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Form N-PX-NT Filings

SEC Form N-PX-NT is a formal filing used by institutional investment managers to submit an annual Form N-PX notice report when no proxy votes are reported in the filing for the relevant reporting period.

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What Is SEC Form N-PX-NT?

SEC Form N-PX-NT is an important filing used under Form N-PX by an institutional manager to report that no proxy votes are being included in that filing for the reporting period ended June 30. It is identified in EDGAR as an annual Form N-PX notice filed by institutional managers.

This form is typically filed when all reportable proxy votes are reported by other reporting persons, when the manager did not exercise voting power for any reportable voting matter, or when the manager has a clearly disclosed policy of not voting and did not vote on any proxy voting matters during the reporting period.

Form N-PX-NT helps maintain transparency by formally notifying the SEC and the public why an institutional manager is not reporting proxy votes in that filing. It remains part of the annual proxy voting reporting framework for institutional managers subject to Rule 14Ad-1 and is generally due by August 31 for the most recent 12-month period ended June 30.

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

  • Name of the reporting institutional manager
  • Form 13F file number and other identifying numbers, if applicable
  • Reporting period covered by the filing
  • Designation of the filing as an Institutional Manager Notice Report
  • Notice report filing explanation describing why no proxy votes are reported
  • List of other reporting persons for the manager, if applicable
  • Signature of the reporting person

SEC Form N-PX-NT Filing Deadlines

SEC Form N-PX-NT follows the annual filing timetable for Form N-PX reports submitted by institutional managers. These deadlines are important for regulatory compliance and for timely notice reporting under the SEC’s proxy voting disclosure framework.

Filing Stage Timeline Details
Reporting Period 12-month period ended June 30 The notice report covers the most recent annual reporting period.
Form N-PX-NT Filing Not later than August 31 each year Filed electronically with the SEC as an annual Form N-PX notice report.
Initial Form 13F Transition Rule Not applicable in the manager’s initial Form 13F year A manager is not required to file Form N-PX for the 12 months ending June 30 of the calendar year in which its initial Form 13F filing is due.
Final Form 13F Transition Rule March 1 of the following calendar year If the manager makes a final Form 13F filing, a Form N-PX filing may be required for the July 1 through September 30 period.

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

  • Notice Report Status Matters: Form N-PX-NT is used only when no proxy votes are reported in that filing by the institutional manager.
  • Specific Explanations Are Required: The filing must indicate whether all reportable votes are reported by other reporting persons, whether the manager did not exercise voting power, or whether the manager had a clearly disclosed policy of not voting and did not vote.
  • Annual Deadline Still Applies: Even though it is a notice report, Form N-PX-NT generally follows the same annual August 31 deadline applicable to Form N-PX filings for the period ended June 30.
  • Form 13F Status Can Affect Filing Obligations: Initial and final Form 13F filing status may change whether or when a manager must file under Form N-PX.
  • Part of the Broader Form N-PX Framework: Form N-PX-NT is one of the institutional manager report types within Form N-PX, alongside voting reports and combination reports.

For shareholder reports, portfolio exhibits, confidential and amended portfolio filings, and proxy voting notices, our Edgar Data directory helps you to track filings such as Form N‑CSR, Form N‑CSRS, Form NPORT‑EX, Form NPORT‑NP, Form NPORT‑P/A, and Form N‑PX‑NT.

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