Form N-PX/A Filings

What Is SEC Form N-PX/A?

SEC Form N-PX/A is an amendment to Form N-PX, the annual report of proxy voting record filed with the Securities and Exchange Commission (SEC). It is used when a reporting person needs to restate a prior Form N-PX filing in its entirety or add proxy voting information for the same reporting period.

This form is typically filed when a registered fund or other reporting person needs to correct an error, revise previously reported information, or include additional proxy voting information that was not included in the original filing. Because it amends an earlier filing, it is part of the filer’s ongoing proxy voting disclosure framework.

Form N-PX/A helps maintain the accuracy of public proxy voting disclosures by allowing filers to amend previously submitted reports. If the filing is made as an amendment, the filer must identify the amendment number and indicate whether the amendment is a restatement or adds new proxy voting information.

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

• Name of the registrant, fund, or institutional manager
• Reporting period covered by the filing
• Amendment number and amendment type
• 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/A Filing Deadlines

SEC Form N-PX/A does not have a fixed annual amendment deadline. It is generally filed as needed when a filer must correct, restate, or supplement a previously filed Form N-PX report for the same reporting period.

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

• Amendment Format Must Be Clear: If Form N-PX/A is filed as an amendment, the filer must check the amendment box, enter the amendment number, and indicate whether the amendment restates the report or adds new proxy voting information.
• Complete Cover Page Required: Each amendment must include a complete Cover Page and, if applicable, a Summary Page.
• Used to Correct or Supplement Prior Reports: Form N-PX/A is used when a reporting person needs to correct previously filed information or add proxy voting information for the same reporting period.
• Applies to the Same Reporting Period: An amendment does not create a new reporting period. It relates to the same annual period covered by the original Form N-PX filing.
• Filed Electronically With the SEC: Form N-PX/A is submitted through EDGAR as an amendment to an earlier public Form N-PX report.

SEC Form N-PX/A is an amendment to a previously filed Form N-PX report, used by registered funds and institutional managers to correct or update proxy voting disclosures. It aligns with filings tracked in SEC Annual Reports, while analysts reviewing SEC funds filing insights may also use SEC filing search to compare amended voting records and monitor governance trends.