Form N-Q Quarterly Schedule Of Portfolio Holdings Of Registered Management Investment Company (SEC2455) {N-Q} | Pdf Fpdf Docx | Official Federal Forms

 Official Federal Forms /  Securities And Exchange Commission /
Form N-Q Quarterly Schedule Of Portfolio Holdings Of Registered Management Investment Company (SEC2455) {N-Q} | Pdf Fpdf Docx | Official Federal Forms

Form N-Q Quarterly Schedule Of Portfolio Holdings Of Registered Management Investment Company (SEC2455) {N-Q}

This is a Official Federal Forms form that can be used for Securities And Exchange Commission.

Alternate TextLast updated: 4/1/2019

Included Formats to Download
$ 17.99

Description

OMB APPROVAL OMB Number: 3235-0578Expires: Estimated average burden hours per response . . . . . . . . . . 10.5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTEREDMANAGEMENT INVESTMENT COMPANY Investment Company Act file number(Exact name of registrant as specified in charter) (Address of principal executive offices) (Zipcode)(Name and address of agent for service) Registrant222s telephone number, including area code:Date of fiscal year end:Date of reporting period:Form N-Q is to be used by management investment companies, other than small business investment companies registered on Form N-5 (247247 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than 60 days after the close of the first and third fiscal quarters, pursuant to rule 30b1-5 under the Investment Company Act of 1940 (17 CFR 270.30b1-5). The Commission may use the information provided on Form N-Q in its regulatory, disclosure review, inspection, and policymaking roles. A registrant is required to disclose the information specified by Form N-Q, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-Q unless the Form displays a currently valid Office of Management and Budget (223OMB224) control number. Pleasedirect comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. 247 3507.GENERAL INSTRUCTIONS A.Rule as to Use of Form N-Q.Form N-Q is a combined reporting form that is to be used for reports of registered management investmentcompanies, other than small business investment companies registered on Form N-5 (247247 239.24 and 274.5 of this chapter), under Section 30(b) of the Investment Company Act of 1940 (the 223Act224) and Section 13(a) or 15(d) of the Securities Exchange Act of 1934 (the 223Exchange Act224), filed pursuant to Rule 30b1-5 under the Act (17 CFR 270.30b1-5).Registered management investment companies, other than small business investment companies registered on Form N-5, shall file their complete portfolio holdings on Form N-Q as of the close of the first and third quarters of each fiscal year. A report on this form shall be filed not later than 60 days after the close of the first and third quarters of each fiscal year. SEC2455 (8-05) American LegalNet, Inc. www.FormsWorkFlow.com B.003Application of General Rules and Regulations. The General Rules and Regulations under the Act and the Exchange Act contain certain general requirements that are applicable to reporting on any form under those Acts. 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.003Preparation of Report. 1.003This Form is not to be used as a blank form to be filled in, but only as a guide in preparing the report in accordance with Rules 8b-11 (17 CFR 270.8b-11) and 8b-12 (17 CFR 270.8b-12) under the Act and Rules 12b-11 (17 CFR 240.12b-11) and 12b-12 (17 CFR 240.12b-12) under the Exchange Act. The Commission does not furnish blank copies of this form to be filled in for filing. 2.003These general instructions are not to be filed with the report. 3.003Attention is directed to Rule 12b-20 under the Exchange Act (17 CFR 240.12b-20), which states: 223In addition to the information expressly required to be included in a statement or report, there shall be added such further material information, if any, as may be necessary to make the required statements, in the light of the circumstances under which they are made not misleading.224 D.003Incorporation by Reference. A registrant may incorporate by reference information required by the Form. All incorporation by reference must comply with the requirements of this Form and the following rules on incorporation by reference: Rule 10(d) of Regulation S-K under the Securities Act of 1933 (17 CFR 229.10(d)) (general rules on incorporation by reference, which, among other things, prohibit, unless specifically required by this Form, incorporating by reference a document that includes incorporation by reference to another document, and limits incorporation to documents filed within the last 5 years, with certain exceptions); Rule 303 of Regulation S-T (17 CFR 232.303) (specific requirements for electronically filed documents); Rules 12b-23 and 12b-32 under the Exchange Act (17 CFR 240.12b-23 and 12b-32) (additional rules on incorporation by reference for reports filed pursuant to Sections 13 and 15(d) of the Exchange Act); and Rules 0-4, 8b-23, and 8b-32 under the Act (17 CFR 270.0-4, 270.8b-23, and 270.8b-32) (additional rules on incorporation by reference for investment companies). E.003Definitions. Unless the context clearly indicates the contrary, terms used in this Form N-Q have meanings as defined in the Act and the rules and regulations thereunder. Unless otherwise indicated, all references in the form to statutory sections or to rules are sections of the Act and the rules and regulations thereunder. F.003Signature and Filing of Report. 1.003If the report is filed in paper pursuant to a hardship exemption from electronic filing (see Item 201 et seq. of Regulation S-T (17 CFR 232.201 et seq.)), eight complete copies of the report shall be filed with the Commission. At least one complete copy of the report shall be filed with each exchange on which any class of securities of the registrant is registered. At least one complete copy of the report filed with the Commission and one such copy filed with each exchange must be manually signed. Copies not manually signed must bear typed or printed signatures. 2.003(a) The report must be signed by the registrant, and on behalf of the registrant by its principal executive and principal financial officers. (b) The name of each person who signs the report shall be typed or printed beneath his or her signature. Any person who occupies more than one of the specified positions shall indicate each capacity in which he or she signs the report. Attention is directed to Rule 12b-11 under the Exchange Act (17 CFR 240.12b-11) and Rule 8b-11 under the Act (17 CFR 270.8b-11) concerning manual signatures and signatures pursuant to powers of attorney. American LegalNet, Inc. www.FormsWorkFlow.com Item 1. Schedule of Investments. File the schedules as of the close of the reporting period as set forth in 247247 210.12-12 226 12-14 of Regulation S-X [17 CFR 210.12-12 226 12-14]. The schedules need not be audited. Item 2. Controls and Procedures. (a) Disclose the conclusions of the registrant222s principal executive and principal financial officers, or persons performing similar functions, regarding the effectiveness of the registrant222s disclosure controls and procedures (as defined in Rule 30a-3(c) under the Act (17 CFR 270.30a-3(c))) as of a date within 90 days of the filing date of the report that includes the disclosure required by this paragraph, based on the evaluation of these controls and procedures required by Rule 30a-3(b) under the Act (17 CFR 270.30a þ- 3(b)) and Rule 13a-15(b) or 15d-15(b) under the Exchange Act (17 CFR 240.13a-15(b) or 240.15d þ- 15(b)). (b) Disclose any change in the registrant222s internal control over financial reporting (as defined in Rule 30a þ- 3(d) under the Act (17 CFR 270.30a-3(d)) that occurred during the registrant222s last fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant222s internal control over financial reporting. Item 3. Exhibits. File as exhibits as part of this Form a separate certification for each principal executive officer and principal financial officer of the registrant as required by Rule 30a-2(a) under the Act (17 CFR 270.30a-2(a)), exactly as set forth below: CERTIFICATIONS I, [identify the certifying indi

Our Products