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Form N-PX-CR/A Filings

SEC Form N-PX-CR/A is an amendment filing used by institutional managers to revise a previously filed annual Form N-PX Combination Report. It is submitted through EDGAR when the filer needs to restate the report or add new proxy voting information for the same reporting period.5

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What Is SEC Form N-PX-CR/A?

SEC Form N-PX-CR/A is an amendment to Form N-PX-CR, the annual Form N-PX Combination Report filed by institutional managers. It is used to correct, restate, or supplement a previously filed report for the applicable period. Because it amends an earlier filing, it may be reviewed alongside related proxy disclosure activity such as definitive proxy statements, preliminary proxy statements, and revised proxy statements.

This form helps maintain the accuracy of public proxy voting disclosures by allowing institutional managers to amend previously submitted Form N-PX-CR reports. If the filing is made as an amendment, the reporting person must indicate the amendment number and whether the amendment is a restatement or adds new proxy voting entries.

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

  • Name of the institutional manager
  • Amendment number and identification of the amended report
  • Reporting period covered by the filing
  • Indication of whether the amendment is a restatement or adds new proxy voting entries
  • Updated proxy voting information on executive compensation matters required to be reported
  • Electronic submission through EDGAR as an amendment to a prior Form N-PX-CR filing

SEC Form N-PX-CR/A Filing Deadlines

SEC Form N-PX-CR/A does not have a separate fixed annual amendment deadline. The original Form N-PX reporting framework is annual, but an amendment filing is made as needed when a previously filed report must be corrected or supplemented.

Filing Stage Timeline Details
Original Form N-PX Reporting Deadline Not later than August 31 each year Covers the most recent 12-month period ended June 30
Amendment Filing As needed Filed electronically with the SEC to amend a previously filed Form N-PX-CR
Amendment Effectiveness Upon filing Updates or supplements the information previously reported
Separate Fixed Amendment Deadline Not applicable Timing depends on when corrections or additional proxy voting information become necessary

Key Things to Know About Form N-PX-CR/A Filing Rules

  • Amendment Identification Required: If Form N-PX-CR/A is filed, the reporting person must identify it as an amendment, provide the amendment number, and indicate whether it is a restatement or adds new proxy voting entries.
  • Annual Reporting Framework Still Applies: Form N-PX reports are generally due by August 31 each year for the most recent 12-month period ended June 30, subject to special transition rules for certain initial or final Form 13F filers.
  • Amendments May Restate or Supplement: Amendments to Form N-PX may either restate the report in its entirety or include only additional proxy voting information for the same period, depending on the nature of the correction.
  • Electronic Filing Is Required: Reporting persons must file Form N-PX electronically through the SEC’s EDGAR system in accordance with Regulation S-T and applicable EDGAR filing instructions.
  • Used for Institutional Manager Proxy Vote Reporting: Form N-PX-CR/A relates to the annual Form N-PX Combination Report filed by institutional managers for proxy voting disclosure on executive compensation matters.

To monitor amended proxy voting disclosures and related reporting activity, our platform helps you track key SEC filings associated with executive compensation voting records and proxy reporting changes.

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