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Form NPORT-EX/A Filings

SEC Form NPORT-EX/A is an amendment filing used by registered funds to correct or update a previously filed portfolio holdings exhibit to Form N-PORT. It is submitted when a fund needs to amend the exhibit that presents complete portfolio holdings for the applicable reporting period.

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What Is SEC Form NPORT-EX/A?

SEC Form NPORT-EX/A is an amended portfolio holdings exhibit associated with Form N-PORT filings made by registered investment companies and certain exchange-traded funds. It is used to revise a previously filed NPORT-EX exhibit when corrections, updates, or other changes are needed in the complete holdings information reported for the applicable period.

This exhibit is tied to the portfolio reporting framework under Form N-PORT and relates to the complete portfolio schedules made public for the end of the first and third quarters of a fund’s fiscal year.

Form NPORT-EX/A supports transparency by allowing a fund to correct or update a previously filed public portfolio holdings exhibit. It is an amendment to an exhibit rather than a standalone monthly report.

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

  • Name of the registrant and series
  • Reporting period covered by the amended exhibit
  • Complete portfolio holdings as corrected or updated
  • Schedules presented in accordance with Regulation S-X
  • Reference to the related Form N-PORT filing
  • Signature and authorization information

SEC Form NPORT-EX/A Filing Deadlines

SEC Form NPORT-EX/A does not have a separate fixed filing deadline in the same way as an original periodic report. It is generally filed as needed when a fund amends a previously filed portfolio holdings exhibit to correct a mistake, update information, or otherwise revise the prior submission.

Filing Stage Timeline Details
Original Exhibit Filing Not applicable NPORT-EX/A is used only to amend a previously filed portfolio holdings exhibit
Amendment Filing As needed Filed electronically with the SEC when corrections or updates are required
Public Availability Upon filing The amended exhibit becomes part of the public EDGAR filing record
Related Reporting Context Not applicable The amendment relates to the portfolio holdings exhibit associated with Form N-PORT reporting

Key Things to Know About Form NPORT-EX/A Filing Rules

  • Amendment Filing Only:
    Form NPORT-EX/A is used to amend a previously filed Form NPORT-EX exhibit and is not used for an initial portfolio holdings exhibit filing.
  • Filed As Needed:
    A fund may file an amendment when it needs to correct a mistake, update exhibit content, or revise previously reported portfolio holdings information.
  • Connected to Form N-PORT Reporting:
    The amended exhibit remains part of the broader Form N-PORT reporting framework for registered funds and certain exchange-traded funds.
  • Public Portfolio Holdings Context:
    The exhibit relates to the complete portfolio schedules made public for the first and third quarters of a fund’s fiscal year.
  • Electronic Submission Required:
    NPORT-EX/A is submitted through EDGAR as a recognized Form N-PORT amendment submission type.

SEC Form NPORT-EX/A is an amended portfolio holdings exhibit used to revise previously filed Form NPORT-EX disclosures for registered funds and certain exchange-traded funds. It aligns with portfolio reporting under Form N-PORT and disclosures tracked in Quarterly Reports, while analysts reviewing funds filing insights often assess these amendments alongside the related filings.

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