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Form NPORT-EX Filings

SEC Form NPORT-EX is an exhibit filing used in connection with Form N-PORT to provide a fund’s complete portfolio holdings for certain fiscal quarter-end reports. It is filed by funds subject to Form N-PORT as part of the SEC’s portfolio reporting framework.

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What Is SEC Form NPORT-EX?

SEC Form NPORT-EX is the portfolio holdings exhibit attached to certain Form N-PORT filings for registered funds and certain exchange-traded funds, and it presents complete holdings for the period covered by the report.

This exhibit is generally required for reports filed for the end of the first and third quarters of a fund’s fiscal year, and it must present holdings in accordance with Regulation S-X schedules. It appears in EDGAR as an NPORT-EX document associated with a Form N-PORT or amended Form N-PORT filing.

Form NPORT-EX supports public portfolio transparency by providing the fund’s complete holdings for the applicable period. While it is filed as an exhibit rather than a standalone monthly report, it forms part of the broader portfolio reporting record.

Key elements typically found in SEC Form NPORT-EX include:

  • Name of the registrant and series
  • Reporting period covered by the exhibit
  • Complete portfolio holdings as of the close of the period
  • Schedules presented in accordance with Regulation S-X
  • Exhibit filing as part of Form N-PORT
  • Signature and authorization information

SEC Form NPORT-EX Filing Deadlines

SEC Form NPORT-EX follows the timing requirements applicable to Form N-PORT reports for the relevant quarter-end period. These deadlines are important to ensure compliance with SEC reporting rules and public disclosure requirements.

Filing Stage Timeline Details
Reporting Period End of the first or third fiscal quarter Form NPORT-EX applies to applicable quarter-end Form N-PORT reports
Form NPORT-EX Filing No later than 60 days after the end of the reporting period Filed electronically with the SEC as an exhibit to Form N-PORT
Public Availability Upon filing Complete portfolio holdings exhibit becomes publicly available
Amendment Filing As needed Corrections or updates may be made through an amended Form N-PORT filing

Key Things to Know About Form NPORT-EX Filing Rules

  • Filed as an Exhibit: Form NPORT-EX is not a separate, standalone report. It is filed as the exhibit portion of certain Form N-PORT submissions.
  • Applies to Specific Quarter-End Reports: The exhibit is required for reports filed for the end of the first and third quarters of a fund’s fiscal year.
  • Regulation S-X Presentation Required: The portfolio holdings included in Form NPORT-EX must be presented in accordance with the schedules outlined in Regulation S-X.
  • Public Portfolio Disclosure: Unlike certain nonpublic portions of Form N-PORT, the complete portfolio holdings exhibit filed on Form NPORT-EX is intended for public disclosure upon filing.
  • Amendments May Be Filed: A fund may amend a previously filed report to correct a mistake or error, and amended filings may also include an NPORT-EX exhibit.

SEC Form NPORT-EX is a portfolio holdings exhibit attached to certain Form N-PORT filings, presenting complete fund holdings for the reporting period. It is typically filed for first and third fiscal quarters and aligns with disclosures tracked in SEC Quarterly Reports, while analysts reviewing SEC fund filings often assess it alongside the related Form N-PORT filing.

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