EDGAR Submission Type SH-ER Information Table Fillable PDF Form (Version 2.0)

Implementation Date: May 18, 2009

On May 18, 2009, EDGAR is being upgraded to Release 9.15.1.e.4 to validate the Submission Type SH-ER Information Table XML documents against the schema (see EDGAR Submission Type SH-ER Information Table XML Technical Specification (Version 2.0) for schema files) and will suspend the SH-ER submission if the XML document violates the schema.

In addition, the schema and the Submission Type SH-ER Information Table fillable PDF form have been modified to allow for short sale data to be provided for more than one CIK within the information table.

The following specific changes have been made to the Submission Type SH-ER Information Table Fillable PDF Form (Version 2.0):

• The fillable PDF form now allows the filer to enter short sale data for more than one CIK.
   
  
  • An [ADD CIK] button has been added to allow for the data entry of an additional CIK and the short sale data being reported for that CIK. The additional CIK field and Sunday through Saturday data entry block will appear at the bottom of the form.
     
   
  • A [REMOVE CIK] button has been added to remove all of the short sale data entered for a CIK.
     
• So that empty data <tags> are not produced in the resulting XML document for the "nameOfIssuer", "cusip", "shortStartPosition", "numberSecuritiesSoldShort", and "shortEndPosition" fields for the days of the week for which the filer has not entered a short sale record, the form no longer defaults with blank fields for the short sale data. Instead, the filer must select the [ADD RECORD] button to enter a short sale record for the appropriate day of the week.
   
 
• The OMB expiration date has been changed to May 31, 2009.

• Download the EDGAR Submission Type SH-ER Information Table Fillable PDF Form (Version 2.0)

*Known Bug: There is a known bug associated with the [REMOVE CIK] and [REMOVE RECORD] buttons. Currently, the filer cannot select a particular short sale record or CIK data block to delete. Instead, if you click the [REMOVE CIK] button, it will delete the last CIK data set entered; and, if you click the [REMOVE RECORD] button, it will delete the last short sale record in the list for a particular day.

We are working to rectify this issue.

http://www.sec.gov/info/edgar/sh-ertablepdf.htm