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Form N-PX-VR Filings

SEC Form N-PX-VR is an annual filing used by institutional managers to report proxy voting records on certain executive compensation matters. It is filed with the Securities and Exchange Commission (SEC) as part of the annual Form N-PX reporting framework for managers subject to Section 13(f) reporting.

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What Is SEC Form N-PX-VR?

SEC Form N-PX-VR is an annual voting report filed by institutional managers. It is used by a manager required to file reports under Rule 13f-1 to disclose how it voted on shareholder matters pursuant to Sections 14A(a) and 14A(b) of the Securities Exchange Act of 1934.

This form is typically filed when an institutional manager exercises voting power over reportable say-on-pay matters during the relevant reporting period ended June 30. It is part of the annual reporting cycle under amended Form N-PX rules, with reports generally due by August 31.

Form N-PX-VR helps make executive compensation voting records publicly available by requiring institutional managers to disclose each reportable vote in a structured annual filing.

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

  • Name of the institutional manager and identifying file numbers
  • Reporting period covered by the filing
  • Institutional Manager Voting Report designation
  • Proxy voting information for each reportable say-on-pay matter
  • Issuer name and security identifiers, including CUSIP and ISIN
  • Shareholder meeting date and description of the matter voted on
  • Number of shares voted and how the shares were voted
  • Whether the vote was cast for or against management’s recommendation

SEC Form N-PX-VR Filing Deadlines

SEC Form N-PX-VR follows annual timing requirements for institutional managers that are subject to Form N-PX reporting. These deadlines are important because they determine when proxy voting information on covered executive compensation matters must be made public.

Filing Stage Timeline Details
Reporting Period End June 30 each year Covers the most recent 12-month period ended June 30
Form N-PX-VR Filing By August 31 each year Filed electronically with the SEC through EDGAR
Initial Form 13F Transition Not applicable for 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 is due
Final Form 13F Transition By March 1 of the following calendar year A manager making its final Form 13F filing must file for the period from July 1 through September 30 of that calendar year

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

  • Institutional Managers Use This Report: Form N-PX-VR is used by institutional managers who report all of their covered proxy votes in the filing.
  • Annual Filing Deadline Applies: The form is generally due by August 31 for the most recent twelve-month period ended June 30.
  • Voting Disclosure Is Limited to Covered Matters: Institutional managers report shareholder votes pursuant to Sections 14A(a) and 14A(b) of the Exchange Act, rather than a full proxy voting record for all portfolio securities.
  • Electronic Filing Is Required: The report must be submitted electronically through the SEC’s EDGAR system in accordance with the form instructions.
  • Transition Rules May Affect Timing: Managers making initial or final Form 13F filings during the relevant period may be subject to special transition rules under the Form N-PX instructions.

For shareholder reports, portfolio exhibits, confidential and amended portfolio filings, proxy voting notices, and machine‑readable proxy voting records, our real-time SEC filing data helps to track filings such as Form N‑CSR, Form N‑CSRS, Form NPORT‑EX, Form NPORT‑NP, Form NPORT‑P/A, Form N‑PX‑NT, and Form N‑PX‑VR.

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