitalization and indebtedness - C. Reasons for the offer and use of proceeds - D. Risk factors - Item 4. Information on the Company - A. History and development of the company - B. Business overview - C. Organizational structure - D. Property, plants and equipment - Item 4A. Unresolved Staff Comments - Item 5. Operating and Financial Review and Prospects - A. Operating results - B. Liquidity and capital resources - C. Research and development, patents and licenses, etc - D. Trend information - E. Critical Accounting Estimates - Item 6. Directors, Senior Management and Employees - A. Directors and senior management - B. Compensation - C. Board practices - D. Employees - E. Share ownership - F. Disclosure of a registrant's action to recover erroneously awarded compensation - Item 7. Major Shareholders and Related Party Transactions - A. Major shareholders - B. Related party transactions - C. Interests of experts and counsel - Item 8. Financial Information - A. Consolidated Statements and Other Financial Information - B. Significant Changes - Item 9. The Offer and Listing - A. Offer and listing details - B. Plan of distribution - C. Markets - D. Selling shareholders - E. Dilution - F. Expenses of the issue - Item 10. Additional Information - A. Share capital - B. Memorandum and articles of association - C. Material contracts - D. Exchange controls - E. Taxation - F. Dividends and paying agents - G. Statement by experts - H. Documents on display - I. Subsidiary Information - J. Annual Report to Security Holders - Item 11. Quantitative and Qualitative Disclosures About Market Risk - Item 12. Description of Securities Other than Equity Securities - A. Debt Securities - B. Warrants and Rights - C. Other Securities - D. American Depositary Shares

PART II - Item 13. Defaults, Dividend Arrearages and Delinquencies - Item 14. Material Modifications to the Rights of Security Holders and Use of Proceeds - Item 15. Controls and Procedures - Item 16. Reserved - Item 16A. Audit committee financial expert - Item 16B. Code of Ethics - Item 16C. Principal Accountant Fees and Services - Item 16D. Exemptions from the Listing Standards for Audit Committees - Item 16E. Purchases of Equity Securities by the Issuer and Affiliated Purchasers - Item 16F. Change in Registrant's Certifying Accountant - Item 16G. Corporate Governance - Item 16H. Mine Safety Disclosure - Item 16I. Disclosure Regarding Foreign Jurisdictions that Prevent Inspections - Item 16J. Insider trading policies - Item 16K. Cybersecurity

PART III - Item 17. Financial Statements - Item 18. Financial Statements - Item 19. Exhibits - Signatures

20FR12B

INTRODUCTION AND USE OF CERTAIN TERMS SPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS

PART I - Item 1. Identity of Directors, Senior Management and Advisers - 1.A. Directors and Senior Management - 1.B. Advisers - 1.C. Auditors - Item 2. Offer Statistics and Expected Timetable - Item 3. Key Information - 3.A. Selected Financial Data - 3.B. Capitalization and Indebtedness - 3.C. Reasons for the Offer and Use of Proceeds - 3.D. Risk Factors - Item 4. Information on the Company - 4.A. History and Development of the Company - 4.B. Business Overview - 4.C. Organizational Structure - 4.D. Property, Plants and Equipment - Item 5. Operating and Financial Review and Prospects - 5.A. Operating Results - 5.B. Liquidity and Capital Resources - 5.C. Research and Development, Patents and Licenses, etc. - 5.D. Trend Information - 5.E. Off-Balance Sheet Arrangements - 5.F. Tabular Disclosure of Contractual Obligations - Item 6. Directors, Senior Management and Employees - 6.A. Directors and Senior Management - 6.B. Compensation - 6.C. Board Practices - 6.D. Employees - 6.E. Share Ownership - Item 7. Major Shareholders and Related Party Transactions - 7.A. Major Shareholders - 7.B. Related Party Transactions - 7.C. Interests of Experts and Counsel - Item 8. Financial Information - 8.A. Consolidated Statements and Other Financial Information - 8.B. Significant Changes - Item 9. The Offer and Listing - 9.A. Listing Details - 9.B. Plan of Distribution - 9.C. Markets - 9.D. Selling Shareholders - 9.E. Dilution - 9.F. Expenses of the Issue - Item 10. Additional Information - 10.A. Share Capital - 10.B. Memorandum and Articles of Association - 10.C. Material Contracts - 10.D. Exchange Controls - 10.E. Taxation - 10.F. Dividends and Paying Agents - 10.G. Statement by Experts - 10.H. Documents on Display - 10.I. Subsidiary Information - Item 11. Quantitative and Qualitative Disclosures About Market Risk - Item 12. Description of Securities Other than Equity Securities - 12.A. Debt Securities - 12.B. Warrants and Rights - 12.C. Other Securities - 12.D. American Depositary Shares

PART II - Item 13. Defaults, Dividend Arrearages and Delinquencies - Item 14. Material Modifications to the Rights of Security Holders and Use of Proceeds - Item 15. Controls and Procedures - Item 16. [Reserved] - 16.A. Audit Committee Financial Experts - 16.B. Code of Ethics - 16.C. Principal Accountant Fees and Services - 16.D. Exemptions from the Listing Standards for Audit Committees - 16.E. Purchases of Equity Securities by the Issuer and Affiliated Purchasers - 16.F. Change in Registrant's Certifying Accountant - 16.G. Corporate Governance

PART III - Item 17. Financial Statements - Item 18. Financial Statements - Item 19. Exhibits - Signatures

24F-2NT

XML.

25

HTML. We can do something cool here with the checkmark.

25-NSE

XML.

253G1, 253G2, 253G3

Looks standardizable, can't find docs.

Insider Trading Disclosures

3

XML.

4

XML.

5

XML.

305B2

Can't find docs.

40-17F1, 40-17F2

Doesn't look standardizable

40-17G

Doesn't look standardizable

40-17GCS

Doesn't look standardizable

40-24B2

Doesn't look standardizable

40-33

Doesn't look standardizable

40-6B

Can't find docs.

40-8B25

Can't find docs

40-APP

Cant find docs

40-F

Looks standardizable as well as other documents besides root form

40FR12B/A

Can't find docs

424B1 through 424B8

Can't find docs

424H

Can't find docs

424I

Neat. Looks like will need a custom parser for exhibit tables.

425

Can't standardize - random biz communications.

485APOS

can't find docs

485BPOS

can't find docs

486BXT

Looks like it's checkboxes again! will be fun.

487

cant find docs

497

Can't standardize.

497AD

Can't standardize.

497J

Can't standardize.

497K

Can't standardize

497VPI

Can't standardize

497VPSUB

Can't standardize.

497VPU

Can't standardize.

6-K

Can't standardize.

8-A12B

Item 1. Description of Registrant’s Securities to be Registered. Item 2. Exhibits.

8-A12G

Item 1. Description of Registrant’s Securities to be Registered. Item 2. Exhibits.

8-K

Instructions

8-K

Item 1.01. Entry into a Material Definitive Agreement
Item 1.02. Termination of a Material Definitive Agreement
Item 1.03. Bankruptcy or Receivership
Item 1.04. Mine Safety – Reporting of Shutdowns and Patterns of Violations
Item 1.05. Material Cybersecurity Incidents
Item 2.01. Completion of Acquisition or Disposition of Assets
Item 2.02. Results of Operations and Financial Condition
Item 2.03. Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
Item 2.04. Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
Item 2.05. Costs Associated with Exit or Disposal Activities
Item 2.06. Material Impairments
Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
Item 3.02. Unregistered Sales of Equity Securities
Item 3.03. Material Modification to Rights of Security Holders
Item 4.01. Changes in Registrant's Certifying Accountant
Item 4.02. Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
Item 5.01. Changes in Control of Registrant
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
Item 5.04. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
Item 5.05. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
Item 5.06. Change in Shell Company Status
Item 5.07. Submission of Matters to a Vote of Security Holders
Item 5.08. Shareholder Director Nominations
Item 6.01. ABS Informational and Computational Material
Item 6.02. Change of Servicer or Trustee
Item 6.03. Change in Credit Enhancement or Other External Support
Item 6.04. Failure to Make a Required Distribution
Item 6.05. Securities Act Updating Disclosure
Item 6.06. Static Pool
Item 7.01. Regulation FD Disclosure
Item 8.01. Other Events
Item 9.01. Financial Statements and Exhibits

8-K12B

Pretty sure this is just a specific case of an 8-K

8-K12B

See 8-K

8-K12G3

Pretty sure this is just a specific case of an 8-K

8-K12G3

See 8-K

8-K15D5

Pretty sure this is just a specific case of an 8-K

8-K15D5

See 8-K

ABS-15G

Instructions

ABS-15G

Part I: - Item 1.01 Initial Filing of Rule 15Ga-1 Representations and Warranties Disclosure - Item 1.02 Periodic Filing of Rule 15Ga-1 Representations and Warranties Disclosure - Item 1.03 Notice of Termination of Duty to File Reports under Rule 15Ga-1

Part II: Findings and Conclusions of Third-Party Due Diligence Reports: - Item 2.01 Findings and Conclusions of a Third Party Due Diligence Report Obtained by the Issuer - Item 2.02 Findings and Conclusions of a Third-Party Due Diligence Report Obtained by the Underwriter

Signatures

ABS-EE

EX-102

XML.

EX-103

XML.

ANNLRPT

Can't find docs.

APP NTC

This has not been implemented yet - need to rejig pdf parser mapping dict to use underline agency action summary applicants filing hearing addresses further contact supplementary information

APP ORDR

After pdf parser rejig, look at this.

APP WD

Can't standardize.

APP WDG

Can standardize, but not sure if need to?

ARS

Can't find docs.

ATS-N

Come back later.

ATS-N/CA

ATS-N/MA

ATS-N/OFA

ATS-N/UA

AW

Huh, looks like it might be interesting to standardize this.

AW

AW WD

Huh, looks like it might be interesting to standardize this.

AW WD

C

XML.

C-AR

XML.

C-TR

XML.

C-TR-W

XML.

C-U

XML.

C-U-W

XML.

C-W

XML.

CB

Instructions

CB

PART I - INFORMATION SENT TO SECURITY HOLDERS Item 1. Home Jurisdiction Documents Item 2. Informational Legends PART II - INFORMATION NOT REQUIRED TO BE SENT TO SECURITY HOLDERS PART III - CONSENT TO SERVICE OF PROCESS PART IV - SIGNATURES

CERT

Can't standardize.

CFPORTAL

XML.

CFPORTAL-W

XML.

CORRESP

Maybe standardize - same letter format so i think so?

CORRESP

CT ORDER

Do not standardize yet. If someone asks.

CT ORDER

D

XML

Proxy Statements

DEF 14C DEFA14A DEFA14C DEFC14A DEFM14A DEFM14C DEFR14A DFAN14A DFRN14A Going to sit on these a bit. I need a valid use case from someone to justify time commitment.

DEL AM

Letter format. might standardize.

DRS

Standardization might be possible. DRS contains eg s1, f1 etc.

DRSLTR

Letter format

DSTRBRPT

This looks neat will add basic standardization.

DSTRBRPT

Item 1. Description of Securities Item 2. Distribution of Securities Item 3. Distribution Spread Item 4. Discounts and Commissions to Sub-Underwriters and Dealers Item 5. Other Expenses of Distribution Item 6. Application of Proceeds Item 7. Exhibits

EFFECT

XML.

F-1

F-1 F-1/A F-10 F-10/A F-1MEF F-3 F-3/A F-3ASR F-3MEF F-4 F-4/A F-6 F-6 POS F-6/A F-6EF F-N F-X F-X/A Standardize this. Read the docs https://www.sec.gov/files/formf-1.pdf

FOCUSN

Nothing to standardize. It's just an empty PAPER document.

FWP

Can't standardize this.

IRANNOTICE

N/A.

MA

XML.

MA-I

XML.

MA-W

XML.

TODO

N-14 N-14 8C N-14 8C/A N-14/A N-1A N-2 N-2/A N-23C-2 N-23C3A N-23C3A/A N-2ASR N-2MEF N-30B-2 N-30D N-4 N-54A N-54C N-6 N-6F/A N-8A N-8A/A N-8B-2/A N-8F N-8F NTC N-8F ORDR N-8F/A

might be able to standardize. need use case.

N-18F1

Notification of Election Signatures

N-CEN

XML.

N-CSR

I think I can standardize this?

N-CSRS

Item 1. Report to Stockholders Item 2. Code of Ethics Item 3. Audit Committee Financial Expert Item 4. Principal Accountant Fees and Services. Item 5. Audit Committee of Listed Registrants. Item 6. Investments. Item 7. Financial Statements and Financial Highlights for Open-End Management Investment Companies. Item 8. Changes in and Disagreements with Accountants for Open-End Management Investment Companies. Item 9. Proxy Disclosures for Open-End Management Investment Companies. Item 10. Remuneration Paid to Directors, Officers, and Others of Open-End Management Investment Companies. Item 11. Statement Regarding Basis for Approval of Investment Advisory Contract. Item 12. Disclosure of Proxy Voting Policies and Procedures for Closed-End Management Investment Companies. Item 13. Portfolio Managers of Closed-End Management Investment Companies. Item 14. Purchases of Equity Securities by Closed-End Management Investment Company and Affiliated Purchasers. Item 15. Submission of Matters to a Vote of Security Holders. Item 16. Controls and Procedures. Item 17. Disclosure of Securities Lending Activities for Closed-End Management Investment Companies Item 18. Recovery of Erroneously Awarded Compensation. Item 19. Exhibits. SIGNATURES

EX-99.CERT

I standardized this - don't think it matters as it is just legalese.

EX-99.906CT

N-MFP3

XML.

N-PX

XML.

PROXY VOTING RECORD

XML.

N-VP

Can't standardize.

N-VPFS

Can't standardize. Would be fun to extract tables, and standardize them into a database.

NPORT-P

XML.

NPORT-EX

I think we can do something cool here.

NRSRO-CE

This would be fun to standardize (pdf). Not sure I can justify time commitment.

NRSRO-UPD

This would be fun to standardize (pdf). Not sure I can justify time commitment.

Notices

Notices are a bit confusing and will require a more indepth look.

Weird stuff: NT N-CEN NT NPORT-P

NT-10K, NT-10Q, NT 20-F, NT-NCEN, NT-NCSR, NTFNCEN, NTFNCSR

Part I — Registrant Information
Part II — Rules 12b-25(b) and (c)
Part III — Narrative
Part IV — Other Information

POS AM

Can't standardize? So neat things with these guys is that they contain different forms, which can be standardized, but I think to do so we have to extract form number from the html.

POS AMI

Can't standardize?

POS EX

Can't standardize?

POSASR

Can't standardize?

PRE 14A

Might be able to standardize.

PRE 14C

Might be able to standardize.

PREC14A

Might be able to standardize.

TODO

PREM14A PREM14C PRER14A PRER14C PRRN14A

PX14A6G

Can't standardize

QRTLYRPT

Might be able to standardize.

QUALIF

XML.

REVOKED

PDF. we can standardize this - wait for the pdf2dict update.

RW

Letter format.

RW WD

Letter format.

S-1

https://www.sec.gov/files/forms-1.pdf

We can standardize.

S-11

we can standardize https://www.sec.gov/files/forms-11.pdf

S-11MEF, S-1MEF, S-4MEF

probably standardize.

S-3, S-3ASR, S-3MEF

Yep, standardize like S-1.

S-3DPOS

Can't standardize - multiple form thingy?

skipping some other S- documents bc lazy

S-6 S-6/A S-8 S-8 POS S-B S-B/A

SBSE-A

XML.

SBSE-BD

XML.

SBSE

XML.

SBSEF

XML.

SC 13E3

I standardized this. Can't find the docs for specific items.

SC 14D9

Items, Annex, Signatures

SC 14F1

Looks like I can standardize but weirdness in variation

SC 14N

can standardize

SC TO-C

another filing which contains multiple filings

SC TO-I, SC TO-T, SC14D9C

can standardize?

SCHEDULE 13D

XML.

SCHEDULE 13G

XML

SD

Instructions

SD

Item 1.01 Conflict Minerals Disclosure and Report
Item 1.02 Exhibit
Item 2.01 Resource Extraction Issuer Disclosure and Report
Item 3.01 Exhibits

SEC STAFF ACTION

PDF. parser here looks fun!

SEC STAFF LETTER

PDF. Lots of types here, looks fun!

SF-1, SF-3

Same s-1 type standardization stuff

SP 15D2

This is basically a 10-K (has 10-K cover!) but filed under special circumstances See

SUPPL

Can't be standardized.

T-3

GENERAL

General Information
Securities Act exemption applicable

AFFILIATIONS

Affiliates.

MANAGEMENT AND CONTROL 4. Directors and executive officers 5. Principal owners of voting securities

UNDERWRITERS

Underwriters.

CAPITAL SECURITIES

Capitalization.

INDENTURE SECURITIES

Analysis of indenture provisions.
Other obligors.
SIGNATURE

TA-1

XML.

TA-2

XML.

TA-W

XML.

UPLOAD

Huh, would be cool do to something here.

LETTER

TEXT-EXTRACT

X-17A-5

XML.

FULL

Seems like mix of scan and text pdf.

AUDITED FINANCIAL STATEMENTS

Might be possible? https://www.sec.gov/Archives/edgar/data/2044949/000109690625000882/ex_b_audited_financial.pdf

JOINT FIRM INTENTION ANNOUNCEMENT

https://www.sec.gov/Archives/edgar/data/1921865/000147793225004069/aspi_ex993.htm

PRESS RELEASE

https://www.sec.gov/Archives/edgar/data/1921865/000147793225004069/aspi_ex994.htm

EX-FILING FEES

https://www.sec.gov/Archives/edgar/data/1775194/000147793225004119/upxi_ex107.htm

Signatures

Submission Types

1-A-W

1-A-W

1-A

1-A

PART II AND III

EX1A-11 CONSENT

EX1A-12 OPN CNSL

EX1A-3 HLDRS RTS

EX1A-4 SUBS AGMT

1

1

1-K

1-K

PART II

EX1K-11 CONSENT

1-SA

1-SA

1-U

1-U

1-Z

1-Z

10-12B

10-12B

10-12G

10-12G

10-D

10-D

10-K

10-K

10-KT

10-KT

10-Q

10-Q

11-K

11-K

13F-HR

13F-HR

INFORMATION TABLE

13F-NT

13F-NT

144

144

15-12G

15-12G

15-15D

15-15D

15F-12B

15F-12B

15F-15D

15F-15D

17AD-27

17AD-27

18-K

18-K

19B-4E

19B-4E

20-F

20-F

20FR12B

20FR12B

24F-2NT

24F-2NT

25

25

25-NSE

25-NSE

253G1, 253G2, 253G3

253G1, 253G2, 253G3

Insider Trading Disclosures

3

3

4

4

5

5

305B2

305B2

40-17F1, 40-17F2

40-17F1, 40-17F2