Form N-PX Filings

What Is SEC Form N-PX?

SEC Form N-PX is an annual report of proxy voting record required under the Investment Company Act of 1940 and the Securities Exchange Act of 1934. It is used by registered funds to disclose their complete proxy voting records and by certain institutional managers to report votes on executive compensation matters.

This form is typically filed each year for the most recent 12-month period ended June 30. Because it is part of an issuer’s or reporting person’s ongoing disclosure framework.

Form N-PX promotes transparency by making proxy voting information publicly available through EDGAR. The form includes a standardized cover page, summary page, and proxy voting information, and it must be filed electronically with the SEC.

Key elements typically found in SEC Form N-PX include:

• Name of the registrant, fund, or institutional manager
• Reporting period covered by the filing
• Series or class information, if applicable
• Issuer name and meeting date for matters voted on
• Description of each matter and how the vote was cast
• Number of shares voted and whether the matter was proposed by the issuer or a security holder

SEC Form N-PX Filing Deadlines

SEC Form N-PX has annual reporting deadlines that filers must follow for the applicable reporting period. These deadlines help ensure timely public disclosure of proxy voting activity and compliance with SEC reporting requirements.

Key Things to Know About Form N-PX Filing Rules

• Annual Filing Requirement: Form N-PX is generally filed each year no later than August 31 for the most recent 12-month period ended June 30.
• Applies to Funds and Certain Managers: Registered management investment companies report complete proxy voting records, while certain institutional investment managers report say-on-pay voting information.
• Electronic Submission Required: Reports on Form N-PX must be filed electronically using the SEC’s EDGAR system.
• Amendments Are Permitted: If a filer amends Form N-PX, the amendment must be identified appropriately and include the required cover page information.
• Public Disclosure Matters: The information reported on Form N-PX is made public and may be used by investors, regulators, and researchers to review proxy voting activity.

SEC Form N-PX is an annual filing used by registered funds and certain institutional managers to report proxy voting records under the Investment Company Act of 1940. It aligns with disclosures tracked in SEC Annual Reports, while analysts reviewing SEC fund filings may also use SEC filing search tools to compare voting activity and monitor governance trends.