Form N-LIQUID Current Report Open-End Management Investment Company (SEC2941) {N-LIQUID} | Pdf Fpdf Docx | Official Federal Forms

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Form N-LIQUID Current Report Open-End Management Investment Company (SEC2941) {N-LIQUID} | Pdf Fpdf Docx | Official Federal Forms

Form N-LIQUID Current Report Open-End Management Investment Company (SEC2941) {N-LIQUID}

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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 2941 ( 02/19 ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-LIQUID CURRENT REPORT OPEN-END MANAGEMENT INVESTMENT COMPANY LIQUIDITY Form N-LIQUID is to be used by a registered open-end management investment company, or series thereof (223fund224), under the Investment Company Act of 1940 (15 U.S.C. 80a) (223Act224) but not including a fund that is regulated as a money market fund under rule 2a-7 under the Act (17 CFR 270.2A-7), to file current reports with the Commission pursuant to rule 30b1-10 under the Act (17 CFR 270.30b1-10). The Commission may use the information provided on Form N-LIQUID in its regulatory, disclosure review, inspection, and policymaking roles. GENERAL INSTRUCTIONS A. Rules as to Use of Form N-LIQUID. (1) Form N-LIQUID is the reporting form that is to be used for current reports of open-end management investment companies (223registrants224) required by section 30(b) of the Act and rule 30b1-10 under the Act. The Commission does not intend to make public information reported on Form N-LIQUID that is identifiable to any particular registrant, although the Commission may use Form N-LIQUID information in an enforcement action. 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 https://www.edgarfiling.sec.gov. OMB Number: 3235 - 0754 Expires: December 31, 2020 Estimated average burden hours per response 13.6 OMB APPROVAL American LegalNet, Inc. www.FormsWorkFlow.com 2 SEC 2941 ( 02/19 ) (2) Unless otherwise specified, a report on this Form N-LIQUID is required to be filed, as applicable, within one business day of the occurrence of the event specified in Parts B 226 D of this form. If the event occurs on a Saturday, Sunday, or holiday on which the Commission is not open for business, then the one business day period shall begin to run on, and include, the first business day thereafter. 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 should 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. Information to Be Included in Report Filed on Form N-LIQUID Upon the occurrence of the event specified in Parts B 226 D of Form N-LIQUID, a registrant must file a report on Form N-LIQUID that includes information in response to each of the items in Part A of the form, as well as each of the items in the applicable Parts B 226 D of the Form. D. Filing of Form N-LIQUID A fund must file Form N-LIQUID in accordance with rule 232.13 of Regulation S-T (17 CFR Part 232). Form N-LIQUID must be filed electronically using the Commission222s Electronic Data Gathering, Analysis and Retrieval System (223EDGAR224). E. Paperwork Reduction Act Information A registrant is not required to respond to the collection of information contained in Form N-LIQUID 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 American LegalNet, Inc. www.FormsWorkFlow.com 3 SEC 2941 ( 02/19 ) burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-1090. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. 3507. F. Definitions References to sections and rules in this Form N-LIQUID are to the Investment Company Act (15 U.S.C 80a), unless otherwise indicated. Terms used in this Form N-LIQUID have the same meaning as in the Investment Company Act or rule 22e-4 under the Investment Company Act, unless otherwise indicated. In addition, as used in this Form N-LIQUID, the term registrant means the registrant or a separate series of the registrant. American LegalNet, Inc. www.FormsWorkFlow.com 4 SEC 2941 ( 02/19 ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-LIQUID CURRENT REPORT OPEN-END MANAGEMENT INVESTMENT COMPANY LIQUIDITY PART A. General Information Item A.1. Report for [mm/dd/yyyy]. Item A.2. CIK Number of registrant. Item A.3. EDGAR Series Identifier. Item A.4. Securities Act File Number. Item A.5. Provide the name, e-mail address, and telephone number of the person authorized to receive information and respond to questions about this Form N-LIQUID. PART B. Above 15% Illiquid Investments If more than 15 percent of the registrant222s net assets are, or become, illiquid investments that are assets as defined in rule 22e-4, then report the following information: Item B.1. Date(s) on which the registrant222s illiquid investments that are assets exceeded 15 percent of its net assets. Item B.2. The current percentage of the registrant222s net assets that are illiquid investments that are assets. Item B.3. Identification of illiquid investments. For each investment that is an asset that is held by the registrant that is considered illiquid, disclose (1) the name of the issuer, the title of the issue or description of the investment, the CUSIP (if any), and at least one other identifier, if available (e.g., ISIN, Ticker, or other unique identifier (if ticker American LegalNet, Inc. www.FormsWorkFlow.com 5 SEC 2941 ( 02/19 ) and ISIN are not available)) (indicate the type of identifier used), and (2) the percentage of the fund222s net assets attributable to that investment. PART C. At or Below 15% Illiquid Investments If a registrant that has filed part B of Form N-LIQUID determines that its holdings in illiquid investments that are assets have changed to be less than or equal to 15 percent of the registrant222s net assets, then report the following information: Item C.1. Date(s) on which the registrant222s illiquid investments that are assets fell to or below 15 percent of net assets. Item C.2. The current percentage of the registrant222s net assets that are illiquid investments that are assets. PART D. Assets that are Highly Liquid Investments Below the Highly Liquid Investment Minimum If a registrant222s holdings in assets that are highly liquid investments fall below its highly liquid investment minimum for more than 7 consecutive calendar days, then report the following information: Item D.1. Date(s) on which the registrant222s holdings of assets that are highly liquid investments fell below the fund222s highly liquid investment minimum. PART E. Explanatory Notes (if any) Registrants may provide any information it believes would be helpful in understanding the information reported in response to any Item of this Form. American LegalNet, Inc. www.FormsWorkFlow.com 6 SEC 2941 ( 02/19 ) SIGNATURES Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. (Registrant) Date (Signature)* *Print name and title of the signing officer under his/her signature. American LegalNet, Inc. www.FormsWorkFlow.com

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