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SEC Form Types


Annuity Insight collects the following VA and SALB contract-related filings for contract alerts. In addition, the database includes any document filed within a CIK that has also filed one of the listed documents. Some of these are also listed below. While these additional documents are included and searchable in the contract database, there are no contract alerts for such filings. Each document type listed includes the SEC description.

VA Contract Filings
N-4 – Initial registration statement on Form N-4 for separate accounts (unit investment trusts)
N-4/A – Pre-effective amendment to a registration statement on Form N-4 for separate accounts (unit investment trusts)
485APOS – Post-effective amendment filed pursuant to Securities Act Rule 485(a)
485BPOS – Post-effective amendment filed pursuant to Securities Act Rule 485(a)
497 – Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497
EFFECT – Notice of effectiveness
AW – Withdrawal of an amendment to a registration statement
RW – Withdrawal of a registration statement

SALB Contract Filings
S-1 – General form of registration statement for all companies including face-amount certificate companies
S-1/A – Pre-effective amendment
S-3 – Registration statement for specified transactions by certain issuers including face-amount certificate companies
S-3/A – Pre-effective amendment
POS AM – Post-effective amendment to a registration statement that is not immediately effective upon filing
S-3ASR – Automatic shelf registration statement of securities of well-known seasoned issuers (WKSIs); effective upon filing
POSASR – Post-effective amendment to automatic shelf registration statement on form S-3ASR
424B2 – Prospectus filed pursuant to Rule 424(b)(2)
424B3 – Prospectus filed pursuant to Rule 424(b)(3)
EFFECT – Notice of effectiveness
AW – Withdrawal of an amendment to a registration statement
RW – Withdrawal of a registration statement

Some Additional Filings
24F-2NT – Rule 24f-2 notice filed on Form 24F-2
485BXT – Post-effective amendment filed pursuant to Securities Act Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 485(a)
497J – Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497
N-30D – Initial annual and semi-annual reports mailed to investment company shareholders pursuant to Rule 30e-1 (other than those required to be submitted as part of Form N-CSR)
NSAR-U – Annual report for unit investment trusts filed on Form N-SAR
FWP – Free writing prospectus