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Form N-PX-FM Filings

SEC Form N-PX-FM is an annual EDGAR submission type used for a registered management investment company filing on Form N-PX when the report includes proxy votes of institutional managers. The SEC’s EDGAR forms index identifies N-PX-FM as the annual report of proxy voting records of registered management investment companies that includes proxy votes of institutional managers.

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What Is SEC Form N-PX-FM?

SEC Form N-PX-FM is a version of Form N-PX used by a registered management investment company when its annual proxy voting report includes votes that would otherwise be reportable by institutional managers. Form N-PX is filed electronically on EDGAR and generally is due by August 31 for the most recent 12-month period ended June 30.

This filing is typically used when a fund’s Form N-PX report includes proxy voting information on behalf of one or more institutional managers under the joint reporting framework described in Form N-PX instructions. Because it is part of the Form N-PX reporting structure, it may be reviewed alongside Form N-PX filings, definitive proxy statements, and annual reports.

Form N-PX-FM helps organize annual proxy voting disclosure when a registered management investment company reports votes that are attributable to institutional managers. Form N-PX instructions state that a fund may report proxy votes that otherwise would be required to be reported by an institutional manager, provided the filing identifies the institutional managers on whose behalf the report is made.

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

  • Name of the registered management investment company
  • Report type indicating a fund filing that includes institutional manager votes
  • Reporting period covered by the annual filing
  • List of included institutional managers and identifying information, if applicable
  • Proxy voting information reported under Form N-PX instructions
  • Electronic submission through EDGAR

SEC Form N-PX-FM Filing Deadlines

SEC Form N-PX-FM follows the annual Form N-PX reporting timetable. These deadlines are important because Form N-PX generally must be filed by August 31 for the most recent 12-month period ended June 30, and the filing is made electronically through EDGAR.

Filing Stage Timeline Details
Reporting Period End June 30 each year Covers the most recent 12-month period ended June 30.
Form N-PX-FM Filing Not later than August 31 The annual proxy voting report is filed electronically with the SEC on EDGAR.
Amendment Filing As needed If corrected or supplemented, an amendment may restate the report or add new proxy voting information for the same period.
Joint Reporting Identification At the time of filing The filing must identify included institutional managers when the fund reports votes on their behalf.

Key Things to Know About Form N-PX-FM Filing Rules

  • Fund-Based Reporting Structure: Form N-PX-FM is used for a registered management investment company filing that includes proxy votes of institutional managers.
  • Part of Form N-PX Instructions: This submission type operates within the Form N-PX framework, which contains the cover page, summary page, and proxy voting information requirements.
  • Institutional Managers Must Be Identified: When a fund reports votes on behalf of institutional managers, the filing must identify those managers in the manner required by Form N-PX instructions.
  • Annual Filing Schedule Applies: Form N-PX is generally due each year by August 31 for the 12 months ended June 30.
  1. Electronic EDGAR Submission Required: Form N-PX reports, including this filing type, must be submitted electronically through the SEC’s EDGAR system.
  2. Form N-PX-FM is part of the Form N-PX reporting framework used for annual proxy voting disclosure by registered management investment companies when institutional manager votes are included.

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