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0000320193
20181105
10-K
1,171
A control system, no matter how well designed and operated, can provide only reasonable, not absolute, assurance that the objectives of the control system are met.
0000320193-18-000145/full-submission.txt
0000320193
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Further, the design of a control system must reflect the fact that there are resource constraints, and the benefits of controls must be considered relative to their costs.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
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Because of the inherent limitations in all control systems, no evaluation of internal controls can provide absolute assurance that all control issues and instances of fraud, if any, have been detected.
0000320193-18-000145/full-submission.txt
0000320193
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10-K
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Also, any evaluation of the effectiveness of controls in future periods are subject to the risk that those internal controls may become inadequate because of changes in business conditions, or that the degree of compliance with the policies or procedures may deteriorate.
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Management’s Annual Report on Internal Control Over Financial Reporting The Company’s management is responsible for establishing and maintaining adequate internal control over financial reporting (as defined in Rule 13a-15(f) under the Exchange Act).
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10-K
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Management conducted an assessment of the effectiveness of the Company’s internal control over financial reporting based on the criteria set forth in Internal Control - Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission (2013 framework).
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Based on the Company’s assessment, management has concluded that its internal control over financial reporting was effective as of September 29, 2018 to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements in accordance with GAAP.
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10-K
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The Company’s independent registered public accounting firm, Ernst & Young LLP, has issued an audit report on the Company’s internal control over financial reporting, which appears in Part II, Item 8 of this Form 10-K. Changes in Internal Control Over Financial Reporting There were no changes in the Company’s internal ...
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0000320193
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10-K
1,179
Item 9B.
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Other Information None.
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0000320193
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10-K
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Apple Inc. | 2018 Form 10-K | 67 PART III Item 10.
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10-K
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Directors, Executive Officers and Corporate Governance The information required by this Item is set forth under the headings “Corporate Governance,” “Directors,” “Executive Officers” and “Other Information-Security Ownership of Certain Beneficial Owners and Management” in the Company’s 2019 Proxy Statement to be filed ...
0000320193-18-000145/full-submission.txt
0000320193
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10-K
1,183
The Company has a code of ethics, “Business Conduct: The way we do business worldwide,” that applies to all employees, including the Company’s principal executive officer, principal financial officer, and principal accounting officer, as well as to the members of the Board of Directors of the Company.
0000320193-18-000145/full-submission.txt
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The code is available at investor.apple.com/investor-relations/leadership-and-governance/.
0000320193-18-000145/full-submission.txt
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The Company intends to disclose any changes in, or waivers from, this code by posting such information on the same website or by filing a Form 8-K, in each case to the extent such disclosure is required by rules of the SEC or Nasdaq.
0000320193-18-000145/full-submission.txt
0000320193
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10-K
1,186
Item 11.
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Executive Compensation The information required by this Item is set forth under the heading “Executive Compensation,” under the subheadings “Board Oversight of Risk Management” and “Compensation Committee Interlocks and Insider Participation” under the heading “Corporate Governance” and under the subheadings “Compensat...
0000320193-18-000145/full-submission.txt
0000320193
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10-K
1,188
Item 12.
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0000320193
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Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters The information required by this Item is set forth under the headings “Other Information-Security Ownership of Certain Beneficial Owners and Management” and “Other Information-Equity Compensation Plan Information” in the Comp...
0000320193-18-000145/full-submission.txt
0000320193
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10-K
1,190
Item 13.
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Certain Relationships and Related Transactions, and Director Independence The information required by this Item is set forth under the subheadings “Board Committees”, “Review, Approval, or Ratification of Transactions with Related Persons” and “Transactions with Related Persons” under the heading “Corporate Governance”...
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Item 14.
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Principal Accounting Fees and Services The information required by this Item is set forth under the subheadings “Fees Paid to Auditors” and “Policy on Audit Committee Pre-Approval of Audit and Non-Audit Services Performed by the Independent Registered Public Accounting Firm” under the proposal “Ratification of Appointm...
0000320193-18-000145/full-submission.txt
0000320193
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10-K
1,194
Apple Inc. | 2018 Form 10-K | 68 PART IV Item 15.
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Exhibits, Financial Statement Schedules (a) Documents filed as part of this report (1) All financial statements (2) Financial Statement Schedules All financial statement schedules have been omitted, since the required information is not applicable or is not present in amounts sufficient to require submission of the sch...
0000320193-18-000145/full-submission.txt
0000320193
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10-K
1,196
8-K 3.1 6/6/14 3.2 Amended and Restated Bylaws of the Registrant effective as of December 13, 2016.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,197
8-K 3.2 12/15/16 4.1 Form of Common Stock Certificate of the Registrant.
0000320193-18-000145/full-submission.txt
0000320193
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10-K
1,198
10-Q 4.1 12/30/06 4.2 Indenture, dated as of April 29, 2013, between the Registrant and The Bank of New York Mellon Trust Company, N.A., as Trustee.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,199
S-3 4.1 4/29/13 4.3 Officer’s Certificate of the Registrant, dated as of May 3, 2013, including forms of global notes representing the Floating Rate Notes due 2016, Floating Rate Notes due 2018, 0.45% Notes due 2016, 1.00% Notes due 2018, 2.40% Notes due 2023 and 3.85% Notes due 2043.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,200
8-K 4.1 5/3/13 4.4 Officer’s Certificate of the Registrant, dated as of May 6, 2014, including forms of global notes representing the Floating Rate Notes due 2017, Floating Rate Notes due 2019, 1.05% Notes due 2017, 2.10% Notes due 2019, 2.85% Notes due 2021, 3.45% Notes due 2024 and 4.45% Notes due 2044.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,201
8-K 4.1 5/6/14 4.5 Officer’s Certificate of the Registrant, dated as of November 10, 2014, including forms of global notes representing the 1.000% Notes due 2022 and 1.625% Notes due 2026.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,202
8-K 4.1 11/10/14 4.6 Officer’s Certificate of the Registrant, dated as of February 9, 2015, including forms of global notes representing the Floating Rate Notes due 2020, 1.55% Notes due 2020, 2.15% Notes due 2022, 2.50% Notes due 2025 and 3.45% Notes due 2045.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,203
8-K 4.1 2/9/15 4.7 Officer’s Certificate of the Registrant, dated as of May 13, 2015, including forms of global notes representing the Floating Rate Notes due 2017, Floating Rate Notes due 2020, 0.900% Notes due 2017, 2.000% Notes due 2020, 2.700% Notes due 2022, 3.200% Notes due 2025, and 4.375% Notes due 2045.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,204
8-K 4.1 5/13/15 4.8 Officer’s Certificate of the Registrant, dated as of June 10, 2015, including forms of global notes representing the 0.350% Notes due 2020.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,205
8-K 4.1 6/10/15 Apple Inc. | 2018 Form 10-K | 69 Incorporated by Reference Exhibit Number Exhibit Description Form Exhibit Filing Date/ Period End Date 4.9 Officer’s Certificate of the Registrant, dated as of July 31, 2015, including forms of global notes representing the 3.05% Notes due 2029 and 3.60% Notes due 2042.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,206
8-K 4.1 7/31/15 4.10 Officer’s Certificate of the Registrant, dated as of September 17, 2015, including forms of global notes representing the 1.375% Notes due 2024 and 2.000% Notes due 2027.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,207
8-K 4.1 9/17/15 4.11 Officer’s Certificate of the Registrant, dated as of February 23, 2016, including forms of global notes representing the Floating Rate Notes due 2019, Floating Rate Notes due 2021, 1.300% Notes due 2018, 1.700% Notes due 2019, 2.250% Notes due 2021, 2.850% Notes due 2023, 3.250% Notes due 2026, 4.5...
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,208
8-K 4.1 2/23/16 4.12 Supplement No.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,209
1 to the Officer’s Certificate of the Registrant, dated as of March 24, 2016.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,210
8-K 4.1 3/24/16 4.13 Officer’s Certificate of the Registrant, dated as of June 22, 2016, including form of global note representing 4.15% Notes due 2046.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,211
8-K 4.1 6/22/16 4.14 Officer’s Certificate of the Registrant, dated as of August 4, 2016, including forms of global notes representing the Floating Rate Notes due 2019, 1.100% Notes due 2019, 1.550% Notes due 2021, 2.450% Notes due 2026 and 3.850% Notes due 2046.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,212
8-K 4.1 8/4/16 4.15 Officer’s Certificate of the Registrant, dated as of February 9, 2017, including forms of global notes representing the Floating Rate Notes due 2019, Floating Rate Notes due 2020, Floating Rate Notes due 2022, 1.550% Notes due 2019, 1.900% Notes due 2020, 2.500% Notes due 2022, 3.000% Notes due 2024...
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,213
8-K 4.1 2/9/17 4.16 Officer’s Certificate of the Registrant, dated as of March 3, 2017, including form of global note representing 4.300% Notes due 2047.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,214
8-K 4.1 3/3/17 4.17 Officer’s Certificate of the Registrant, dated as of May 11, 2017, including forms of global notes representing the Floating Rate Notes due 2020, Floating Rate Notes due 2022, 1.800% Notes due 2020, 2.300% Notes due 2022, 2.850% Notes due 2024 and 3.200% Notes due 2027.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,215
8-K 4.1 5/11/17 4.18 Officer’s Certificate of the Registrant, dated as of May 24, 2017, including forms of global notes representing the 0.875% Notes due 2025 and 1.375% Notes due 2029.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,216
8-K 4.1 5/24/17 4.19 Officer’s Certificate of the Registrant, dated as of June 20, 2017, including form of global note representing the 3.000% Notes due 2027.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,217
8-K 4.1 6/20/17 4.20 Officer’s Certificate of the Registrant, dated as of August 18, 2017, including form of global note representing the 2.513% Notes due 2024.
0000320193-18-000145/full-submission.txt
0000320193
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10-K
1,218
8-K 4.1 8/18/17 4.21 Officer’s Certificate of the Registrant, dated as of September 12, 2017, including forms of global notes representing the 1.500% Notes due 2019, 2.100% Notes due 2022, 2.900% Notes due 2027 and 3.750% Notes due 2047.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,219
8-K 4.1 9/12/17 4.22 Officer’s Certificate of the Registrant, dated as of November 13, 2017, including forms of global notes representing the 1.800% Notes due 2019, 2.000% Notes due 2020, 2.400% Notes due 2023, 2.750% Notes due 2025, 3.000% Notes due 2027 and 3.750% Notes due 2047.
0000320193-18-000145/full-submission.txt
0000320193
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10-K
1,220
8-K 4.1 11/13/17 4.23* Apple Inc.
0000320193-18-000145/full-submission.txt
0000320193
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10-K
1,221
Deferred Compensation Plan.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,222
S-8 4.1 8/23/18 10.1* Employee Stock Purchase Plan, as amended and restated as of March 10, 2015.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,223
8-K 10.1 3/13/15 10.2* Form of Indemnification Agreement between the Registrant and each director and executive officer of the Registrant.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,224
10-Q 10.2 6/27/09 10.3* Apple Inc. Non-Employee Director Stock Plan, as amended and restated as of February 13, 2018.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,225
8-K 10.1 2/14/18 10.4* 2003 Employee Stock Plan, as amended through February 25, 2010.
0000320193-18-000145/full-submission.txt
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10-K
1,226
8-K 10.1 3/1/10 10.5* Form of Restricted Stock Unit Award Agreement under 2003 Employee Stock Plan effective as of November 16, 2010.
0000320193-18-000145/full-submission.txt
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10-K
1,227
10-Q 10.10 12/25/10 10.6* 2014 Employee Stock Plan, as amended and restated as of October 1, 2017.
0000320193-18-000145/full-submission.txt
0000320193
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10-K
1,228
10-K 10.8 9/30/17 10.7* Form of Restricted Stock Unit Award Agreement under 2014 Employee Stock Plan effective as of August 26, 2014.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,229
10-K 10.11 9/27/14 10.8* Form of Performance Award Agreement under 2014 Employee Stock Plan effective as of August 26, 2014.
0000320193-18-000145/full-submission.txt
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10-K
1,230
10-K 10.12 9/27/14 Apple Inc. | 2018 Form 10-K | 70 Incorporated by Reference Exhibit Number Exhibit Description Form Exhibit Filing Date/ Period End Date 10.9* Form of Amendment, effective as of August 26, 2014, to Restricted Stock Unit Award Agreements and Performance Award Agreements outstanding as of August 26, 201...
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,231
10-K 10.13 9/27/14 10.10* Form of Restricted Stock Unit Award Agreement under 2014 Employee Stock Plan effective as of October 5, 2015.
0000320193-18-000145/full-submission.txt
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10-K
1,232
10-Q 10.16 3/26/16 10.11* Form of Performance Award Agreement under 2014 Employee Stock Plan effective as of October 5, 2015.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,233
10-Q 10.17 3/26/16 10.12* Form of Restricted Stock Unit Award Agreement under 2014 Employee Stock Plan effective as of October 14, 2016.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,234
10-K 10.18 9/24/16 10.13* Form of Performance Award Agreement under 2014 Employee Stock Plan effective as of October 14, 2016.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,235
10-K 10.19 9/24/16 10.14* Form of Restricted Stock Unit Award Agreement under 2014 Employee Stock Plan effective as of September 26, 2017.
0000320193-18-000145/full-submission.txt
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20181105
10-K
1,236
10-K 10.20 9/30/17 10.15* Form of Performance Award Agreement under 2014 Employee Stock Plan effective as of September 26, 2017.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,237
10-K 10.21 9/30/17 10.16* Form of Restricted Stock Unit Award Agreement under Non-Employee Director Stock Plan effective as of February 13, 2018.
0000320193-18-000145/full-submission.txt
0000320193
20181105
10-K
1,238
10-Q 10.2 3/31/18 10.17*, ** Form of Restricted Stock Unit Award Agreement under 2014 Employee Stock Plan effective as of August 21, 2018.
0000320193-18-000145/full-submission.txt
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1,239
10.18*, ** Form of Performance Award Agreement under 2014 Employee Stock Plan effective as of August 21, 2018.
0000320193-18-000145/full-submission.txt
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21.1** Subsidiaries of the Registrant.
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23.1** Consent of Independent Registered Public Accounting Firm.
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24.1** Power of Attorney (included on the Signatures page of this Annual Report on Form 10-K).
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31.1** Rule 13a-14(a) / 15d-14(a) Certification of Chief Executive Officer.
0000320193-18-000145/full-submission.txt
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31.2** Rule 13a-14(a) / 15d-14(a) Certification of Chief Financial Officer.
0000320193-18-000145/full-submission.txt
0000320193
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32.1*** Section 1350 Certifications of Chief Executive Officer and Chief Financial Officer.
0000320193-18-000145/full-submission.txt
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101.INS** XBRL Instance Document.
0000320193-18-000145/full-submission.txt
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101.SCH** XBRL Taxonomy Extension Schema Document.
0000320193-18-000145/full-submission.txt
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101.CAL** XBRL Taxonomy Extension Calculation Linkbase Document.
0000320193-18-000145/full-submission.txt
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101.DEF** XBRL Taxonomy Extension Definition Linkbase Document.
0000320193-18-000145/full-submission.txt
0000320193
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101.LAB** XBRL Taxonomy Extension Label Linkbase Document.
0000320193-18-000145/full-submission.txt
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101.PRE** XBRL Taxonomy Extension Presentation Linkbase Document.
0000320193-18-000145/full-submission.txt
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* Indicates management contract or compensatory plan or arrangement.
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** Filed herewith.
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*** Furnished herewith.
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(1) Certain instruments defining the rights of holders of long-term debt securities of the Registrant are omitted pursuant to Item 601(b)(4)(iii) of Regulation S-K.
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The Registrant hereby undertakes to furnish to the SEC, upon request, copies of any such instruments.
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Item 16.
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Form 10-K Summary None.
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Apple Inc. | 2018 Form 10-K | 71 SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
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Date: November 5, 2018 Apple Inc. By: /s/ Luca Maestri Luca Maestri Senior Vice President, Chief Financial Officer Power of Attorney KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Timothy D. Cook and Luca Maestri, jointly and severally, his or her attorneys-i...
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Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated: Name Title Date /s/ Timothy D. Cook Chief Executive Officer and Director (Principal Executive Officer) November 5,...
0000320193-18-000145/full-submission.txt
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Bell Director November 5, 2018 JAMES A.
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BELL /s/ Al Gore Director November 5, 2018 AL GORE /s/ Robert A. Iger Director November 5, 2018 ROBERT A. IGER /s/ Andrea Jung Director November 5, 2018 ANDREA JUNG /s/ Arthur D. Levinson Director November 5, 2018 ARTHUR D. LEVINSON /s/ Ronald D. Sugar Director November 5, 2018 RONALD D. SUGAR /s/ Susan L. Wagner Direc...
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0000320193
20201030
10-K
0
10-K aapl-20200926.htm 10-K aapl-20200926truetruetruetruetruetruetruetruetruetruefalse2020FY0000320193--09-26P1YP3YP1Y65P1Y25P1Y82P1Yus-gaap:OtherAssetsCurrentus-gaap:OtherAssetsNoncurrentus-gaap:OtherLiabilitiesCurrentus-gaap:OtherLiabilitiesNoncurrentus-gaap:OtherLiabilitiesCurrentus-gaap:OtherLiabilitiesNoncurrentus...
0000320193-20-000096/full-submission.txt
0000320193
20201030
10-K
1
Commission File Number: 001-36743 Apple Inc. (Exact name of Registrant as specified in its charter) California 94-2404110 (State or other jurisdiction of incorporation or organization) (I.R.S.
0000320193-20-000096/full-submission.txt
0000320193
20201030
10-K
2
Employer Identification No.)
0000320193-20-000096/full-submission.txt
0000320193
20201030
10-K
3
One Apple Park Way Cupertino, California (Address of principal executive offices) (Zip Code) (408) 996-1010 (Registrant’s telephone number, including area code) Securities registered pursuant to Section 12(b) of the Act: Title of each class Trading symbol(s) Name of each exchange on which registered Common Stock, $0.00...
0000320193-20-000096/full-submission.txt
0000320193
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10-K
4
Yes ☒ No ☐ Indicate by check mark if the Registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act.
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0000320193
20201030
10-K
5
Yes ☐ No ☒ Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing...
0000320193-20-000096/full-submission.txt
0000320193
20201030
10-K
6
Yes ☒ No ☐ Indicate by check mark whether the Registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the Registrant was required to submit such files).
0000320193-20-000096/full-submission.txt