I
`•
`(
`U.S. Securities jind Exchange Commission
`Washington, D.C.
`-.. ----EEDGAR ®
`Electronic Data Gathering, Analysis, and Retrieval
`m96-2372.01
`SE 1.36:EL 21996 C .t
`E lectronic Data Gather
`lllllllllfiili~UI~i~l~r.~u
`3 s, 1 05 095 878 059
`EDGAR ® FI~ER MANUAL:
`Guide for Electronic Filing with the
`U.S. Securities and Exchange Commission
`EDGAR ® RELEASE 5.10
`This edition replaces the edition of December 1995
`SEPTEMBER 1996
`NOV 1 2 1996
`bt~oii..IJ\.! ~.-.
`Jor.sson L,~, ..
`001
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`NOTICE
`This EDGAR[R] Filer Manual is a Rule of the United States
`Securities and Exchange Commission ("Commission"). Rule 301
`of Regulation S-T requires that electronic filings with the
`Securities and Exchange Commission comply with the
`requirements of this Filer Manual. Notices ot amendments to
`this Filer Manual will appear in the Federal Register and
`other sources.
`This version of the EDGAR[R] Filer Manual
`is effective on or after
`October 7, 1996.
`Effective October 7, 1996, the following for.m
`types will no longer require a fee:
`10-12B
`10-K405
`10KSB40
`11-K
`18-K
`20FR12G
`8-A12G
`DEF 14A
`DEFS14A
`N-8B-3
`NSAR-B
`PRE 14A
`PREN14A
`SC 13D
`U-13-1
`U-3A3-1
`uss
`N14EL24
`485B24F
`486B24F
`N-1A EL
`N-3 EL
`N-5*
`10-12G
`10-KT
`10SB12B
`18-12B
`20-F
`35-APP
`8-B12B
`DEF 14C
`DEFS14C
`N-8B-4
`NSAR-U
`PRE 14C
`PRES14A
`SC 13G
`U-13-60
`U-7D
`24F-2EL
`S-6EL24
`485BXTF
`N-1*
`N-2*
`N-4*
`10-K
`10KSB
`10SB12G
`18-12G
`20FR12B
`8-A12B
`8-B12G
`DEFN14A
`N-SB-2
`NSAR -A
`POS AMC
`PREC14A
`PRES14C
`U-1
`U-3A-2
`U-R-1
`N14AE24
`485A24F
`486A24F
`N-1A*
`N-3*
`N-4 EL
`Fees are still required for PREM14A and PREM14C filings
`except when they are made by a registered investment
`company, in whi ch case no fees are required.
`* The elimination of the fee applies only to the applicable
`Investment Company Act of 1940 filing and NOT to the
`registration statement filed pursuant to the Securities Act
`of 1933.
`EDGAR[R] and EDGARLink[R] are registered trademarks of the
`U.S. Securities and Exchange Commission. All other brand
`product names mentioned in this Filer Manual are trademarks
`or registered trademarks of their respective holde-rs.
`002
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`U .S. Securities and
`Exchange Commission
`Washington, D.C.
`'·
`ELECTRONIC DATA GATHERING,
`ANALYSIS, AND RETRIEVAL
`(EDGAR)
`ED~AR[R] FILER MANUAL:
`User's Guide for Electronic Filing with the
`U.S. Securities and Exchange
`Commission
`September 1996
`For Use With Release 5.10 of EDGAR[R]
`003
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`December 1995 ii
`#
`004
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`*************************************************************** * U.S. SECURITIES AND EXCHANGE COMMISSION *
`* * * ELECTRONIC DATA GATHERING, ANALYSIS, AND RETRIEVAL SYSTEM *
`* (EDGAR) *
`* * * EDGAR FILER MANUAL: * * USER'S GUIDE FOR ELECTRONIC FILING WITH THE * * U.S. SECURITIES AND EXCHANGE COMMISSION *
`* * * SEPTEMBER ~996 *
`*
`* * * ***************************************************************
`PREFACE
`W elcome to the Electronic Data Gathering, Analysis, and
`Retrieval (EDGAR) system of the u.s. Securities and Exchange
`commission (SEC). The system is designed to provide an
`electronic filing process for those EDGAR filers and filing
`agents who file with the SEC under the Securities Act of 1933,
`the Securities Exchange Act of 1934, the Public Utility Holding
`company Act of 1935 , the Trust Indenture Act of 1939, and the
`Investment Company Act of 1940 (collectively, "Acts").
`This Manual explains how registered EDGAR filers may file
`electronically with the SEC. The SEC accepts electronic
`submissions by direct telephone transmission, on magnetic tape,
`or on computer diskette. In addition to this Manual, filers
`should refer principally to Regulation S-T (17 CFR Part 232),
`which contains rules prescribing requirements and procedures
`relating to electronic submissions. Regulation S-T is
`complemented by amendments to certain existing rules,
`regulations, and forms under the Acts.
`September 1996 iii
`005
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`PREFACE Continued
`*****************
`This edition of the EDGAR Filer Manual includes procedures for
`Release 5.10 of the Operational EDGAR system, in which the system
`continues to receive, accept, and disseminate electronic filings.
`Significant changes from previous editions are indicated with a
`change bar in the outside margin .
`The EDGAR system introduces changes in the formatting of
`information subm itted to the SEC, not changes in the ,content of
`what is submitted. For rules governing the required forms, and
`specifications for content of the filings, filers are directed to
`Title 17 of the Code of Federal Regulations (CFR parts 200 to the
`end). Changes in the Rules are published in the Federal Register.
`New registrants will receive one free copy of the Filer Manual
`and EDGARLink, the filer assistance software. The latest version
`of the Manual is available for transfer (download) from the EDGAR
`electronic bulletin board. Filers have the option of downloading
`the complete manual, selected sections, or changed pages. The
`bulletin board is an optional service that may be accessed from
`the Main Menu of EDGARLink , or directly from the EDGAR electronic
`mail vendor, CompuServe, using other asynchronous communications
`software.
`The Filer Manual is available for purchase from the SEC, at
`the following address:
`DISCLOSURE INC
`PUBLIC REFERENCE ROOM
`U S SECURITIES AND EXCHANGE COMMISSION
`MAIL STOP 1-2
`450 5TH ST NW
`WASHINGTON DC 20549
`(800) 638-8241
`(301) 951-1350
`September 1996 iv
`#
`006
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`TABLE OF CONTENTS
`Chapter Page
`1
`;·r:-:
`2
`!: . ·~.
`PREFACE
`TABLE OF CONTENTS
`ABOUT THIS MANUAL
`1.1 Items
`L2 . . Guide
`1.3 ·Plans
`1. 3.1
`1 .• 3. 2
`Critical to Filing on EDGAR
`to Organization of this Manual
`for Issuing Manual Updates
`New Editions of the Filer Manual
`Changes from Previous Edition.
`1.4· Important References Regarding Electronic
`Filings
`THE ELECTRONIC · 'FILING PROCESS
`2.i . Introduction
`2.2 Background on the Developme~t of EDGAR
`2.2.1 Electronic Filing Started With
`Pilot EDGAR System
`2 .. 2. 2 Operational EDGAR · System Builds
`on the Pilot
`2.2.3 Rules Governing Electronic Filingj
`2.3 Getting Started With EDGAR
`2.3.1 Who Must Use EDGAR to File With
`the SEC
`2.3.2
`2.3.3
`2.3.4
`How Registrants Get Started As
`Electronic Filers
`The current Release - 5.10
`The Next Release
`2.4 Electronic Filing Changes Effective with
`iii
`v
`1-1
`1-1
`1-2
`1-6
`1-6
`1-6
`1-7
`2-1
`2-1
`2-2
`2-2
`2-2
`2-2
`2-3
`2-3
`2-3
`2-3
`Release 5.10 2-4
`2.5 Changes in the Submission P;rocess for Paper
`Filers 2-6
`2.6 Hours of EDGAR Operation and Delivery Addresses 2-7
`2.6.1 Hours of Operation 2-7
`September 1996 v
`007
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`Chapter
`TABLE OF CONTENTS Continued
`2.6.2 SEC Dating of Electronically·
`Transmitted Filings
`2.6.3 Hours for Receiving Tapes, Diskettes,
`Form ID Applications
`2.6.4 Assistance Available on Using EDGAR
`system
`2.6.5 Assistance Available on Content of
`Filings or Exemptions/Adjustments
`2.6.6 Address for Paper Format Copies
`2.7 Answers to Filers' Most Frequently Asked
`Questions
`2.7.1 Introduction
`2.7.2 Questions and Answers
`3 BOW TO BECOME AN ELECTRONIC FXLER
`3.1 Introduction
`3.2 Form ID
`3.2.1 When to submit Form ID
`3.2.2 When More Than One Form ID Is Required
`3.3 Access Codes to the EDGAR System
`3.3.1 Four Codes Are Needed to Access EDGAR
`3 .• 3. 2 Central Index Key {CIK)
`3.3.3 CIK confirmation Code (CCC)
`3.3.4 Password {PW)
`3.3.5 Password Modification Authorization
`Code {PMAC)
`3.3.6 Temporary Access to the.EDGAR System
`3.4 Equipment and Software Needed for EDGAR
`Submissions
`3.4.1 Equipment and Software for Direct
`Transmission Usinq EDGARLink Filer
`Page
`2-7
`and
`2-7
`2 -8
`2-8
`2-9
`2-10
`2-10
`2-10
`3-1
`3-1
`3-2
`3-2
`3-2
`3-3
`3-3
`3-3
`3-3
`3-4
`3-5
`3-5
`3-6
`Assistance Software 3-6
`3.4.2 Equipment and Software for Direct
`Transmission Without EDGARLink 3-7
`3 .4.3 Specifications for Tape Submissions 3-7
`3.4.4 Specifications for Diskette Submissions 3-8
`3.5 Fee Payment Methods 3-9
`3.6 EDGAR Electronic Mail and Bulletin Board Service 3-11
`September 1996 vi
`.· ~··
`008
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`TABLE OF CONTENTS Continued
`Chapter Paqe
`3.6.1 How EDGAR uses Vendor's E-Mail
`3.6.2 How to Order E-Mail Service
`3 .6.3 New compuServe Help Line Established
`3.6.4 Mail I s Addressed To Mailbox
`(User ID)
`3.6.5 Charges ~ssociated With E-Mail and
`Bulletin Board services
`3.6.6 How to Get started Using E-Mail
`3.6.7 How to Access EDGAR CompuServe Options
`3.6.8 How to Transmit a Filing to the SEC
`3.6.9 How to Retrieve EDGAR E-Mail
`3.6.10 How to Acces s and Download from the
`Bulletin Board
`3.6.11 How to Send CIK and User ID to the SEC
`3.6.12 How to Access EDGAR Company Database
`3.6.13 Searchable Items in the EDGAR Company
`Database
`3 .6.14 Maintaining Your CompuServe Mailbox
`4 HOW TO PREPARE AN EDGAR SUBMISSION
`SECTION A - THE PROCESS OF EDGARIZING
`DOCUMENTS
`4.1 Introduction to Creating an EDGAR Filing
`4.2 Terminology
`4.3 ASCII or EBCDIC
`4.3.1 Character Code Requirements Differ bY
`Submission Medium
`4.3.2 EDGAR Recognizes a Limited Set of
`Keyboard Characters
`4.3.3 Why the EDGAR System Recognizes Only
`standard Character Sets
`4.3.4 How the Requirement for ASCII Affects
`Word Processing
`4.3.5 About EBCDIC
`4.3.6 Common Symbols Not to be Used in
`EDGAR Filings
`4.3.7 System Inserts "ft" for Unrecogriized
`Characters
`4.4 Characters to Use in EDGAR Filings
`4.5 Information on Headers
`4.5.1 Description of Headers
`September 1996 vii
`3-11
`3-11
`3-12
`3-12
`3-12
`3-13
`3-13
`3-14
`3-16
`3-16
`3-20
`3-20
`3-25
`3-26
`4-A-1
`4-A-1
`4-A-2
`4-A-6
`4-A-6
`4-A-6
`4-A-6
`4-A-7
`4-A-8
`4-A-8
`4-A-8
`4-A-9
`4-A-10
`4-A-10
`009
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`TABLE OF CONTENTS Continued
`Chapter Page
`4.5.2 How Headers Are Used
`4.5.3 Description of Tags
`4.5.4 Tag Construction
`4.5.5 How Tags Are Used
`4 .5.6 Categories of Tags in Submission
`Headers
`4.5.7 Tag Values Are Filer-Supplied
`Information
`4.5.8 Fields Limit the Length of Values
`4.5.9 Multiple Values May Be Appropriate
`for a Single Tag
`4.5.10 Tags Listed in Manual For Use With
`Future Releases
`4.6 Explanation of General Submission Requirements
`4.6.1 Diagram of a Submission
`4.6.2 Header and Submission Examples
`4.6.3 Document Header Example
`4.7 sequence of Events for Creating a Submission
`4.8 Tags Used for Login
`4.8.1 Login ID Tags
`4.8.2 Test and Live Tags
`SECTION B - TAGS USED IN SUBMISSION HEADERS
`4.9 Submission Header Tags and Their Values
`4.9.1 Introduction to Tags Used in Headers
`4.9.2 The System Dictates Which Tags Must
`Be Used
`4.9.3 Guide to Locating Specific Tags
`4.9.4 Submission Header Tags by Level of
`Requirement
`SECTION C - TAGS USED IN DOCUMENT HEADERS
`4.10 Document Header Tags and Their Values
`SECTION D - TAGS USED WITHIN DOCUMENTS
`4.11 Tags Used to Identify Elements Within a
`Document
`September 1996 viii
`4-A-10
`4-A-10
`4-A-11
`4-A-11
`4-A-11
`4-A-12
`4-A-12
`4-A-12
`4-A -12
`4-A-13
`4-A-13
`4-A-15
`4-A-18
`4-A-19
`4-A-21
`4-A-21
`4-A-22
`4-B-1
`4-B-1
`4-B-1
`4-B-1
`4-B-1
`4-B-3
`4-C-1
`4-C-1
`4-D-1
`4-D-1
`010
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`TABLE OF CONTENTS Continued
`Chapter Page
`SBCT%0N B - SPECIAL HANDLING FOR SOME SUBMI SS IONS 4-E-1
`4.12 Non-Public and Confidential Information
`4.13 Using the Module Capability of EDGAR
`4.13.1 EDGAR Definition of A Module
`4-E-1
`4-E-2
`4-E-2
`4.14
`4 .15
`4.16
`4.17
`4.18
`4.19
`4.20
`4.21
`4.22
`4.13.2
`4.13.3
`4.13.4
`4.13.5
`How EDGAR H.andles Modules 4-E-2
`Structure of a Module Submission 4-E-3
`Process to Delete or Replace a Module 4-E-4
`How to Refer to a Module in a Subsequent
`Submission
`Filing on Behalf of More Than One Entity
`Correspondence Submissions and Documents
`4 .15 .1 How to Create a Correspondence
`Submission Header
`4.15.2 How to Create a Correspondence
`Document
`correction of suspended Filings
`N-SAR Documents
`Formatting Tables Wider Than 80 Characters
`4.18.1 Guidelines for Presentation of Tables
`4.18.2 Formatting Examples of Wide Tables
`Submitting Filings in Segments
`4.19.1 How Segment Filing Works
`4 .19.2 Testing Segment Submissions
`4.19.3 Segment Filing Requirements
`4 .19.4 Segment Naming Conventions
`4 .19 .5 How EDGAR Handles Segments
`4.19.6 Errors in Segments
`4.19.7 Document Counts and Ref~rencing
`or Segments
`4.19.8 Examples of Segment Tagging
`Submitting 13F-E Filings
`Submitting EU-1 Documents
`Modules
`Combining 13D and 14D Filings in a Single
`Submission
`4-E-6
`4-E-7
`4-E-9
`4-E-9
`4-E-9
`4-E-10
`4-E-11
`4-E-12
`4-E-12
`4-E-13
`4-E-17
`4-E-17
`4-E-17
`4-E-17
`4-E-18
`4 -E-18
`4-E-19
`4-E-20
`4-E-20
`4-E-23
`4-E-23
`4-E-24
`September 1996 ix
`011
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`TABLE OF CONTENTS Continued
`Chapter Page
`SECTION F - SIGNATURES FOR ELECTRONIC FILINGS
`4.23 Signatures to be Typed
`4.23.1 Statutory and Non-statutory Signatures
`4.23.2 Powers of Attorney and Consents of
`Experts
`5 HOW TO USE THE EDGARLink FILER ASSISTAN 'CE
`SOFTWARE
`SECTION A--INSTALLING AND MAINTAINING
`EDGARLink ON A PC
`5.1 Introduction
`5.2 The EDGARLink Software Program
`5.2.1 EDGARizing With EDGARLink
`5.2.2 EDGARLink Attributes
`5 .2.3 When EDGARLink Should Be Used
`5.2.4 EDGARLink Software Distribution
`5.2.5 Future Releases of EDGARLink Software
`5.2.6 When You Need Assistance
`5.2.7 Terminology
`5.3 Needed Equipment and Setup for EDGARLink
`5.3.1 Hardware Requirements
`5.3.2 Setting Up Your Computer
`5.3.3 EDGARLink Or N-SAR Software Technical Tips
`5.4 How To Install EDGARLink ON User's Hard Drive
`5.4.1 Procedure To Install EDGARLink
`5.4.2 EDGARLink Main Menu
`5.5 EDGARLink Directories
`5.5.1 Setup And Use of EDGARLink Directories
`5.5.2 Maintenance of EDGARLink Directories
`SECTION B--GETTING STARTED
`5.6 Introduction
`5.7 How to Access EDGARLink From DOS Prompt
`5.8 The EDGARLink Main Menu
`5.9 How to Use EDGARLink Screens and Menus
`5.9.1 EDGARL ink Help
`5.9.2 Message Area
`September 199 6 X
`4-F-1
`4-F-1
`4-F-1
`4-F-1
`5-A-1
`5-A-1
`5-A-2
`5-A-2
`5-A-2
`5-A -3
`5-A-3
`5-A-4
`5-A-4
`5-A-5
`5-A-6
`5-A-6
`5-A-6
`5-A-8
`5-A-10
`5-A-10
`5-A-14
`5-A-16
`5-A-16
`5-A-16
`5-B-1
`5-B-1
`5-B-2
`5-B-3
`5-B-5
`5-B-5
`5-B-5
`'9tq·
`012
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`TABLE OF CONTENTS Continued
`Chapter Page
`5.10 How to
`5.10.1
`Modify User's Configurations
`Procedure to Modify Configuration
`change/Add Modem Parameters Screen
`Terms in Change/Add Modem Parameters
`Screen
`User's configuration Screen After
`Modem Type Selected
`Modem Port
`Session Log
`Use Printer
`Printer Port
`Auto Verify
`Handshake
`Filing Directory
`Client Reference
`Login CIK
`CompuServe Telephone Numbers
`EDGAR Direct Dial Numbers
`Dialing Script
`CompuServe (PDN) User Id
`CompuServe (PDN) Password
`Answer Delay
`save and Exit or Exit Without Saving
`5.11 How to Exit From EDGARLink
`SECTION c--PREPARING SUBMISSIONS WITH EDGARLink
`5.12 How ·to create a Submission File
`5.12.1. Create/Edit a Submission Menu
`5.12.2· Before Creating a Submission
`5.12.3 EDGARLink Browsing Capability
`5.13
`5.12.4 Procedure to Create a Submission, Not
`Modules/or Subordinate Segments
`5.12.5 Procedure to Create a Module
`Submission File
`5 .12.6
`How to
`5.13.1
`Procedure to Create a Subordinate
`Segment Submission File
`Print a Submission/Header/Tag Lists
`Configuration Requirements for Using
`Printer with EDGARLink
`5.13.2 Procedure to Print a Submission
`5.13.3 Procedure to Print a Submission Header
`September 1996 xi
`5-B-6
`5-B-6
`5-B-7
`5-B-9
`5-B-11
`5-B-12
`5-B-12
`5-B-13
`5-B-14
`5-B-14
`5-B-i5
`5-B-i5
`5-B-15
`5-B-16
`5-B-17
`5-B-18
`5-B-18
`5-B-18
`5-B-19
`5-B-19
`5-B-19
`5-B-20
`s-c-1
`5-C-1
`5-C-1
`5-C-2
`5-C-2
`5-C-2
`5-C-10
`5-C-15
`5-C-21
`5-C-21
`5-C-21
`5-C-23
`013
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`Chapter
`5.14
`5 .15
`TABLE OF CONTENTS Continued
`5 .13.4 Procedure to Print Submission Tag Lists
`How to Edit a Submiss ion File
`5.14.1 Submission F ile Naming
`5.14.2 Using EDGARLink Brow sing C apability
`to Ed it a Submission
`5.14.3 Special Editing K eys
`5 .14.4 Procedure to Edit a Submission
`How to Create a Financial Data Schedule
`5.15.1 Financial Data Schedule Menu
`5.15.2 Things You Need to Know Before and
`After creating an FDS
`5.15.3 Procedure to Create a Financial
`Data Schedule
`5 .15.4 Procedures for Using Footnotes
`5.16 How to Print an FDS
`5.16.1 Configuration Requirements for Using
`Printer with EDGARLink
`5.16.2 Procedure to Print FDS Document
`5.16.3 Procedure to Print FDS Tag Rules
`5.17 How to Correct Errors in a FDS
`5.17.1 Messages Returned by EDGAR
`5.17.2 Format of the Disseminated Flawed FDS
`5.17.3
`5.17.4
`5.17.5
`Submission File Naming
`Editing a Financial Data Schedule
`Procedure to Edit a Submission
`File with a Flawed FDS
`5.18 How to Check for Errors in a Filing
`5.18.1 Error File
`5 .18.2 Using EDGARLink Browsing Capability to
`Check for Errors in a Filing
`5.18.3 Procedure to Check for Errors in
`a Filing
`5.19 How to Correct Errors in a Filing
`5 .19.1 Some Errors Cannot be Detected
`by EDGARLink
`5.19.2 Correcting N-SAR Filing s
`September 1996 xii
`Page
`5-C-24
`5-C-25
`5-C-25
`5-C -25
`5-C-26
`5-C- 28
`5-C-29
`5-C-29
`5-C-30
`5-C-31
`5-C-44
`5-C-49
`5-C-49
`5-C-49
`5-C-50
`5-C-52
`5-C-52
`5-C-52
`5-C-52
`5-C-53
`5-C-53
`5-C-57
`5-C-57
`5-C-57
`5-C-58
`5-C-60
`5-C-60
`5-C-60
`014
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`TABLE OF CONTENTS Continued
`Chapter Paqe
`5.19.3 Usinq EDGARLink Browsinq Capability to
`Correbt Errors in a Filinq
`5.19.4 How to Use suspension Message as
`Error Log
`5.19.5 Procedure to Open Error Log and
`Submission to be Corrected
`5.19.6 How the EDGARLink Correction Editor
`Works
`5.19.7 Special Editing Keys for Correction
`Editor
`5 .19.8 Procedure to Use Correction Editor
`SECTION D--USING EDGARLink TO COMMUNICATE WITH THE SEC
`5 .20 How to Change a CIK confirmation
`Code (CCC)
`5. 20 . ·1 Guidelines for Selecting a CCC
`5.20.2 Procedure to Change a CCC
`5.21 How to Change a Password
`5.21.1 Guidelines for Selecting a Password
`5.21.2 Procedure to Change a Password
`5.22 How to Verify current Version of
`EDGARLink
`5.23
`5.24
`5.25
`5.22.1 Procedure to Verify EDGARLink Version
`and Download New Version
`How to
`5.23.1
`How to
`5.24.1
`How to
`5.25.1
`5.25.2
`Send a Test Filing
`Procedure to Send a Test Filing
`Send a Live Filing
`Procedure to Send a Live Filing
`Correct a Suspended Filing
`How to Use a Modification Script
`Procedure to Correct suspended Filinq
`With a Modification Script
`SECTION B--USING E-MAIL AND CUSTOM APPLICATIONS
`WITH EDGAR.Link
`5.26 How to Access E-Mail Service
`Septembe r 1996 xiii
`5-C-60
`5-C-61
`5-C-61
`5-C-65
`5-C-65
`5-C-66
`S-D-1
`5-D-1
`5-D-1
`5-D -1
`5-D-3
`5-D-3
`5-D-4
`5-D-5
`5-D-5
`5-D-7
`5-D-8
`5 -D-11
`5-D-11
`5-D-15
`5-D-15
`· 5-D-16
`S-E-1
`5-E-1
`015
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`TABLE OF CONTENTS Continued
`Chapter Paqe
`5.26.1 Procedure to Access E-Mail Service
`5.27 N-SAR PC Application Interface With EDGAR
`5.27.1 The N-SAR/EDGARLink Process
`5.27.2 Procedure to Install and
`Configure EDGARLink
`5.27.3 Procedure to Install the N-SAR
`PC Application
`5.27.4 Procedure to Access Software
`and Prepare a Form N-SAR
`5.27.5 Assembling the N-SAR Submission
`5.27.6 Accessing Submission-Creating
`Assistance
`5.27.7 Procedure to Assemble an N-SAR
`Submission
`5.27.8
`5.27.9
`How to Check for Errors
`How to Correct Errors
`5.27.10 How to Transmit the Submission
`5.27.11 How to Modify a suspended Submission
`5.27.12 How to Exit from EDGARLink
`6 HOW TO SEND FILINGS BY ASYNCHRONOUS COMMUNICAT IONS
`(OTHER THAN EDGARLink)
`7
`6.1 Introduction
`6.2 Asynchronous Protocols and Modem Parameters
`6.3 Kermit File Transfer Protocol Configuration
`Parameters
`6.4 How to Login to EDGAR
`6.4.1 Procedure to Send Electronic Filing
`Through CompuServe
`6.4.2 EDGAR Main Menu
`6.5 How to Send a Test Filing
`6.6 How to Send a Live Filing
`6.7 How to Change Password
`6.8 How to Change CIK Confirmation Code (CCC)
`6.9 Correcting a Suspended Submission
`6.10 Notification of Acceptance or suspension
`HOW TO SEND FILINGS ON MAGNETIC TAPE
`7.1 Introduction
`7.2 How to Prepare Magnetic Tape
`September 1996 xiv
`5 - E -1
`5-E-2
`5-E-2
`5 - E-3
`5 - E - 3
`5 - E - 5
`5-E-6
`5 - E - 6
`5 - E-7
`5-E-10
`5 - E - 10
`5-E-10
`5- E-11
`5- E-11
`6-1
`6-1
`6-3
`6-4
`6 - 5
`6 - 5
`6-8
`6-10
`6- 13
`6-16
`6-19
`6-22
`6 - 23
`7-1
`7-1
`7-2
`016
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`TABLE OF CONTENTS Continued
`chapter
`8
`9
`7.2.2 Labels, Headers, and Tags
`7.2.3 Multiple Submissions and Files on a
`Single Tape
`7.2.4 Submitting Magn etic Tapes
`7.2.5 Magnetic Tape Documents ·
`7 .2.6 Constraints
`7.3 How to Deliver Magnetic Tapes
`HOW TO SEND FILINGS ON DISKETTE
`8.1 Introduction
`8 . 2 How to Prepare a Di.skette
`8 .2.1· Formats
`8.2.2 Headers and Tags
`8.2.3 Multiple submissions and Files on a
`Single Diskette
`8.2.4 Submitting Diskettes
`8.3 How to Deliver Diskettes
`8.4 List of Acceptable Word Processing Formats
`for Diskette Submissions
`BOW TO SEND FILINGS USING THE FILE TRANSFER PROTOCO ,L
`9.1 Introduction
`9.2 FTP Overview
`9 .3 FTP Login
`9.3.1 When Login is Valid
`9.3.2 When Login is Invalid
`9.4 FTP Help
`9.5 Specifying Test and Live Filings
`9.6 Too Many Sessions
`9 .7 Initial Message from EDGAR at Time of Filing
`APPENDICES (Bound Separately)
`A Form Types Accepted for Electronic Filing
`B EDGAR Tags by Submission Header Type
`September 1996 XV
`Page
`7-2
`7-3
`7-3
`7-4
`7-4
`7-5
`8-1
`8-1
`8-2
`8-2
`8-2
`8-2
`8-3
`8-4
`8-5
`9-1
`9-1
`9-2
`9-3
`9-3
`9-4
`9-5
`9-6
`9-7
`9-8
`A-i
`B-i
`017
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`TABLE OF CONTENTS Continued
`APPENDICES (Continued)
`c
`D
`E
`F
`G
`H
`I
`Index
`Acceptable Values for Certain EDGAR Tags C-1
`Messages Reported by the EDGAR System D-1
`Tagging for Financial Data Schedules E-1
`Paper Forms for Electronic Filing F-1
`Form ID: Uniform Application for Access Codes
`to File on EDGAR F-3
`Form SE: Form for Submission of Paper Format
`Exhibits by Electronic Filers F-5
`Form ET : Transmittal Form for Electronic Format
`Documents Under the EDGAR System F-7
`Form TH: Notification of Reliance on Temporary
`Hardship Exemption F-9
`Glossary of Commonly Used Terms, Acronyms,
`and Abbreviations
`Form 13F-E Special Electronic Filing
`Instructions
`EDGARLink Script Language
`G-1
`H-1
`I-1
`Index-1
`Septem ber 1996 ~i
`#
`018
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`4.8 TAGS USED FOR LOGIN Continued
`*********************************
`~.8.2 TEST AND LIVE TAGS
`If the tag <TEST> is used in the submission header or if the
`EDGARLink option "Send a Test Filing" is used, all information,
`including header information, is treated as a test and will not
`be disseminated.
`WARNING:
`1) If no test tag is used all information is treated as live.
`Acceptance processing and PUBLIC DISSEMINATION are AUTOMATED
`processes that take place immediately upon receipt of live
`filings. Public portions of a live filing are immediately
`disseminated to the public.
`2) If a test tag is used, the filing is not an official filing.
`EDGARLink SUBMISSIONS
`EDGARLink's header-building assistance includes the option to
`add a <T EST > or <LIVE> tag to the submission header for a form
`type.
`WARNING:
`If a filing is sent using the menu option TRANSMIT TEST FILING
`TO SEC, then the entire submission will be treated as a test
`even if a <L IVE > tag is used in the submission header of each
`filing in the transmission. (See Chapter 5 for detailed
`information on EDGARLink submissions.)
`ASYNCHRONOUS SUBMISSIONS - NON-EDGARLink
`Asynchronous submitters are prompted to type "T" for test or
`"L" for live during login. If a filer elects to submit a test
`filing, all documents will be processed as a test filing
`regardless of <LIVE> tags in the submission header. (See Chapter
`6 for detailed information on non-EDGARLink asynchronous
`submissions.)
`TAPE AND DISKETTE SUBMISSIONS
`Each test filing must be separately identified. If no tag is
`present, the filing is treated as live. Login information is
`provided on the Form ET that accompanies the filing. (See Chapter
`7 for information on tape submissions and Chapter 8 for
`information on diskettes.)
`September 1996 4-A-22
`#
`019
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`I
`i.
`'
`5.23 HOW TO SEND A TEST FILING
`******************************
`Filers are encouraged to submit test filings to the SEC. The
`purpose of test filings is to give filers training opportunities
`using EDGAR procedures. WHILE TEST FILINGS WILL BE PROCESSED BY
`THE EDGAR SYSTEM AND AN "ACCEPTANCE" OR "SUSPENSION" MESSAGE WILL
`BE RETURNED TO THE FILER, TEST FILINGS ARE NOT OFFICIAL FILlNGS,
`AND WILL NOT BE REVIEWED OR DISSEMINATED AS SUCH. Filers sending
`in test filings should double check their filings before
`submitting them to ensure that each filing has been properly
`identified as a "test." If a filing is not id~ntified as ·a test,
`it will be treated as a live official filing, if accepted. on
`the other hand, if a live official filing is intended, the filer
`must make sure that the filing is made during a live filing
`session, as opposed to a test session, and that there is no
`<TEST > tag in the document header.
`When a submission is ready·to be communicated to the SEC, the
`EDGARLink software serves as communications software and
`accomplishes the following:
`* Compresses the filing to reduce transmission· time,
`*Dials· into the SEC using the telephone numbers in the filer's
`configuration in order ·Of filer-established preference, and
`* Restarts the transmission automatically if there is a break
`in communicat ions.
`* EDGARLink remains connected to EDGAR for up to 5 minutes after
`use. (During this period, the user may transmit additional
`submissions or access code changes without receiving a prompt
`to provide a login CIK or password).
`*Upon connection to the EDGAR system, the·following message
`appears on the filer's screen notifying the· filer of the E-Mail
`User ID to whom acceptance and suspension messages will be
`sent.
`"Response messages will be forwarded to the CIK 's. E-Mail
`address: xxxxxx,xxxx"
`If the CIK has no E-Mail address, then the above message is
`displayed except with the address: POSTAL .
`EDGARLink does not allow filings without headers or filings
`with illegal characters to be sent to EDGAR. If EDGARLink
`detects these. filing flaws, an error message shall be presented
`to the filer and the filing session shall be terminated.
`September 1996 5-0~7
`020
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`·,
`' ' ~ . ·• . -
`DATE DUE
`...... ft ~ 'lnn
`"""
`~ .....
`.........
`021
`CELLTRION EX. 1055
`
`
`
`
`
`
`
`