Managing Form Data

General (all sections)

• Each part of the form displays values for all funds, for the account period, complex and fund group(s) selected in the top-level navigation bar.
• You can see the full text of any given question by hovering over the column header for that question.
• For questions that support multiple instances of a given entity, you can add or remove them using the “+ Add” and “X” controls in the grid, respectively.

Part A

• If an item is tied to the registrant shared data in ArcFiling Administration, any updates made in the grid will be reflected in the Administration area, as well.

Part A, Part B, Explanatory Notes

• You can use the search feature at upper-left of the grid to further refine results by fund name or fund code.

  The search term needs to be an exact match in order to filter by a specific fund code; partial search strings will filter results by fund name.

Part C & D

• You can search across the entire complex for a security, or select a fund group from the top-level navigation bar to narrow results.

  Searching across the complex can result in slower response times when searching for a security.

• You can search in specific fields only.

  • Security (i.e., security name)
  • Master Identifier
  • CUSIP
  • ISIN
  • Ticker
  • The search term needs to be an exact match in order to find a given security.
  • Search results are limited to the first 500 results.
• You can select a specific fund or sleeve from the corresponding drop-down lists at upper-right of the screen.
• For items such as counterparty or reference instruments, click the name in the grid to review underlying values.
• You can click the pushpin icon in the header of each column to increase the freezing of the panes when scrolling through the grid.

• You can delete individual securities via the “Security Data” link, which is located beneath the listing of items in the panel at left of the grid.

  • After clicking the “Security Data” link, select the check box(es) corresponding to the security(ies) you wish to delete, and then click the “Delete Holdings” button at upper-right of the screen.

  • Click the “Delete” button on the dialogue that displays to confirm your intention to delete the selected security(ies).

    The security(ies) you deleted will no longer be part of the holdings.

Part F (EX)

• All funds associated with the fund group selected in the top-level navigation bar display in the grid, with information for each in a series of columns.

  • “Fund”

    • Displays the name of the fund, a listing of any attachments uploaded for that fund, and controls to download or delete each attachment.

  • “Fund Code”

    • Displays the code that represents the fund.

  • “Part F (EX) Due”

    • Displays the month in which the next N-PORT-P filing is due for the fund, based on the fund’s fiscal year end and the account period selected in the top-level navigation bar.

  • “File Name”

    • Displays the name of each uploaded attachment for a given fund.

  • “File Type”

    • Displays the file type (i.e., “image” or “htm”) of each uploaded attachment for a given fund.

  • “Description”

    • Displays the specified description, if any, of each uploaded attachment for a given fund.
    • You can add a description for a given attachment either during the upload process or afterward, by typing directly in the grid.

• You can attach exhibits to funds in one of two ways:

  • Click the “+ Add Attachment” link in the “Fund” column to upload one or more files for a specific fund.

    • Clicking the link opens the “Upload Attachments” dialogue.

    • Click the “Select Files” button on the dialogue to select the file(s) from your local or network drive to attach.

      • Each file selected is listed in the “Uploaded Files” grid on the dialogue.

        • You can optionally add a description for each file by typing it in the “Description” column. You can also add or edit the description for any given file after upload by typing in the “Description” column of the main “Part F (EX)” screen.
        • If you selected a file by mistake, you can click the “X” button at its right to remove it from the list of files to be uploaded.
      • Click the “+ Add Attachment” link at lower-left of the dialogue to upload additional files for attachment.
    • Click the “Save” button at lower-right of the dialogue to attach the selected file(s) to the fund.

  • Click the “Bulk Upload” button at upper-right of the screen to upload one or more files for multiple funds associated with a given registrant at once.

    • Clicking the button opens the “Part F (EX) Attachments” screen, on which all registrants and their respective funds are displayed, based on the fund group selected in the top-level navigation bar. Information for each fund is presented in a series of grid columns.

      • “Fund”

        • Displays the name and code of the fund.

      • “Part F (EX) Required?”

        • Displays a “Yes” or “No” and the fund’s fiscal year end date.

          The value of “Yes” or “No” is derived based on the fund’s fiscal year end and the account period selected in the top-level navigation bar (e.g., if the fund’s fiscal year end is 12/31 and you are viewing the September account period, the value displayed will be “Yes”).

      • “EDGAR Series ID”

        • Displays the fund’s EDGAR series identifier value.

      • “Month Due”

        • Displays the month in which the N-PORT-P is due, based on the account period selected in the top-level navigation bar.

      Use the controls in the grid column headers to filter the listing of funds in view for a given registrant while you’re working.

      You can only upload attachments to one registrant at a time.

    • Select the check box(es) corresponding to the fund(s) you want to attach your file(s) to.

      You can use the “Select all” check box at far left of the grid header row to select all funds at once.

    • Once you’ve specified your fund(s), click the “Next” button at lower-right of the screen.

    • Click the “Select Files” button in the “Attachments” section of the next screen to select the file(s) from your local or network drive to attach.

      • Each file selected is listed in the “Attachments” section.

        • You can optionally add a description for each file by typing it in the “Description” column. You can also add or edit the description for any given file after upload by typing in the “Description” column of the main “Part F (EX)” screen.
        • If you selected a file by mistake, you can click the “X” button at its right to remove it from the list of files to be uploaded.
      • Click the “+ Add Attachments” link at upper-right of the screen to upload additional files for attachment.

    • Each fund selected on the previous screen is listed in the “Selected Funds” section.

      • If you selected a fund by mistake, you can click the “X” button at its right to remove it from the list of funds to which files will be attached.
    • Click the “Save” button at lower-right of the screen to attach the selected file(s) to the selected fund(s).
  • Supported attachment file formats are HTM, JPG, GIF or ZIP.
  • All attachment file names must be in lowercase.
  • The maximum allowed file size for each attachment is 600 Mb.
  • After clicking the “Select Files” button, you can select one file at a time for upload, or use the “Ctrl” or “Shift” key in combination with mouse clicks to select multiple files for upload.
  • If you select a ZIP archive for upload containing one or more files of appropriate format, each file in the archive will be attached separately (i.e., the archive’s contents will be extracted and the ZIP file itself will not be attached).

• You can delete any given attachment for a fund by clicking the “X” button at its right, in the “Fund” column.

  This action is irreversible, and you will not be prompted to confirm the deletion when the “X” button is clicked.

• You can download an uploaded attachment by clicking the download button at its right, in the “Fund” column.
• The file(s) attached to each fund will be part of the XML generated via the “Prepare and File” section.

Filing Information

• For the “Series/Class Information” section, you cannot add but can delete series from the grid; you can also update existing values.

XML Warnings

• You can check for XML warnings for one or more funds by selecting the check boxes representing those funds at left of the grid, then clicking the “Check For Warnings” button at upper-right of the screen.

• Reported warnings are grouped into two separate tabs.

  • “By Fund”

    • This tab includes the warnings found for form Part A, Part B and Filing Information.
    • You can filter by fund name (code) and/or question on this tab.

  • “By Security”

    • This tab includes the warnings found for form Part C & D.
    • You can filter by security name (master identifier), fund name (code) and/or question on this tab.

• Both tabs present warning information in a series of grid columns.

  • “Question”

    • Displays the question the warning was found for.

  • “Checked Value”

    • Displays the value for the question at the time the warning manager was run.

  • “New Value”

    • If you have edit rights, you can update the value in the grid.

      • For questions that contain a list of valid values (e.g., Currency Code), a drop-down list is available for selecting the appropriate response.
    • If you have read-only rights, you cannot edit the value, and the “Save and Check” button is disabled.

  • “XML Warning”

    • Displays the reason a given warning was reported.

• Once you make any necessary updates, you can click the “Save and Check” button at upper-right of the screen.

  The warning manager will run again and any resolved warnings will no longer display in the grid results.

• You can download the list of warnings on both the tabs to a CSV file by clicking the “Download” button at upper-right of the screen.

  Any filters applied in the user interface will be maintained in the CSV file.

Prepare and File

• You can generate XML, download XML and/or Excel renderings or perform test and live filings of Form N-PORT for more than one fund at once by selecting the check boxes representing those funds at left of the grid, then clicking the appropriate button at upper-right of the screen.
• You can use the search feature at upper-left of the grid to further refine results by fund name.

Tools

General (all sections)

• Each part of the form displays values for all registrants, for the account period selected in the top-level navigation bar.
• You can see the full text of any given question by hovering over the column header for that question.
• For questions that support multiple instances of a given entity, you can add or remove them using the “+ Add” and “X” controls in the grid, respectively.
• If the value of a given entity instance is displayed in bold text, it is an indication of a second level of instances. You can click the bold text to open a new window, where you can manage values for that level.

Part G

• You can add one or more attachments for a given registrant by clicking the “Add Attachment” link. On the dialogue that displays, specify the associated question, optionally provide an attachment description, and then upload the desired attachment file.
• If needed, click the “Attachment Requirements” link at upper-right of the screen to review the SEC file attachment requirements and naming conventions.

Filing Information

• For the “Series/Class Information” section, you cannot add or delete series from the grid; you can only update existing values.

Prepare and File

• You can generate XML, download XML and/or Excel renderings or perform test and live filings of Form N-CEN for more than one registrant at once by selecting the check boxes representing those registrants at left of the grid, then clicking the appropriate button at upper-right of the screen.
• You can use the search feature at upper-left of the grid to further refine results by registrant name.

Tools