2020 SEC Filing Dates

2020 SEC Filing Dates

(Based on 12/31 Fiscal Year End, unless otherwise noted)

Note: When a deadline falls on a weekend or holiday, the filing deadline is moved to the next business day after the deadline.

Month January February March

April May

June July August

September October November

December

Submission Type N-MFP2 N-CEN (10/31) N-MFP2 N-CEN (11/30) 13G & 13G/A, 13H-A 13F 5 10-K N-PORT-NP, N-PORT-P NT 10-K N-MFP2 N-CSR, N-30D NT NCSR 10-K N-CEN NT 10-K Late 10-K Late N-CSR 24F-2 10-K Late 10-K 13H-Q NT 10-K N-MFP2 Late 10-K N-CEN (1/31) Proxy Statement or 10-K/A 20-F or 40-F NT 20-F N-MFP2 10-Q NT 10-Q N-CEN (2/29) Late 20-F 10-Q 13F NT 10-Q Late 10-Q Late 10-Q N-Q N-PORT-NP, N-PORT-P N-MFP2 N-CEN (3/31) 11-K NT 11-K, 13H-Q N-MFP2 N-CEN (4/30) Late 11-K N-MFP2 10-Q NT 10-Q 10-Q 13F N-CEN (5/31) NT 10-Q Late 10-Q Late 10-Q N-PORT-NP, N-PORT-P N-PX N-CSRS, N-30D, N-MFP2 NT NCSR N-CEN (6/30) Late N-CSR 13H-Q N-MFP2 N-CEN (7/31) N-MFP2 10-Q NT 10-Q Late 10-Q 10-Q 13F, N-CEN (8/31) NT 10-Q Late 10-Q N-PORT-NP, N-PORT-P N-MFP2 N-CEN (9/30) 13H-Q

Due Date 8 (Wed) 14 (Tue) 7 (Fri) 13 (Thurs) 14 (Fri) 14 (Fri) 14 (Fri) 2 (Mon) 2 (Mon) 3 (Tue) 6 (Fri) 10 (Tue) 11 (Wed) 16 (Mon) 16 (Mon) 17 (Tue) 17 (Tue) 25 (Wed) 30 (Mon) 30 (Mon) 31 (Tue) 31 (Tue) 31 (Tue) 7 (Tue) 14 (Tue) 15 (Wed) 29 (Wed) 30 (Thu) 1 (Fri) 7 (Thu) 11 (Mon) 12 (Tue) 14 (Thurs) 15 (Fri) 15 (Fri) 15 (Fri) 18 (Mon) 18 (Mon) 20 (Wed) 1 (Mon) 1 (Mon) 5 (Fri) 15 (Mon) 29 (Mon) 30 (Tue) 8 (Wed) 14 (Tue) 14 (Tue) 7 (Fri) 10 (Mon) 11 (Tue) 14 (Fri) 14 (Fri) 14 (Fri) 17 (Mon) 17 (Mon) 19 (Wed) 31 (Mon) 31 (Mon) 8 (Tue) 9 (Wed) 14 (Mon) 23 (Wed) 30 (Wed) 7 (Wed) 14 (Wed) 6 (Fri) 9 (Mon) 10 (Tue) 16 (Mon) 16 (Mon) 16 (Mon) 17 (Tue) 23 (Mon) 30 (Mon) 7 (Mon) 11 (Fri) 31 (Thu)

Large Accelerated Filer

Corporate Finance

Non-Accelerated

Filer / Smaller

Accelerated

Reporting

Filer

Company

Investment Management

Command Financial 125 Broad Street New York, NY 10004 212-274-0070 ?2019 Command Financial All rights reserved.

2020 SEC Filing Deadline Highlights

(Based on 12/31 Fiscal Year End, unless otherwise noted)

10-K NT 10-K Late 10-K 10-Q NT 10-Q

Large Accelerated Filer March 2 (Mon)

March 3 (Tue)

March 17 (Tue)

May 11 (Mon)

May 12 (Tue)

Accelerated Filer March 16 (Mon) March 17 (Tue) March 31 (Tue) May 11 (Mon) May 12 (Tue)

NonAccelerated Filer March 30 (Mon)

March 31 (Tue)

April 14 (Tue)

May 15 (Fri)

May 18 (Mon)

Late 10-Q 10-Q NT 10-Q Late 10-Q 10-Q NT 10-Q Late 10-Q

May 18 (Mon) August 10 (Mon) August 11 (Tue) August 17 (Mon) November 9 (Mon) November 10 (Tue) November 16 (Mon)

May 18 (Mon) August 10 (Mon) August 11 (Tue) August 17 (Mon) November 9 (Mon) November 10 (Tue) November 16 (Mon)

May 20 (Wed) August 14 (Fri) August 17 (Mon) August 19 (Wed) November 16 (Mon) November 17 (Tue) November 23 (Mon)

2020 SEC Holidays

(SEC Closed: No EDGAR Filings)

January 1 (Wed)

New Year's Day

January 20 (Mon)

Martin Luther King Jr Day

February 17 (Mon)

President's Day

May 25 (Mon)

Memorial Day

July 3 (Fri)

Independence Day (observed)

September 7 (Mon) Labor Day

October 12 (Mon)

Columbus Day

November 11 (Wed) Veterans Day (observed)

November 26 (Thu) Thanksgiving Day

December 25 (Fri)

Christmas Day

1s t Quarter

2nd Quarter

3r d Quarter

EDGAR Timelines and Requirements for Common SEC Form Types

Corporation Finance: compliance deadlines are indicated below. If due date falls on a weekend or SEC holiday, the filing is due on the next business day.

10-K

For large accelerated filers, due 60 days following fiscal year end; for accelerated filers, due 75 days following fiscal year

end; for non-accelerated filers and smaller reporting companies, due 90 days following fiscal year end.

NT 10-K

Due on the first business day after the 10-K due date.

Late 10-K

After filing an NT 10-K, the deadline for the 10-K is extended 15 calendar days from the actual due date.

Proxy Statement or If Part III of Form 10-K incorporates by reference information from the proxy statement, the proxy statement must file no

10-K/A

later than 120 days after the fiscal year end. If the proxy statement cannot be filed within that 120-day period, an amended

10-K including the Part III information must be filed no later than 120 days after the fiscal year end.

10-Q

For large accelerated filers and accelerated filers, due 40 days following fiscal quarter end; for non-accelerated filers and smaller reporting companies, due 45 days following fiscal quarter end.

NT 10-Q

Due on the first business day after the 10-Q due date.

Late 10-Q

After filing an NT 10-Q, the deadline for the 10-Q is extended five calendar days from the actual due date.

11-K

Due 180 days after the end of the retirement plan year. May file via EDGAR or paper.

NT 11-K

Due on the first business day after the 11-K due date.

Late 11-K

After filing an NT 11-K, the deadline for the 11-K is extended 15 calendar days from the actual due date.

13H-A

All large traders must submit an Annual Filing within 45 days after the end of each full calendar year, except that large

traders on Inactive Status are not required to file Form 13H while they are on Inactive Status.

13H-Q

A large trader must file an Amended Filing promptly following the end of the calendar quarter in which any of the

information contained in a Form 13H filing becomes inaccurate for any reason.

Ownership Form

Form 3

Due either within 10 days after the event by which the individual first becomes a reporting person or no later than the

effective date of the registration statement for an issuer registering securities for the first time. If filed before 10pm, it

receives that day's filing date.

Form 4

Due by the end of the second business day following the transaction. If filed before 10pm, it receives that day's filing date.

Form 5

Due 45 days after the end of the issuer's fiscal year end. If filed before 10pm, it receives that day's filing date.

20-F

A foreign private issuer must file its annual report on this Form within four months after the end of the fiscal year covered by

the report for fiscal years ending on or after December 15, 2011.

NT 20-F

Due on the first business day after the 20-F due date.

Late 20-F

After filing an NT 20-F, the deadline for the 20-F is extended 15 calendar days from the actual due date.

40-F

A Canadian issuer must file its annual report within 120 days after the end of the fiscal year covered by the report.

Investment Management: compliance deadlines are indicated below. If due date falls on a weekend or SEC holiday, the filing is due on the next

business day.

N-CSR(s), N-30D

Must be transmitted to shareholders within 60 days following each half year end. The EDGAR filing is due ten calendar days

following the actual transmittal date.

Registered unit investment trusts only file N-30D.

NT NCSR

Due on the first business day after the N-CSR(S) due date.

Late N-CSR

After filing an NT NCSR, the deadline for the N-CSR(S) is extended 15 calendar days from the due date.

N-PORT-NP

Reports for the first and second months of the fiscal quarter.

File no later than 60 days after the end of that fiscal quarter (non-public).

N-PORT-P

Report for the third month of the fiscal quarter. File no later than 60 days after the end of that fiscal quarter (public).

N-Q

Due 60 days following the end of the first and third quarters.

N-CEN

Within 75 days of the fund's fiscal year-end (75 days after the calendar year-end for unit investment trusts).

13F

Due from institutional investment managers 45 days following the end of each calendar quarter.

13H-A

All large traders must submit an Annual Filing within 45 days after the end of each full calendar year, except that large

traders on Inactive Status are not required to file Form 13H while they are on Inactive Status.

13H-Q

A large trader must file an Amended Filing promptly following the end of the calendar quarter in which any of the

information contained in a Form 13H filing becomes inaccurate for any reason.

Schedule 13G, 13G/A Due 45 days following calendar year end.

Schedule 13D

Due 10 days after acquisition of more than 5% beneficial ownership.

24F-2

Due 90 days following fiscal year end.

N-PX

Due no later than August 31 of each year.

N-MFP2

Must be submitted by money market funds within five business days after the end of each month.

Command Financial 125 Broad Street New York, NY 10004 212-274-0070 ?2019 Command Financial All rights reserved.

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