Form N-PORT Monthly Portfolio Investments Report (SEC2940) {N-PORT} | Pdf Fpdf Docx | Official Federal Forms

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Form N-PORT Monthly Portfolio Investments Report (SEC2940) {N-PORT} | Pdf Fpdf Docx | Official Federal Forms

Last updated: 8/9/2022

Form N-PORT Monthly Portfolio Investments Report (SEC2940) {N-PORT}

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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 2940 ( 2/19 ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-PORT MONTHLY PORTFOLIO INVESTMENTS REPORT Form N-PORT is to be used by a registered management investment company, or an exchange-traded fund organized as a unit investment trust, or series thereof (223Fund224), other than a Fund that is regulated as a money market fund (223money market fund224) under rule 2a-7 under the Investment Company Act of 1940 [15 U.S.C. 80a] (223Act224) (17 CFR 270.2a-7) or a small business investment company (223SBIC224) registered on Form N-5 (17 CFR 239.24 and 274.5), to file reports of monthly portfolio holdings pursuant to rule 30b1-9 under the Act (17 CFR 270.30b1-9). The Commission may use the information provided on Form N-PORT in its regulatory, enforcement, examination, disclosure review, inspection, and policymaking roles. GENERAL INSTRUCTIONS A. Rule as to Use of Form N-PORT Form N-PORT is the reporting form that is to be used for monthly reports of Funds other than money market funds and SBICs under section 30(b) of the Act, as required by rule 30b1-9 under the Act (17 CFR 270.30b1-9). Funds must report information quarterly about their portfolios and each of their portfolio holdings as of the last business day, or last calendar day, of each month. A registered investment company that has filed a registration statement with the Commission registering its securities for the first time under the Securities Act of 1933 is relieved of this reporting obligation with respect to any reporting period or portion thereof prior to the date on which that registration statement becomes effective or is withdrawn. You may not send a completed printout of this form to the SEC to satisfy a filing obligation. You can only satisfy an SEC filing obligation by submitting the information required by this form to the SEC in electronic format online at Paragraph F of the General Instructions, Items B.2 and B.8 of Part B, Item C.7 of Part C, and Part F of this Form N-PORT incorporate additions and revisions to Form N-PORT whose effective date was September 10, 2018. The compliance date for these additions and revisions to Form N-PORT is June 1, 2019 for large entities and March 1, 2020 for small entities. OMB Number: 3235 - 0730 Expires: August 31, 2019 Estimated average burden hours per response 125 OMB APPROVAL American LegalNet, Inc. 2 SEC 2940 ( 2/19 ) Reports on Form N-PORT must disclose portfolio information as calculated by the fund for the reporting period222s ending net asset value (commonly, and as permitted by rule 2a-4, the first business day following the trade date). A Fund must maintain in its records the information that is required to be included on Form N-PORT no later than 30 days after the end of each month. Such information shall be treated as a record under section 31(a)(1) of the Act and rule 31a-1(b) thereunder subject to the requirements of rule 31a-2(a)(2). Reports on Form N-PORT for each month in each fiscal quarter of a fund must be filed with the Commission no later than 60 days after the end of such fiscal quarter. If the due date falls on a weekend or holiday, the filing deadline will be the next business day. A Fund may file an amendment to a previously filed report at any time, including an amendment to correct a mistake or error in a previously filed report. A Fund that files an amendment to a previously filed report must provide information in response to all items of Form N-PORT, regardless of why the amendment is filed. B. Application of General Rules and Regulations The General Rules and Regulations under the Act contain certain general requirements that are applicable to reporting on any form under the Act. These general requirements shall be carefully read and observed in the preparation and filing of reports on this Form, except that any provision in the Form or in these instructions shall be controlling. C. Filing of Reports Reports must be filed electronically using the Commission222s Electronic Data Gathering, Analysis, and Retrieval (223EDGAR224) system in accordance with Regulation S-T. Consult the EDGAR Filer Manual and Appendices for EDGAR filing instructions. D. Paperwork Reduction Act Information A Fund is not required to respond to the collection of information contained in Form N-PORT unless the form displays a currently valid Office of Management and Budget (223OMB224) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, Washington, DC 20549. OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. 3507. E. Definitions References to sections and rules in this Form N-PORT are to the Act, unless otherwise indicated. Terms used in this Form N-PORT have the same meanings as in the Act or related rules, unless otherwise indicated. As used in this Form N-PORT, the terms set out below have the following meanings: American LegalNet, Inc. 3 SEC 2940 ( 2/19 ) 223Class224 means a class of shares issued by a Fund that has more than one class that represents interests in the same portfolio of securities under rule 18f-3 [17 CFR 270.18f-3] or under an order exempting the Fund from provisions of section 18 of the Act [15 U.S.C. 80a-18]. 223Controlled Foreign Corporation224 has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. 223Exchange-Traded Fund224 means an open-end management investment company (or Series or Class thereof) or unit investment trust (or series thereof), the shares of which are listed and traded on a national securities exchange at market prices, and that has formed and operates under an exemptive order under the Act granted by the Commission or in reliance on an exemptive rule under the Act adopted by the Commission. 223Fund224 means the Registrant or a separate Series of the Registrant. When an item of Form N-PORT specifically applies to a Registrant or a Series, those terms will be used. 223Highly Liquid Investment Minimum224 has the meaning defined in rule 22e-4(a)(7) [17 CFR 270.22e-4(a)(7)]. 223Illiquid Investment224 has the meaning defined in rule 22e-4(a)(8) [17 CFR 270.22e-4(a)(8)]. 223ISIN224 means, with respect to any security, the 223international securities identification number224 assigned by a national numbering agency, partner, or substitute agency that is coordinated by the Association of National Numbering Agencies. 223LEI224 means, with respect to any company, the 223legal entity identifier224 as assigned by a utility endorsed by the Global LEI Regulatory Oversight Committee or accredited by the Global LEI Foundation. In the case of a financial institution, if a 223legal entity identifier224 has not been assigned, then provide the RSSD ID, if any, assigned by the National Information Center of the Board of Governors of the Federal Reserve System. 223Multiple Class Fund224 means a Fund that has more than one Class. 223Registrant224 means a management investment company, or an Exchange-Traded Fund organized as a unit investment trust, registered under the Act. 223Restricted Security224 has the meaning defined in rule 144(a)(3) under the Securities Act of 1933 [17 CFR 230.144(a)(3)]. 223Series224 means shares offered by a Registrant that represent undivided interests in a portfolio of investments and that are preferred over all other series of shares for assets specifically allocated to that series in accordance with rule 18f-2(a) [17 CFR 270.18f-2(a)]. 223Swap224 means either a 223security-based swap224 or a 223swap224 as defined in sections 3(a)(68) and (69) of the Securities Exchange Act of 1934 [15 U.S.C. 78c(a)(68) and (69)] and any rules, regulations, or interpretations of the Commission with respect to such instruments. American LegalNet, Inc. 4 SEC 2940 ( 2/19 ) F. Pub

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