NCEN Data Sets
| SUBMISSION TYPE | DESCRIPTION |
|---|---|
| N-CEN | Annual Report for Registered Investment Companies |
| N-CEN/A | Amendment to Annual Report for Registered Investment Companies |
| NT N-CEN | Notice of inability to timely file Form N-CEN |
| NT N-CEN/A | Amendment to notice of inability to timely file Form N-CEN |
1. SUBMISSION provides N-CEN filing information and EDGAR source data, with each row having the primary key ACCESSION_NUMBER.
2. REGISTRANT contains information about the Registrant, with each row having the primary key ACCESSION_NUMBER.
3. REGISTRANT_WEBSITE contains information about Registrant public website, without primary key.
4. LOCATION_BOOKS_RECORD contains information about the location of books and records, without primary key.
5. TERMINATED_ORGANIZATION provides information for a series of the registrant terminated during the fiscal year end covered by this report, without primary key.
6. DIRECTOR provides information about each person serving as director of the Registrant, with each row having ACCESSION_NUMBER and DIRECTOR_SEQNUM as their keys.
7. DIRECTOR_FILE_NUMBER Investment Company Act file number of any other registered investment company for which the person also serves as a director, without primary key.
8. CHIEF_COMPLIANCE_OFFICER contains information for each person servings as chief compliance officer of the Registrant, with each row having ACCESSION_NUMBER and CCO_SEQNUM as their keys.
9. CCO_EMPLOYER contains information about the chief compliance officer if they are compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, without primary key.
10. REGISTRANT_REPORTING_SERIES contains series of Registrant reporting information for the following: 'Security Submitted' (item B.10.a), 'Legal Proceeding' (item B.11.a.i), 'Proceeding Terminated' (item B.11.b.i), 'Financial Support' (item B.14.a), 'Audit Opinion' (item B.19.a), 'Payment Error' (item B.22.a.i), 'Payment Dividend' (item B.23.a), without primary key.
11. RELEASE_NUMBER contains the release number from the Commission granting an exemption from one or more provisions of the Investment Company Act of 1940 ("Act"), the Securities Act of 1933 ("Securities Act") or the Securities Exchange Act of 1934 ("Exchange Act"), without primary key.
12. PRINCIPAL_UNDERWRITER contains information about each principal underwriter, without primary key.
13. PUBLIC_ACCOUNTANT contains information about each independent public accountant, without primary key.
14. VALUATION_METHOD_CHANGE contains information for material changes in valuation of the Registrant's assets during the reporting period, with each row having ACCESSION_NUMBER and VALUATION_METHOD_CHANGE_SEQNUM as their keys.
15. VALUATION_METHOD_CHANGE_SERIES series involved in a material change in valuation, without primary key.
16. FUND_REPORTED_INFO provides information about the fund from parts C and D, with each row having ACCESSION_NUMBER and SERIES_ID as their keys.
17. SHARES_OUTSTANDING provides information for each class with shares outstanding, without primary key.
18. FEEDER_FUNDS provides information for each feeder fund if the registrant is a master fund, without primary key.
19. MASTER_FUNDS provides information about the master fund if the registrant is a feeder fund, without primary key.
20. FOREIGN_INVESTMENT provides information on investments in certain foreign corporations, without primary key.
21. SECURITY_LENDING contains information for each securities lending agent retained by the Fund, with each row having FUND_ID and SECURITY_LENDING_SEQNUM as their keys.
22. SEC_LENDING_INDEMNITY_PROVIDER provides information about the entity providing indemnification if not the securities lending agent, without primary key.
23. COLLATERAL_MANAGER provides information for each person managing any pooled investment vehicle in which cash collateral is invested in connection with securities lending activities who does not also serve as securities lending agent, without primary key.
24. ADVISER provides details of investment advisers, sub-advisers, without primary key.
25. TRANSFER_AGENT contains information for each person providing transfer agent services to the Fund, without primary key.
26. PRICING_SERVICE information about each person that provided pricing services to the Fund during the reporting period, without primary key.
27. CUSTODIAN contains information for each person that provided custodial services to the Fund during the reporting period, without primary key.
28. SHAREHOLDER_SERVICING_AGENT contains information about each shareholder servicing agent of the Fund, without primary key.
29. ADMIN contains information for each administrator of the Fund, without primary key.
30. BROKER_DEALER provides information about each affiliated broker-dealer, without primary key.
31. BROKER contains information for each of the ten brokers that received the largest dollar amount of brokerage commissions by virtue of direct or indirect participation in the Fund's portfolio transactions, without primary key.
32. PRINCIPAL_TRANSACTION provides information for each of the ten entities acting as principals with which the Fund did the largest amount of principal transactions, without primary key.
33. LINE_OF_CREDIT_DETAIL contains information about line of credit detail, with each row having FUND_ID and LINE_OF_CREDIT_SEQNUM as their keys.
34. LINE_OF_CREDIT_INSTITUTION contains information about line of credit institution(s), without primary key.
35. CREDIT_USER names of other funds that may use the line of credit, without primary key.
36. INTER_FUND_LENDING_DETAIL contains information about interfund lending, without primary key.
37. INTER_FUND_BORROWING_DETAIL contains information about interfund borrowing, without primary key.
38. SECURITY_RELATED_ITEM contains information about securities issued by the registrant, with each row having FUND_ID and SECURITY_RELATED_ITEM_SEQNUM as their keys.
39. RIGHTS_OFFERING_FUND contains information about type(s) of rights offerings made by the Fund during the reporting period, without primary key.
40. LONGTERM_DEBT_DEFAULT contains information about default on long-term debt, without primary key.
41. DIVIDENDS_IN_ARREAR contains dividends in arrear issued by the Fund at the close of the reporting period, without primary key.
42. SECURITY_EXCHANGE provides exchange listing and symbol of fund, without primary key.
43. AUTHORIZED_PARTICIPANT contains information for each authorized participant in the Fund, without primary key.
44. ETF contains information for authorized participant post collateral, creation units, benchmark return difference and in-kind ETF, with each row having the primary key FUND_ID.
45. DEPOSITOR provides information for each depositor, without primary key.
46. UIT_ADMIN provides information for each administrator of the fund, without primary key.
47. UIT provides additional information for unit investment trusts, with each row having the primary key ACCESSION_NUMBER.
48. SERIES_CIK contains the CIKs for each series with outstanding securities registered, without primary key.
49. SPONSOR contains information about each sponsor, without primary key.
50. TRUSTEE provides information about each trustee, without primary key.
51. CONTRACT_SECURITY information on the security issued through the separate account, without primary key.
52. DIVESTMENT provides information for each divested security under 13(c) of the Act (15 U.S.C. 80a-13(c)), without primary key.
53. REGISTRANT_HELDS_SECURITY provides the information of securities of the issuer held by the Registrant on the date of the filing under 13(c) of the Act (15 U.S.C. 80a-13(c)), without primary key.
The fields in the tables below provide the following information: field name, description, data format, maximum field size, an indication of whether or not the field may be NULL (yes or no), key, and item location in rule. The Key field indicates whether the field is part of a unique index on the data. There are two possible values for this field:
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | * | |
| SUBMISSION_TYPE | Submission type, possible value is 'N-CEN', 'N-CEN/A', 'NT N-CEN', and 'NT N-CEN/A' | VARCHAR2(10) | Y | ||
| CIK | Central Index Key (CIK) of registrant | VARCHAR2(10) | Y | B.1.c | |
| FILING_DATE | Date filed with the Commission sourced from EDGAR | DATE | Y | ||
| REPORT_ENDING_PERIOD | Report for period ending | DATE | Y | A.1.a | |
| IS_REPORT_PERIOD_LT_12MONTH | Does this report cover a period of less than 12 months? | CHAR(1) | Y | A.1.b | |
| FILE_NUM | File number provided by the Commission | VARCHAR2(30) | Y | ||
| REGISTRANT_SIGNED_NAME | Registrant signed name | VARCHAR2(150) | Y | B.1.a | |
| DATE_SIGNED | Signed date | DATE | Y | ||
| SIGNATURE | Signature | VARCHAR2(150) | Y | ||
| TITLE | Title | VARCHAR2(150) | Y | ||
| IS_LEGAL_PROCEEDINGS | Legal proceedings | VARCHAR2(5) | Y | G.1.a.i | |
| IS_PROVISION_FINANCIAL_SUPPORT | Provision of financial support | VARCHAR2(5) | Y | G.1.a.ii | |
| IS_IPA_REPORT_INTERNAL_CONTROL | Independent public accountant's report on internal control (management investment companies other than small business investment companies only) | VARCHAR2(5) | Y | G.1.a.iii | |
| IS_CHANGE_ACC_PRINCIPLES | Change in accounting principles and practices | VARCHAR2(5) | Y | G.1.a.iv | |
| IS_INFO_REQUIRED_EO | Information required to be filed pursuant to exemptive orders | VARCHAR2(5) | Y | G.1.a.v | |
| IS_OTHER_INFO_REQUIRED | Other information required to be included as an attachment pursuant to Commission rules and regulations | VARCHAR2(5) | Y | G.1.a.vi | |
| IS_MATERIAL_AMENDMENTS | Material amendments to organizational documents | VARCHAR2(5) | Y | G.1.b.i | |
| IS_INST_DEFINING_RIGHTS | Instruments defining the rights of the holders of any new or amended class of securities | VARCHAR2(5) | Y | G.1.b.ii | |
| IS_NEW_OR_AMENDED_INV_ADV_CONT | New or amended investment advisory contracts | VARCHAR2(5) | Y | G.1.b.iii | |
| IS_INFO_ITEM405 | Information called for by Item 405 of Regulation S-K | VARCHAR2(5) | Y | G.1.b.iv | |
| IS_CODE_OF_ETHICS | Code of ethics (small business investment companies only): | VARCHAR2(5) | Y | G.1.b.v |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | * | |
| REGISTRANT_NAME | Full name of Registrant | VARCHAR2(150) | Y | B.1.a | |
| FILE_NUM | Investment Company Act file number (e.g., 811-) | VARCHAR2(30) | Y | B.1.b | |
| CIK | CIK | VARCHAR2(10) | Y | B.1.c | |
| LEI | LEI | VARCHAR2(20) | Y | B.1.d | |
| ADDRESS1 | Street 1 | VARCHAR2(40) | Y | B.2.a | |
| ADDRESS2 | Street 2 | VARCHAR2(40) | Y | B.2.a | |
| CITY | City | VARCHAR2(30) | Y | B.2.b | |
| STATE | State, if applicable | VARCHAR2(5) | Y | B.2.c | |
| COUNTRY | Country | VARCHAR2(10) | Y | B.2.d | |
| ZIP | Zip code and zip code extension, or foreign postal code | VARCHAR2(10) | Y | B.2.e | |
| PHONE | Telephone number (including country code if foreign) | VARCHAR2(20) | Y | B.2.f | |
| IS_FIRST_FILING | Is this the first filing on this form by the Registrant? | CHAR(1) | Y | B.4.a | |
| IS_LAST_FILING | Is this the last filing on this form by the Registrant? | CHAR(1) | Y | B.4.b | |
| IS_FAMILY_INVESTMENT_COMPANY | Is the Registrant part of a family of investment companies? | CHAR(1) | Y | B.5.a | |
| FAMILY_INVESTMENT_COMPANY_NAME | Full name of family of investment companies | VARCHAR2(150) | Y | B.5.a.i | |
| INVESTMENT_COMPANY_TYPE | Classification of the registrant [item B.6.a-g] | VARCHAR2(10) | Y | B.6 | |
| TOTAL_SERIES | Total number of Series of the Registrant | NUMBER(22) | Y | B.6.a.i | |
| IS_REGISTERED_UNDER_ACT_1933 | Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 (Securities Act)? | CHAR(1) | Y | B.7 | |
| HAS_SECURITY_HOLDER_VOTE | Were any matters submitted by the Registrant for its security holders' vote during the reporting period? | CHAR(1) | Y | B.10 | |
| HAS_LEGAL_PROCEEDING | Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? | CHAR(1) | Y | B.11.a | |
| IS_PROCEEDING_TERMINATED | Has any proceeding previously reported been terminated? | CHAR(1) | Y | B.11.b | |
| IS_FIDELITY_BOND_CLAIMED | Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? | CHAR(1) | Y | B.12.a | |
| FIDELITY_BOND_CLAIMED_AMOUNT | Enter the Aggregate dollar amount of fidelity bond claims filed | NUMBER(22) | Y | B.12.a.i | |
| HAS_DIRECTOR_INSURANCE_POLICY | Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? | CHAR(1) | Y | B.13.a | |
| HAS_DIRECTOR_FILED_CLAIM | Were any claims filed under a directors and officers/errors and omission insurance policy during the reporting period with respect to the Registrant? | CHAR(1) | Y | B.13.a.i | |
| FINANCIAL_SUPPORT_2REGISTRANT | Did an affiliated person, promotor, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period | CHAR(1) | Y | B.14 | |
| IS_EXEMPTIVE_ORDER | During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? | CHAR(1) | Y | B.15.a | |
| IS_UNDERWRITER_HIRED_OR_FIRED | Have any principal underwriters been hired or terminated during the reporting period | CHAR(1) | Y | B.16.b | |
| IS_PUB_ACCOUNTANT_CHANGED | Has the independent public accountant changed since the last filing? | CHAR(1) | Y | B.17.f | |
| IS_MATERIAL_WEAKNESS_NOTED | For the reporting period, did an independent public accountant's report on internal control note any material weaknesses | CHAR(1) | Y | B.18 | |
| IS_ACCT_OPINION_QUALIFIED | For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financials statements | CHAR(1) | Y | B.19 | |
| IS_VALUE_METHOD_CHANGED | Have there been material changes in the method of valuation of the Registrant's assets during the reporting period | CHAR(1) | Y | B.20 | |
| IS_ACCT_PRINCIPLE_CHANGED | Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported | CHAR(1) | Y | B.21 | |
| IS_NAV_ERROR_CORRECTED | During the reporting period, were any payments made to shareholders or shareholder accounts reprocessed as a result of an error in calculating the Registrant's net asset value (or net asset value per share)? | CHAR(1) | Y | B.22.a | |
| ANY_DIVIDEND_PAYMENT | During the reporting period, did the Registrant pay any dividend or make any distribution in the nature of a dividend payment, required to be accompanied by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a)) and rule 19a-1 thereunder (17 CFR 27-.19a-1) | CHAR(1) | Y | B.23 |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| WEBPAGE | Webpage | VARCHAR2(150) | Y | B.2.g |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| OFFICE_NAME | Name of person (e.g., custodian) | VARCHAR2(150) | Y | B.3.a | |
| ADDRESS1 | Street 1 | VARCHAR2(40) | Y | B.3.b | |
| ADDRESS2 | Street 2 | VARCHAR2(40) | Y | B.3.b | |
| CITY | City | VARCHAR2(30) | Y | B.3.c | |
| STATE | State, if applicable | VARCHAR2(5) | Y | B.3.d | |
| COUNTRY | Country | VARCHAR2(10) | Y | B.3.e | |
| ZIP | Zip code and zip code extension, or foreign postal code | VARCHAR2(10) | Y | B.3.f | |
| PHONE | Telephone number (including country code if foreign) | VARCHAR2(20) | Y | B.3.g | |
| BOOKS_RECORDS_DESC | Description of books and records kept at location | CLOB(4000) | Y | B.3.h |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| SERIES_NAME | Name of the Series | VARCHAR2(150) | Y | B.6.a.ii.1 | |
| SERIES_ID | Series identification number | VARCHAR2(10) | Y | B.6.a.ii.2 | |
| TERMINATION_DATE | Date of termination (month/year) | VARCHAR2(10) | Y | B.6.a.ii.3 |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | * | |
| DIRECTOR_SEQNUM | Director sequence number | NUMBER(22) | N | * | |
| DIRECTOR_NAME | Full name | VARCHAR2(150) | Y | B.8.a | |
| CRD_NUMBER | CRD number | VARCHAR2(9) | Y | B.8.b | |
| IS_INTERESTED_PERSON | Is the person an interested person of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19)) | CHAR(1) | Y | B.8.c |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| DIRECTOR_SEQNUM | DIRECTOR Sequence number | NUMBER(22) | N | ||
| FILE_NUMBER | List of Investment Company Act file numbers of any other registered investment company for which the person also serves as a director. Space delimited | VARCHAR2(4000) | Y | B.8.d |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | * | |
| CCO_SEQNUM | CHIEF_COMPLIANCE_OFFICER Sequence number | NUMBER(22) | N | * | |
| CCO_NAME | Full Name | VARCHAR2(150) | Y | B.9.a | |
| CRD_NUMBER | CRD number | VARCHAR2(9) | Y | B.9.b | |
| CCO_ADDRESS1 | Street 1 | VARCHAR2(40) | Y | B.9.c | |
| CCO_ADDRESS2 | Street 2 | VARCHAR2(40) | Y | B.9.c | |
| CCO_CITY | City | VARCHAR2(30) | Y | B.9.d | |
| STATE | State | VARCHAR2(5) | Y | B.9.e | |
| COUNTRY | Country | VARCHAR2(10) | Y | B.9.f | |
| CCO_ZIP | Zip code and zip code extension, or foreign postal code | VARCHAR2(10) | Y | B.9.g | |
| IS_CHANGED_SINCE_LAST_FILING | Has the chief compliance officer changed since the last filing | CHAR(1) | Y | B.9.i |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| CCO_SEQNUM | CHIEF_COMPLIANCE_OFFICER Sequence number | NUMBER(22) | N | ||
| CCO_EMPLOYER_NAME | Name of the person | VARCHAR2(150) | Y | B.9.j.i | |
| CCO_EMPLOYER_ID | Person's IRS Employer Identification Number | VARCHAR2(10) | Y | B.9.j.ii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| SOURCE | The subject of the series of the registrant involved, possible value is 'Security Submitted' (item B.10.a), 'Legal Proceeding' (item B.11.a.i), 'Proceeding Terminated' (item B.11.b.i), 'Financial Support' (item B.14.a), 'Audit Opinion' (item B.19.a), 'Payment Error' (item B.22.a.i), 'Payment Dividend' (item B.23.a) | VARCHAR2(30) | Y | ||
| SERIES_NAME | Series Name | VARCHAR2(150) | Y | B.10.a.i,B.11.a.i.1,B.11.b.i.1,B.14.a.i,B.19.a.i,B.22.a.i.1,B.23.a.i | |
| SERIES_ID | Series Identification | VARCHAR2(10) | Y | B.10.a.ii,B.11.a.i.2,B.11.b.i.2,B.14.a.ii,B.19.a.ii,B.22.a.i.2,B.23.a.ii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| RELEASE_NUMBER | Release number from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act | VARCHAR2(20) | Y | B.15.a.i |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| UNDERWRITER_NAME | Full name | VARCHAR2(150) | Y | B.16.a.i | |
| FILE_NUM | SEC file number (e.g., 8-) | VARCHAR2(30) | Y | B.16.a.ii | |
| CRD_NUM | CRD number | VARCHAR2(9) | Y | B.16.a.iii | |
| UNDERWRITER_LEI | LEI, if any | VARCHAR2(20) | Y | B.16.a.iv | |
| STATE | State, if applicable | VARCHAR2(5) | Y | B.16.a.v | |
| COUNTRY | Country | VARCHAR2(10) | Y | B.16.a.vi | |
| IS_AFFILIATED | Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? [Y/N] | CHAR(1) | Y | B.16.a.vii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| PUB_ACCOUNTANT_NAME | Full name | VARCHAR2(150) | Y | B.17.a | |
| PCAOB_NUM | PCAOB number | VARCHAR2(20) | Y | B.17.b | |
| PUB_ACCOUNTANT_LEI | LEI, if any | VARCHAR2(20) | Y | B.17.c | |
| STATE | State, if applicable | VARCHAR2(5) | Y | B.17.d | |
| COUNTRY | Country | VARCHAR2(10) | Y | B.17.e |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | * | |
| VALUATION_METHOD_CHANGE_SEQNUM | VALUATION_METHOD_CHANGE Sequence number | NUMBER(22) | N | * | |
| DATE_OF_CHANGE | Date of change | DATE | Y | B.20.a | |
| CHANGE_EXPLANATION | Explanation of the change | CLOB(4000) | Y | B.20.b | |
| ASSET_TYPE | Asset type involved | VARCHAR2(50) | Y | B.20.c | |
| ASSET_TYPE_OTHER_DESC | Description of Other Asset type involved | CLOB(4000) | Y | B.20.c | |
| INVESTMENT_TYPE | Type of investments involved | CLOB(4000) | Y | B.20.d | |
| STATUTORY_REGULATORY_BASIS | Statutory or regulatory basis, if any | CLOB(4000) | Y | B.20.e |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| VALUATION_METHOD_CHANGE_SEQNUM | VALUATION_METHOD_CHANGE Sequence number | NUMBER(22) | N | ||
| SERIES_NAME | Series name | VARCHAR2(150) | Y | B.20.f.i | |
| SERIES_ID | Series identification number | VARCHAR2(10) | Y | B.20.f.ii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | * | |
| FUND_NAME | Full name of the Fund | VARCHAR2(150) | Y | C.1.a | |
| SERIES_ID | Series identification number | VARCHAR2(10) | Y | * | C.1.b |
| LEI | LEI | VARCHAR2(20) | Y | C.1.c | |
| IS_FIRST_FILING | Is this the first filing on this form by the Fund? | CHAR(1) | Y | C.1.d | |
| AUTHORIZED_SHARES_CNT | How many Classes of shares of the Fund (if any) are authorized? | NUMBER(22) | Y | C.2.a | |
| ADDED_NEW_SHARES_CNT | How many new Classes of shares of the Fund were added during the reporting period? | NUMBER(22) | Y | C.2.b | |
| TERMINATED_SHARES_CNT | How many Classes of shares of the Fund were terminated during the reporting period? | NUMBER(22) | Y | C.2.c | |
| IS_ETF | 'Y' if fundType = 'Exchange-Traded Fund' | CHAR(1) | Y | C.3.a.i | |
| IS_ETMF | 'Y' if fundType = 'Exchange-Traded Managed Fund' | CHAR(1) | Y | C.3.a.ii | |
| IS_INDEX | 'Y' if fundType = 'Index Fund' | CHAR(1) | Y | C.3.b | |
| IS_MULTI_INVERSE_INDEX | 'Y' if fundType = 'Multi Inverse Index' | CHAR(1) | Y | C.3.c | |
| IS_INTERVAL | 'Y' if fundType = 'Interval Fund' | CHAR(1) | Y | C.3.d | |
| IS_FUND_OF_FUND | 'Y' if fundType = 'Fund of Funds' | CHAR(1) | Y | C.3.e | |
| IS_MASTER_FEEDER | 'Y' if fundType = 'Master-Feeder Fund' | CHAR(1) | Y | C.3.f | |
| IS_MONEY_MARKET | 'Y' if fundType = 'Money Market Fund' | CHAR(1) | Y | C.3.g | |
| IS_TARGET_DATE | 'Y' if fundType = 'Target Date Fund' | CHAR(1) | Y | C.3.h | |
| IS_UNDERLYING_FUND | 'Y' if fundType = 'Underlying fund' | CHAR(1) | Y | C.3.i | |
| IS_FUND_TYPE_NA | 'Y' if fundType = 'N/A' | CHAR(1) | Y | C.3 | |
| IS_INDEX_AFFILIATED | Is the index whose performance the Fund tracks, constructed by an affiliated person of the Fund | CHAR(1) | Y | C.3.b.i.1 | |
| IS_INDEX_EXCLUSIVE | Is the index whose performance the Fund tracks, constructed exclusively for the fund | CHAR(1) | Y | C.3.b.i.2 | |
| RETURN_B4_FEES_AND_EXPENSES | The annualized difference between TheFund's total return and Theindex's return during Thereporting period before fund fees and expenses | NUMBER(22) | Y | C.3.b.ii.1 | |
| RETURN_AFTR_FEES_AND_EXPENSES | The annualized difference between The Fund's total return and The index's return during The reporting period after fund fees and expenses | NUMBER(22) | Y | C.3.b.ii.2 | |
| STDV_B4_FEES_AND_EXPENSES | The annualized standard deviation of The daily difference between The Fund's total return and The index's return during The reporting period before fund fees and expenses | NUMBER(22) | Y | C.3.b.iii.1 | |
| STDV_AFTR_FEES_AND_EXPENSES | The annualized standard deviation of The daily difference between The Fund's total return and The index's return during The reporting period after fund fees and expenses | NUMBER(22) | Y | C.3.b.iii.2 | |
| IS_NON_DIVERSIFIED | Does the fund seek to operate as a non-diversified company | CHAR(1) | Y | C.4 | |
| IS_FOREIGN_SUBSIDIARY | Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities | CHAR(1) | Y | C.5.a | |
| IS_SEC_LENDING_AUTHORIZED | Is the Fund authorized to engage in securities lending transactions | CHAR(1) | Y | C.6.a | |
| DID_LEND_SECURITIES | Did the Fund lend any of its securities during the reporting period | CHAR(1) | Y | C.6.b | |
| IS_COLLATERAL_LIQUIDATED | During the report period, did any borrower fail to return the loaned securities by the contractual deadline with the result that the Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities | CHAR(1) | Y | C.6.b.i.1 | |
| IS_IMPACTED_ADVERSELY | During the report period, did any borrower fail to return the loaned securities by the contractual deadline with the result that the Fund was otherwise adversely impacted | CHAR(1) | Y | C.6.b.i.2 | |
| IS_PYMNT_REV_SHARING_SPLIT | Revenue sharing split: payment type to securities lending agents and cash collateral managers | CHAR(1) | Y | C.6.e.i | |
| IS_PYMNT_NON_REV_SHARING_SPLIT | Non-revenue sharing split (other than administrative fee): payment type to securities lending agents and cash collateral managers | CHAR(1) | Y | C.6.e.ii | |
| IS_PYMNT_ADMIN_FEE | Administrative fee: payment type to securities lending agents and cash collateral managers | CHAR(1) | Y | C.6.e.iii | |
| IS_PYMNT_CASH_COLLATERAL_FEE | Cash collateral reinvestment fee: payment type to securities lending agents and cash collateral managers | CHAR(1) | Y | C.6.e.iv | |
| IS_PYMNT_INDEMNI_FEE | Indemnification fee: payment type to securities lending agents and cash collateral managers | CHAR(1) | Y | C.6.e.v | |
| IS_PYMNT_OTHER | Other: payment type to securities lending agents and cash collateral managers | CHAR(1) | Y | C.6.e.vi | |
| IS_PYMNT_NA | N/A: payment type to securities lending agents and cash collateral managers | CHAR(1) | Y | C.6.e | |
| OTHER_FEE_DESC | If payment type to securities lending agents and cash collateral managers 'other', describe | CLOB(4000) | Y | C.6.e.vi | |
| AVG_VALUE_SEC_LOAN | Provide the monthly average of the value of portfolio securities on loan during the reporting period | NUMBER(22) | Y | C.6.f | |
| NET_INCOME_SEC_LENDING | Provide the net income from securities lending activities | NUMBER(22) | Y | C.6.g | |
| IS_RELYON_RULE_10F_3 | Did the Fund rely on Rule 10f-3 (17 CFR 270.10f-3) | CHAR(1) | Y | C.7.a | |
| IS_RELYON_RULE_12D1_1 | Did the Fund rely on Rule 12d1-1 (17 CFR 270.12d1-1) | CHAR(1) | Y | C.7.b | |
| IS_RELYON_RULE_15A_4 | Did the Fund rely on Rule 15a-4 (17 CFR 270.15a-4) | CHAR(1) | Y | C.7.c | |
| IS_RELYON_RULE_17A_6 | Did the Fund rely on Rule 17a-6 (17 CFR 270.17a-6) | CHAR(1) | Y | C.7.d | |
| IS_RELYON_RULE_17A_7 | Did the Fund rely on Rule 17a-7 (17 CFR 270.17a-7) | CHAR(1) | Y | C.7.e | |
| IS_RELYON_RULE_17A_8 | Did the Fund rely on Rule 17a-8 (17 CFR 270.17a-8) | CHAR(1) | Y | C.7.f | |
| IS_RELYON_RULE_17E_1 | Did the Fund rely on Rule 17e-1 (17 CFR 270.17e-1) | CHAR(1) | Y | C.7.g | |
| IS_RELYON_RULE_22D_1 | Did the Fund rely on Rule 22d-1 (17 CFR 270.22d-1) | CHAR(1) | Y | C.7.h | |
| IS_RELYON_RULE_23C_1 | Did the Fund rely on Rule 23c-1 (17 CFR 270.23c-1) | CHAR(1) | Y | C.7.i | |
| IS_RELYON_RULE_32A_4 | Did the Fund rely on Rule 32a-4 (17 CFR 270.32a-4) | CHAR(1) | Y | C.7.j | |
| IS_RELYON_RULE_6C_11 | Did the Fund rely on Rule 6(c)-11 (17 CFR 270.6c-11) | CHAR(1) | Y | C.7.k | |
| IS_RELYON_RULE_12D1_4 | Did the Fund rely on Rule 12d1-4 (17 CFR 270.12d1-4) | CHAR(1) | Y | C.7.l | |
| IS_RELYON_RULE_12D1G | Did the Fund rely on Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) | CHAR(1) | Y | C.7.m | |
| IS_RELYON_RULE_18F_4 | Did the Fund rely on Rule 18f-4 (17 CFR 270.18f-4) | CHAR(1) | Y | C.7.n | |
| IS_RELYON_RULE_18F_4C4 | Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4) program requirement and limit on fund leverage risk under rule 18f-4(c)(4) (17 CFR 270.18f-4(c)(4) | CHAR(1) | Y | C.7.o | |
| IS_RELYON_RULE_18F_4C2 | Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2)) | CHAR(1) | Y | C.7.p | |
| IS_RELYON_RULE_18F_4DI | Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i)) | CHAR(1) | Y | C.7.q | |
| IS_RELYON_RULE_18F_4DII | Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii)) | CHAR(1) | Y | C.7.r | |
| IS_RELYON_RULE_18F_4E | Did the Fund enter into any unfunded commitment agreements under rule 18f4(e) (17 CFR 270.18f-4(e)) | CHAR(1) | Y | C.7.s | |
| IS_RELYON_RULE_18F_4F | Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f)) | CHAR(1) | Y | C.7.t | |
| IS_RELYON_RULE_NA | Rely on rule type is N/A | CHAR(1) | Y | C.7 | |
| HAS_EXP_LIMIT | Did the Fund have an expense limitation arrangement in place during the reporting period | CHAR(1) | Y | C.8.a | |
| HAS_EXP_REDUCED_WAIVED | Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period | CHAR(1) | Y | C.8.b | |
| HAS_EXP_SUBJ_RECOUP | Are the fees waived subject to recoupment | CHAR(1) | Y | C.8.c | |
| HAS_EXP_RECOUPED | Were any expenses previously waived recouped during the period | CHAR(1) | Y | C.8.d | |
| HAS_XAGENT_HIRED_FIRED_MI | Has a transfer agent been hired or terminated during the reporting period | CHAR(1) | Y | C.10.b | |
| HAS_PRICING_SRVC_HIRED_FIRED | Was a pricing service hired or terminated during the reporting period | CHAR(1) | Y | C.11.b | |
| HAS_CUSTODIAN_HIRED_FIRED_MI | Has a custodian been hired or terminated during the reporting period | CHAR(1) | Y | C.12.b | |
| HAS_SH_SRVC_HIRED_FIRED | Has a shareholder servicing agent been hired or terminated during the reporting period | CHAR(1) | Y | C.13.b | |
| HAS_ADMIN_HIRED_FIRED | Has an administrator been hired or terminated during the reporting period | CHAR(1) | Y | C.14.b | |
| AGG_COMMISSION | Aggregate brokerage commissions paid by Fund during the reporting period | NUMBER(22) | Y | C.16.b | |
| AGG_PRINCIPAL | Aggregate value of principal purchase/sale transactions of Fund during the reporting period | NUMBER(22) | Y | C.17.b | |
| DID_PAY_BROKER_RESEARCH | During the reporting period, did the Fund pay commissions to broker-dealers for brokerage and research services within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb) | CHAR(1) | Y | C.18 | |
| MONTHLY_AVG_NET_ASSETS | Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | NUMBER(22) | Y | C.19.a | |
| DAILY_AVG_NET_ASSETS | Provide the money market fund's daily average net assets during the reporting period | NUMBER(22) | Y | C.19.b | |
| HAS_LINE_OF_CREDIT | Does the Fund have available a line of credit | CHAR(1) | Y | C.20.a | |
| HAS_INTERFUND_LENDING | Did the Fund engage in interfund lending | CHAR(1) | Y | C.20.b | |
| HAS_INTERFUND_BORROWING | Did the Fund engage in interfund borrowing | CHAR(1) | Y | C.20.c | |
| HAS_SWING_PRICING | Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing | CHAR(1) | Y | C.21.a | |
| SWING_FACTOR_UPPER_LIMIT | What was the swing factor upper limit | NUMBER(22) | Y | C.21.a.i | |
| DID_MAKE_RIGHTS_OFFERING | Did the Fund make a rights offering with respect to any type of security during the reporting period | CHAR(1) | Y | D.2.a | |
| DID_MAKE_SECOND_OFFERING | Did the Fund make a secondary offering during the reporting period | CHAR(1) | Y | D.3.a | |
| IS_SECONDARY_COMMON | Secondary offering type common stock | CHAR(1) | Y | D.3.b.i | |
| IS_SECONDARY_PREFERRED | Secondary offering type preferred stock | CHAR(1) | Y | D.3.b.ii | |
| IS_SECONDARY_WARRANTS | Secondary offering type warrants | CHAR(1) | Y | D.3.b.iii | |
| IS_SECONDARY_CONVERTIBLES | Secondary offering type convertible securities | CHAR(1) | Y | D.3.b.iv | |
| IS_SECONDARY_BONDS | Secondary offering type bonds | CHAR(1) | Y | D.3.b.v | |
| IS_SECONDARY_OTHER | Secondary offering type other | CHAR(1) | Y | D.3.b.vi | |
| OTHER_SECONDARY_DESC | If secondary offering type other, describe | CLOB(4000) | Y | D.3.b.vi | |
| DID_REPURCHASE_SECURITY | Did the Fund repurchase any outstanding securities issued by the Fund during the reporting period | CHAR(1) | Y | D.4.a | |
| IS_REPUR_COMMON | Repurchase type common stock | CHAR(1) | Y | D.4.b.i | |
| IS_REPUR_PREFERRED | Repurchase type preferred stock | CHAR(1) | Y | D.4.b.ii | |
| IS_REPUR_WARRANTS | Repurchase type warrants | CHAR(1) | Y | D.4.b.iii | |
| IS_REPUR_CONVERTIBLES | Repurchase type convertible securities | CHAR(1) | Y | D.4.b.iv | |
| IS_REPUR_BONDS | Repurchase type bonds | CHAR(1) | Y | D.4.b.v | |
| IS_REPUR_OTHER | Repurchase type other | CHAR(1) | Y | D.4.b.vi | |
| OTHER_REPUR_DESC | if repurchase type other, describe | CLOB(4000) | Y | D.4.b.vi | |
| IS_LONG_TERM_DEBT_DEFAULT | Were any issues of the Fund's long-term debt in default at the close of the reporting period with respect to the payment of principal, interest, or amortization | CHAR(1) | Y | D.5.a | |
| IS_ACCUM_DIVIDEND_IN_ARREARS | Were any accumulated dividends in arrears on securities issued by the Fund at the close of the reporting period | CHAR(1) | Y | D.6.a | |
| IS_SECURITY_MAT_MODIFIED | Have the terms of any constituent instruments defining the rights of the holders of any class of the Registrant's securities been materially modified | CHAR(1) | Y | D.7 | |
| MANAGEMENT_FEE | Provide the Fund's advisory fee as of the end of the reporting period as a percentage of net assets | NUMBER(22) | Y | D.8 | |
| NET_OPERATING_EXPENSES | Provide the Fund's net annual operating expenses as of the end of the reporting period (net of any waivers or reimbursements) as a percentage of net assets | NUMBER(22) | Y | D.9 | |
| MARKET_PRICE_PER_SHARE | Market price per share at end of reporting period | NUMBER(22) | Y | D.10 | |
| NAV_PER_SHARE | Net asset value per share at end of reporting period | NUMBER(22) | Y | D.11 | |
| HAS_XAGENT_HIRED_FIRED_CE | Has a transfer agent been hired or terminated during the reporting period | CHAR(1) | Y | D.13.b | |
| HAS_CUSTODIAN_HIRED_FIRED_CE | Has a custodian been hired or terminated during the reporting period | CHAR(1) | Y | D.14.b |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| CLASS_NAME | Full name of Class | VARCHAR2(150) | Y | C.2.d.i | |
| CLASS_ID | Class identification number, if any | VARCHAR2(10) | Y | C.2.d.ii | |
| TICKER | Ticker symbol, if any | VARCHAR2(12) | Y | C.2.d.iii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| FUND_NAME | Full name | VARCHAR2(150) | Y | C.3.f.i.1 | |
| REGISTERED_FILE_NUM | Investment Company Act file number (e.g., 811-) | VARCHAR2(30) | Y | C.3.f.i.2.A | |
| REGISTERED_SERIES_ID | Series identification number | VARCHAR2(10) | Y | C.3.f.i.2.B | |
| REGISTERED_FUND_LEI | LEI of feeder fund | VARCHAR2(20) | Y | C.3.f.i.2.C | |
| UNREGISTERED_FILE_NUM | SEC file number of the feeder fund's investment adviser (e.g., 801-) | VARCHAR2(30) | Y | C.3.f.i.3.A | |
| UNREGISTERED_FUND_LEI | LEI of feeder fund, if any: | VARCHAR2(20) | Y | C.3.f.i.3.B |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| FUND_NAME | Full name | VARCHAR2(150) | Y | C.3.f.ii.1 | |
| FILE_NUM | Investment Company Act file number (e.g., 811-) | VARCHAR2(30) | Y | C.3.f.ii.2 | |
| SEC_FILE_NUM | SEC file number of the master fund's investment adviser (e.g., 801-) | VARCHAR2(30) | Y | C.3.f.ii.3 | |
| FUND_LEI | LEI | VARCHAR2(20) | Y | C.3.f.ii.4 |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| FOREIGN_SUBSIDIARY_NAME | Full name of subsidiary | VARCHAR2(150) | Y | C.5.b.i | |
| FOREIGN_SUBSIDIARY_LEI | LEI of subsidiary, if any | VARCHAR2(20) | Y | C.5.b.ii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | * | |
| SECURITY_LENDING_SEQNUM | SECURITY_LENDING Sequence number | NUMBER(22) | N | * | |
| SECURITIES_AGENT_NAME | Full name of securities lending agent | VARCHAR2(150) | Y | C.6.c.i | |
| SECURITIES_AGENT_LEI | LEI, if any | VARCHAR2(20) | Y | C.6.c.ii | |
| IS_AFFILIATED | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? [Y/N] | CHAR(1) | Y | C.6.c.iii | |
| SECURITY_AGENT_IDEMNITY | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | CHAR(1) | Y | C.6.c.iv | |
| DID_INDEMNIFICATION_RIGHTS | Did the Fund exercise its indemnification rights during the reporting period? | CHAR(1) | Y | C.6.c.vi |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| SECURITY_LENDING_SEQNUM | Security lending sequence number | NUMBER(22) | N | ||
| INDEMNITY_PROVIDER_NAME | Name of person providing indemnification | VARCHAR2(150) | Y | C.6.c.v.1 | |
| INDEMNITY_PROVIDER_LEI | LEI, if any, of person providing indemnification: | VARCHAR2(20) | Y | C.6.c.v.2 |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| COLLATERAL_MANAGER_NAME | Full Name | VARCHAR2(150) | Y | C.6.d.i | |
| COLLATERAL_MANAGER_LEI | LEI | VARCHAR2(20) | Y | C.6.d.ii | |
| IS_AFFILIATED | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund | CHAR(1) | Y | C.6.d.iii | |
| IS_AFFILIATED_WITH_FUND | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund | CHAR(1) | Y | C.6.d.iv |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, CIK, and series identifier, when available | VARCHAR2(42) | N | ||
| SOURCE | 'Part C' if the data is for ' managementInvestmentQuestion', \n 'Part D' if the data is for 'closedEndManagementInvestment' | VARCHAR2(10) | N | ||
| ADVISER_TYPE | Possible values are 'Adviser', 'Subadviser', 'Terminated Adviser' and 'Terminated Subadviser' | VARCHAR2(30) | Y | ||
| ADVISER_NAME | Full name | VARCHAR2(150) | Y | C.9.a.i,C.9.b.i,C.9.c.i,C.9.d.i,D.12.a.i,D.12.b.i,D12.c.i,D.12.d.i | |
| FILE_NUM | SEC file number | VARCHAR2(30) | Y | C.9.a.ii,C.9.b.ii,C.9.c.ii,C.9.d.ii,D.12.a.ii,D.12.b.ii,D.12.c.ii,D.12.d.ii | |
| CRD_NUM | CRD number | VARCHAR2(9) | Y | C.9.a.iii,C.9.b.iii,C.9.c.iii,C.9.d.iii,D.12.a.iii,D.12.b.iii,D.12.c.iii,D.12.d.iii | |
| ADVISER_LEI | LEI, if any | VARCHAR2(20) | Y | C.9.a.iv,C.9.b.iv,C.9.c.iv,C.9.d.iv,D.12.a.iv,D.12.b.iv,D.12.c.iv,D.12.d.iv | |
| STATE | State | VARCHAR2(5) | Y | C.9.a.v,C.9.b.v,C.9.c.v,C.9.d.v,D.12.a.v,D.12.b.v,D.12.c.v,D.12.d.v | |
| COUNTRY | Country | VARCHAR2(10) | Y | C.9.a.vi,C.9.b.vi,C.9.c.vi,C.9.d.vi,D.12.a.vi,D.12.b.vi,D.12.c.vi,D.12.d.vi | |
| IS_AFFILIATED | Is the sub-adviser an affiliated person of the Fund's investment adviser(s) | CHAR(1) | Y | C.9.c.vii,D.12.c.vii | |
| IS_ADVISOR_HIRED | Was hired during the reporting period | CHAR(1) | Y | C.9.a.vii,C.9.c.viii,D.12.a.vii,D.12.c.viii | |
| ADVISOR_START_DATE | If hired during the reporting period, start date | DATE | Y | C.9.a.vii.1,C.9.c.viii.1,D.12.a.vii.1,D.12.c.viii.1 | |
| ADVISOR_TERMINATED_DATE | Termination date | DATE | Y | C.9.b.vii,C.9.d.vii,D.12.b.vii,D.12.d.vii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| SOURCE | 'Part C' if the data is for ' managementInvestmentQuestion', \n 'Part D' if the data is for 'closedEndManagementInvestment' | VARCHAR2(10) | N | ||
| TRANSFERAGENT_NAME | Full name | VARCHAR2(150) | Y | C.10.a.i,D.13.a.i | |
| FILE_NUM | SEC file number (e.g., 84- or 85-) | VARCHAR2(30) | Y | C.10.a.ii,D.13.a.ii | |
| TRANSFERAGENT_LEI | LEI, if any | VARCHAR2(20) | Y | C.10.a.iii,D.13.a.iii | |
| STATE | State, if applicable | VARCHAR2(5) | Y | C.10.a.iv,D.13.a.iv | |
| COUNTRY | Country | VARCHAR2(10) | Y | C.10.a.v,D.13.a.v | |
| IS_AFFILIATED | Is the transfer agent an affiliated person of the Fund or its investment adviser(s) | CHAR(1) | Y | C.10.a.vi,D.13.a.vi | |
| IS_SUBTRANSFER_AGENT | Is the transfer agent a sub-transfer agent? | CHAR(1) | Y | C.10.a.vii,D.13.a.vii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| PRICING_SERVICE_NAME | Full name | VARCHAR2(150) | Y | C.11.a.i | |
| PRICING_SERVICE_LEI | LEI | VARCHAR2(100) | Y | C.11.a.ii | |
| OTHER_IDENTIFYING_NUM_DESC | Description of other identifying number, if not LEI | VARCHAR2(500) | Y | C.11.a.ii | |
| STATE | State, if applicable | VARCHAR2(5) | Y | C.11.a.iii | |
| COUNTRY | Country | VARCHAR2(10) | Y | C.11.a.iv | |
| IS_AFFILIATED | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | CHAR(1) | Y | C.11.a.v |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| SOURCE | 'Part C' if the data is for 'managementInvestmentQuestion', \n 'Part D' if the data is for 'closedEndManagementInvestment' | VARCHAR2(10) | N | ||
| CUSTODIAN_NAME | Full name | VARCHAR2(150) | Y | C.12.a.i,D.14.a.i | |
| CUSTODIAN_LEI | LEI, if any | VARCHAR2(20) | Y | C.12.a.ii,D.14.a.ii | |
| STATE | State, if applicable | VARCHAR2(5) | Y | C.12.a.iii,D.14.a.iii | |
| COUNTRY | Country | VARCHAR2(10) | Y | C.12.a.iv,D.14.a.iv | |
| IS_AFFILIATED | Is the custodian an affiliated person of the Fund or its investment adviser(s) | CHAR(1) | Y | C.12.a.v,D.14.a.v | |
| IS_SUB_CUSTODIAN | Is the custodian a sub-custodian | CHAR(1) | Y | C.12.a.vi,D.14.a.vi | |
| CUSTODY_TYPE | Type of custody: \n1 -- Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1));\n2 -- Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1);\n3 -- Self - rule 17f-2 (17 CFR 270.17f-2); \n4 -- Securities depository - rule 17f-4 (17 CFR 270.17f-4);\n5 -- Foreign custodian - rule 17f-5 (17 CFR 270.17f-5);\n6 -- Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6);\n7 -- Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7);\n8 -- Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2); or\n9 -- Other | VARCHAR2(150) | Y | C.12.a.vii,D.14.a.vii | |
| OTHER_CUSTODIAN_DESC | Description of 'other' custody type | CLOB(4000) | Y | C.12.a.vii.9,D.14.a.vii.9 |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| AGENT_NAME | Full name | VARCHAR2(150) | Y | C.13.a.i | |
| AGENT_LEI | LEI or other identifying number | VARCHAR2(100) | Y | C.13.a.ii | |
| OTHER_IDENTIFYING_NUM_DESC | Description of other identifying number, if not LEI | VARCHAR2(500) | Y | C.13.a.ii | |
| STATE | State, if applicable | VARCHAR2(5) | Y | C.13.a.iii | |
| COUNTRY | Country | VARCHAR2(10) | Y | C.13.a.iv | |
| IS_AFFILIATED | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | CHAR(1) | Y | C.13.a.v | |
| IS_SUBSHARE | Is the shareholder servicing agent a sub-shareholder servicing agent? | CHAR(1) | Y | C.13.a.vi |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, CIK, and series identifier, when available | VARCHAR2(42) | N | ||
| ADMIN_NAME | Full name | VARCHAR2(150) | Y | C.14.a.i | |
| ADMIN_LEI | LEI or other identifying number | VARCHAR2(100) | Y | C.14.a.ii | |
| OTHER_IDENTIFYING_NUM | Description of other identifying number, if not LEI | VARCHAR2(500) | Y | C.14.a.ii | |
| STATE | State | VARCHAR2(5) | Y | C.14.a.iii | |
| COUNTRY | Country | VARCHAR2(10) | Y | C.14.a.iv | |
| IS_AFFILIATED | Is the administrator an affiliated person of the Fund or its investment adviser | CHAR(1) | Y | C.14.a.v | |
| IS_SUB_ADMIN | Is the administrator a sub-administrator | CHAR(1) | Y | C.14.a.vi |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, CIK, and series identifier, when available | VARCHAR2(42) | N | ||
| BROKER_DEALER_NAME | Full name | VARCHAR2(150) | Y | C.15.a | |
| FILE_NUM | File Number | VARCHAR2(30) | Y | C.15.b | |
| CRD_NUM | CRD Number | VARCHAR2(9) | Y | C.15.c | |
| BROKER_DEALER_LEI | LEI, if any | VARCHAR2(20) | Y | C.15.d | |
| STATE | State | VARCHAR2(5) | Y | C.15.e | |
| COUNTRY | Country | VARCHAR2(10) | Y | C.15.f | |
| COMMISSION | Total commissions paid to the affiliated broker-dealer for the reporting period | NUMBER(22) | Y | C.15.g |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, CIK, and series identifier, when available | VARCHAR2(42) | N | ||
| BROKER_NAME | Full name | VARCHAR2(150) | Y | C.16.a.i | |
| FILE_NUM | File Number | VARCHAR2(30) | Y | C.16.a.ii | |
| CRD_NUM | CRD Number | VARCHAR2(9) | Y | C.16.a.iii | |
| BROKER_LEI | LEI, if any | VARCHAR2(20) | Y | C.16.a.iv | |
| STATE | State | VARCHAR2(5) | Y | C.16.a.v | |
| COUNTRY | Country | VARCHAR2(10) | Y | C.16.a.vi | |
| GROSS_COMMISSION | Gross commissions paid by the Fund for the reporting period | NUMBER(22) | Y | C.16.a.vii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| PRINCIPAL_NAME | Full name of dealer | VARCHAR2(150) | Y | C.17.a.i | |
| FILE_NUM | SEC file number | VARCHAR2(30) | Y | C.17.a.ii | |
| CRD_NUM | CRD number | VARCHAR2(9) | Y | C.17.a.iii | |
| PRINCIPAL_LEI | LEI, if any | VARCHAR2(20) | Y | C.17.a.iv | |
| STATE | State, if applicable | VARCHAR2(5) | Y | C.17.a.v | |
| COUNTRY | Country | VARCHAR2(10) | Y | C.17.a..vi | |
| PRINCIPAL_TOTAL_PURCHASE_SALE | Total value of purchases and sales (excluding maturing securities) with Fund | NUMBER(22) | Y | C.17.a.vii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | * | |
| LINE_OF_CREDIT_SEQNUM | Line of credit sequence number | NUMBER(22) | N | * | |
| IS_CREDIT_LINE_COMMITTED | Is the line of credit a committed or uncommitted line of credit? | VARCHAR2(20) | Y | C.20.a.i | |
| LINE_OF_CREDIT_SIZE | What size is the line of credit? | NUMBER(22) | Y | C.20.a.ii | |
| CREDIT_TYPE | Is the line of credit just for the Fund, or is it shared among multiple funds? | VARCHAR2(10) | Y | C.20.a.iv | |
| IS_CREDIT_LINE_USED | Did the Fund draw on the line of credit this period? | CHAR(1) | Y | C.20.a.v | |
| AVERAGE_CREDIT_LINE_USED | If the Fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use? | NUMBER(22) | Y | C.20.a.vi | |
| DAYS_CREDIT_USED | If the Fund drew on the line of credit during this period, what was the number of days that the line of credit was in use? | NUMBER(22) | Y | C.20.a.vii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| LINE_OF_CREDIT_SEQNUM | Line of credit sequence number | NUMBER(22) | N | ||
| CREDIT_INSTITUTION_NAME | With which institution(s) is the line of credit? | VARCHAR2(150) | Y | C.20.a.iii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| LINE_OF_CREDIT_SEQNUM | Line of credit sequence number | NUMBER(22) | N | ||
| FUND_NAME | Name | VARCHAR2(150) | Y | C.20.a.iv.1 | |
| SEC_FILE_NUM | SEC File Number | VARCHAR2(30) | Y | C.20.a.iv.1 |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| LENDING_LOAN_AVERAGE | What was the average amount of the interfund loan when the loan was outstanding? | NUMBER(22) | Y | C.20.b.i | |
| LENDING_DAYS_OUTSTANDING | What was the number of days that the interfund loan was outstanding? | NUMBER(22) | Y | C.20.b.ii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| BORROWING_LOAN_AVERAGE | What was the average amount of the interfund loan when the loan was outstanding? | NUMBER(22) | Y | C.20.c.i | |
| BORROWING_DAYS_OUTSTANDING | What was the number of days that the interfund loan was outstanding? | NUMBER(22) | Y | C.20.c.ii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | * | |
| SECURITY_RELATED_ITEM_SEQNUM | Security lending sequence number | NUMBER(22) | N | * | |
| DESCRIPTION | Securities issued by Registrant | VARCHAR2(100) | Y | D.1.a,D.1.b,D.1.c,D.1.d,D.1.e,D.1.f | |
| SECURITY_CLASS_TITLE | Title of class | VARCHAR2(150) | Y | D.1.a.i,D.1.b.i,D.1.c.i,D.1.d.i,D.1.e.i,D.1.f.i | |
| OTHER_SECURITY_DESCRIPTION | Description of Other security type | CLOB(4000) | Y | D.1.f | |
| EXCHANGE | Exchange where listed | VARCHAR2(10) | Y | D.1.a.ii,D.1.b.ii,D.1.c.ii,D.1.d.ii,D.1.e.ii,D.1.f.ii | |
| TICKER_SYMBOL | Ticker symbol | VARCHAR2(12) | Y | D.1.a.iii,D.1.b.iii,D.1.c.iii,D.1.d.iii,D.1.e.iii,D.1.f.iii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| IS_RIGHTS_OFFER_COMMON | Rights offering common stock | CHAR(1) | Y | D.2.b.i | |
| IS_RIGHTS_OFFER_PREFERRED | Rights offering preferred stock | CHAR(1) | Y | D.2.b.ii | |
| IS_RIGHTS_OFFER_WARRANTS | Rights offering warrants | CHAR(1) | Y | D.2.b.iii | |
| IS_RIGHTS_OFFER_CONVERTIBLES | Rights offering convertible securities | CHAR(1) | Y | D.2.b.iv | |
| IS_RIGHTS_OFFER_BONDS | Rights offering bonds | CHAR(1) | Y | D.2.b.v | |
| IS_RIGHTS_OFFER_OTHER | Rights offering other | CHAR(1) | Y | D.2.b.vi | |
| RIGHTS_OFFER_DESC | Other rights offering description | CLOB(4000) | Y | D.2.b.vi | |
| PCT_PARTCI_PRIMARY_OFFERING | Percentage of participation in primary rights offering | NUMBER(22) | Y | D.2.c |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| DEFAULT_NATURE | Nature of default | CLOB(4000) | Y | D.5.a.i | |
| DEFAULT_DATE | Date of default | DATE | Y | D.5.a.ii | |
| DEFAULT_AMNT_PER_1000 | Amount of default per $1,000 face amount | NUMBER(22) | Y | D.5.a.iii | |
| TOTAL_DEFAULT_AMNT | Total amount of default | NUMBER(22) | Y | D.5.a.iv |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | ||
| ISSUE_TITLE | Title of issue | VARCHAR2(150) | Y | D.6.a.i | |
| AMOUNT_PER_SHARE_IN_ARREAR | Amount per share in arrears | NUMBER(22) | Y | D.6.a.ii |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available or as accession_number and ETF sequence number | VARCHAR2(42) | N | ||
| FUND_EXCHANGE | Name of the national securities exchange on which the Fund's shares are listed | VARCHAR2(150) | Y | E.1.a | |
| FUND_TICKER_SYMBOL | Fund ticker symbol | VARCHAR2(12) | Y | E.1.b |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, CIK, and series identifier, when available or as accession_number and ETF sequence number | VARCHAR2(42) | N | ||
| PARTICIPANT_NAME | Full name | VARCHAR2(150) | Y | E.2.a | |
| FILE_NUM | SEC file number | VARCHAR2(30) | Y | E.2.b | |
| CRD_NUM | CRD number | VARCHAR2(9) | Y | E.2.c | |
| PARTICIPANT_LEI | LEI | VARCHAR2(20) | Y | E.2.d | |
| PURCHASE_VALUE | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | NUMBER(22) | Y | E.2.e | |
| REDEEM_VALUE | The dollar value of the Fund shares the authorized participant redeemed during the reporting period | NUMBER(22) | Y | E.2.f |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| FUND_ID | Fund identifier, composed as accession_number, cik, and series identifier, when available | VARCHAR2(42) | N | * | |
| FUND_NAME | Fund name | VARCHAR2(150) | Y | ||
| SERIES_ID | Series identification number | VARCHAR2(10) | Y | ||
| IS_COLLATERAL_REQUIRED | Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period | CHAR(1) | Y | E.2.g | |
| NUM_SHARES_PER_CREATION_UNIT | Number of Fund shares required to form a creation unit as of the last business day of the reporting period | NUMBER(22) | Y | E.3.a | |
| PURCHASED_AVG_PCT_CASH | Based on the dollar value paid for each creation unit purchased by authorization participants during the reporting period, the average percentage of that value composed of cash | NUMBER(22) | Y | E.3.b.i | |
| PURCHASED_STDV_PCT_CASH | Based on the dollar value paid for each creation unit purchased by authorization participants during the reporting period, the standard deviation of the percentage of that value composed of cash | NUMBER(22) | Y | E.3.b.ii | |
| PURCHASED_AVG_PCT_NON_CASH | Based on the dollar value paid for each creation unit purchased by authorization participants during the reporting period, the average percentage of that value composed of non-cash assets and other positions exchanged on an in-kind basis | NUMBER(22) | Y | E.3.b.iii | |
| PURCHASED_STDV_PCT_NON_CASH | Based on the dollar value paid for each creation unit purchased by authorization participants during the reporting period, the standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an in-kind basis | NUMBER(22) | Y | E.3.b.iv | |
| REDEEMED_AVG_PCT_CASH | Based on the dollar value paid for creation units redeemed by authorization participants during the reporting period, the average percentage of that value composed of cash | NUMBER(22) | Y | E.3.c.i | |
| REDEEMED_STDV_PCT_CASH | Based on the dollar value paid for creation units redeemed by authorization participants during the reporting period, the standard deviation of the percentage of that value composed of cash | NUMBER(22) | Y | E.3.c.ii | |
| REDEEMED_AVG_PCT_NON_CASH | Based on the dollar value paid for creation units redeemed by authorization participants during the reporting period, the average percentage of that value composed of non-cash assets and other positions exchanged on an in-kind basis | NUMBER(22) | Y | E.3.c.iii | |
| REDEEMED_STDV_PCT_NON_CASH | Based on the dollar value paid for creation units redeemed by authorization participants during the reporting period, the standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an in-kind basis | NUMBER(22) | Y | E.3.c.iv | |
| PURCH_AVG_FEE_PER_UNIT | For creation units purchased, the average transaction fee charged to authorized participant expressed as dollars per creation unit | NUMBER(22) | Y | E.3.d.i.1 | |
| PURCH_AVG_FEE_SAME_DAY | For creation units purchased, the average transaction fee charged to authorized participant expressed as dollars for one or more creation units purchased on the same day | NUMBER(22) | Y | E.3.d.i.2 | |
| PURCH_AVG_FEE_PERCENTAGE | For creation units purchased, the average transaction fee charged to authorized participant expressed as a percentage of the value of each creation unit | NUMBER(22) | Y | E.3.d.i.3 | |
| PURCH_AVG_FEE_CASH_PER_UNIT | For creation units purchased, the average transaction fee charged to authorized participant for transacting in those creation units fully or partially composed of cash, expressed as dollars per creation unit | NUMBER(22) | Y | E.3.d.ii.1 | |
| PURCH_AVG_FEE_CASH_SAME_DAY | For creation units purchased, the average transaction fee charged to authorized participant for transacting in those creation units fully or partially composed of cash, expressed as dollars for one or more creation units purchased on the same day | NUMBER(22) | Y | E.3.d.ii.2 | |
| PURCH_AVG_FEE_CASH_PERCENTAGE | For creation units purchased, the average transaction fee charged to authorized participant for transacting in those creation units fully or partially composed of cash, expressed as a percentage of the cash in each creation unit | NUMBER(22) | Y | E.3.d.ii.3 | |
| REDEEM_AVG_FEE_PER_UNIT | For creation units redeemed, the average transaction fee charged to authorized participant expressed as dollars per creation unit | NUMBER(22) | Y | E.3.e.i.1 | |
| REDEEM_AVG_FEE_SAME_DAY | For creation units redeemed, the average transaction fee charged to authorized participant expressed as dollars for one or more creation units redeemed on the same day | NUMBER(22) | Y | E.3.e.i.2 | |
| REDEEM_AVG_FEE_PERCENTAGE | For creation units redeemed, the average transaction fee charged to authorized participant expressed as a percentage of the value of each creation unit | NUMBER(22) | Y | E.3.e.i.3 | |
| REDEEM_AVG_FEE_CASH_PER_UNIT | For creation units redeemed, the average transaction fee charged to authorized participant for transacting in those creation units fully or partially composed of cash, expressed as dollars per creation unit | NUMBER(22) | Y | E.3.e.ii.1 | |
| REDEEM_AVG_FEE_CASH_SAME_DAY | For creation units redeemed, the average transaction fee charged to authorized participant for transacting in those creation units fully or partially composed of cash, expressed as dollars for one or more creation units redeemed on the same day | NUMBER(22) | Y | E.3.e.ii.2 | |
| REDEEM_AVG_FEE_CASH_PERCENTAGE | For creation units redeemed, the average transaction fee charged to authorized participant for transacting in those creation units fully or partially composed of cash, expressed as a percentage of the cash in each creation unit | NUMBER(22) | Y | E.3.e.ii.3 | |
| IS_PERF_TRACKED_AFFILIA_PERSON | Is the index whose performance the Fund tracks, constructed by an affiliated person of the Fund | CHAR(1) | Y | E.4.a.i.1 | |
| IS_PERF_TRACKED_EXCLUSIVELY | Is the index whose performance the Fund tracks, constructed exclusively for the Fund | CHAR(1) | Y | E.4.a.i.2 | |
| ANNUAL_DIFF_B4_FEE_EXPENSE | Annualized difference between the Fund's total return during the reporting period and in the index's return during the reporting period before Fund fees and expenses | NUMBER(22) | Y | E.4.a.ii.1 | |
| ANNUAL_DIFF_AFTER_FEE_EXPENSE | Annualized difference between the Fund's total return during the reporting period and in the index's return during the reporting period after Fund fees and expenses | NUMBER(22) | Y | E.4.a.ii.2 | |
| ANNUAL_STDV_B4_FEE_EXPENSE | Annualized standard deviation of the daily difference between the Fund's total return during the reporting period and in the index's return during the reporting period before Fund fees and expenses | NUMBER(22) | Y | E.4.a.iii.1 | |
| ANNUAL_STDV_AFTER_FEE_EXPENSE | Annualized standard deviation of the daily difference between the Fund's total return during the reporting period and in the index's return during the reporting period after Fund fees and expenses | NUMBER(22) | Y | E.4.a.iii.2 | |
| IS_FUND_IN_KIND_ETF | Is the Fund an In-Kind Exchange Traded Fund | CHAR(1) | Y | E.5 |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| DEPOSITOR_NAME | Full name | VARCHAR2(150) | Y | F.1.a | |
| CRD_NUM | CRD number | VARCHAR2(9) | Y | F.1.b | |
| DEPOSITOR_LEI | LEI | VARCHAR2(20) | Y | F.1.c | |
| STATE | State | VARCHAR2(5) | Y | F.1.d | |
| COUNTRY | Country | VARCHAR2(10) | Y | F.1.e | |
| ULTIMATE_PARENT_NAME | Full name of ultimate parent of depositor | VARCHAR2(150) | Y | F.1.f |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| UIT_ADMIN_NAME | Full name | VARCHAR2(150) | Y | F.2.a.i | |
| UIT_ADMIN_LEI | LEI or other identifying number | VARCHAR2(100) | Y | F.2.a.ii | |
| OTHER_IDENTIFYING_NUM | Description of other identifying number, if not LEI | VARCHAR2(4000) | Y | F.2.a.ii | |
| STATE | State | VARCHAR2(5) | Y | F.2.a.iii | |
| COUNTRY | Country | VARCHAR2(10) | Y | F.2.a.iv | |
| IS_AFFILIATED | Is the administrator an affiliated person of the Fund or its investment adviser | CHAR(1) | Y | F.2.a.v | |
| IS_SUB_ADMIN | Is the administrator a sub-administrator | CHAR(1) | Y | F.2.a.vi |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | * | |
| IS_ADMIN_HIRED_FIRED | Has an administrator been hired or terminated during the reporting period | CHAR(1) | Y | F.2.b | |
| IS_SEPERATE_ACCT | Is the Registrant a separate account of an insurance company? | CHAR(1) | Y | F.3 | |
| EXISTING_SERIES_CNT | Provide the number of series existing at the end of the reporting period that had outstanding securities registered under the Securities Act | NUMBER(22) | Y | F.6.a | |
| NEW_SERIES_CNT | Number of new series for which registration statements under the Securities Act became effective during the reporting period | NUMBER(22) | Y | F.7.a | |
| NEW_SERIES_AGG_VALUE | Total aggregate value of the portfolio securities on the date of deposit for the new series | NUMBER(22) | Y | F.7.b | |
| SERIES_CURRENT_PROSPECTUS | Number of series for which a current prospectus was in existence at the end of the reporting period | NUMBER(22) | Y | F.8 | |
| SERIES_CNT_ADDITIONAL_UNITS | Number of existing series for which additional units were registered under the Securities Act during the reporting period | NUMBER(22) | Y | F.9.a | |
| TOTAL_VALUE_ADDITIONAL_UNIT | Total value of additional units | NUMBER(22) | Y | F.9.b | |
| VALUE_UNIT_PLACED_SUBSEQUENT | Value of units placed in portfolios of subsequent series | NUMBER(22) | Y | F.10 | |
| TOTAL_ASSET_FOR_ALL_SERIES | Provide the total assets of all series of the Registrant combined as of the end of the reporting period: | NUMBER(22) | Y | F.11 | |
| SERIES_ID | Series ID of separate account. | VARCHAR2(10) | Y | F.12 | |
| NUM_CONTRACTS | Number of contracts. | NUMBER(22) | Y | F.13 | |
| IS_RELYON_RULE_6C_7 | Reliance on rule 6c-7 | CHAR(1) | Y | F.15 | |
| IS_RELYON_RULE_11A_2 | Reliance on rule 11a-2. | CHAR(1) | Y | F.16 | |
| IS_RELYON_RULE_12D1_4 | Reliance on rule 12d1-4 | CHAR(1) | Y | F.17 | |
| IS_RELYON_RULE_12D1G | Reliance on rule 12(d)(1)(G) | CHAR(1) | Y | F.18 |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| SERIES_CIK | The CIK that had outstanding securities registered under The Securities Act at The end of The reporting period | VARCHAR2(10) | Y | F.6.b |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| SPONSOR_NAME | Full name | VARCHAR2(150) | Y | F.4.a | |
| CRD_NUM | CRD number, if any | VARCHAR2(9) | Y | F.4.b | |
| SPONSOR_LEI | LEI, if any | VARCHAR2(20) | Y | F.4.c | |
| STATE | State, if applicable | VARCHAR2(5) | Y | F.4.d | |
| COUNTRY | Country | VARCHAR2(10) | Y | F.4.e |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| TRUSTEE_NAME | Full name | VARCHAR2(150) | Y | F.5.a | |
| STATE | State, if applicable | VARCHAR2(5) | Y | F.5.b | |
| COUNTRY | Country | VARCHAR2(10) | Y | F.5.c |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| SECURITY_NAME | Full name of the security | VARCHAR2(150) | Y | F.14.a | |
| CONTRACT_ID | Contract identification number | VARCHAR2(10) | Y | F.14.b | |
| TOTAL_ASSET | Total assets attributable to the security | NUMBER(22) | Y | F.14.c | |
| NUM_CONTRACT_SOLD | Number of contracts sold during the reporting period | NUMBER(22) | Y | F.14.d | |
| GROSS_PREMIUM_RECEIVED | Gross premiums received during the reporting period | NUMBER(22) | Y | F.14.e | |
| GROSS_PREMIUM_RECEIVED_SEC1035 | Gross premiums received pursuant to section 1035 exchanges | NUMBER(22) | Y | F.14.f | |
| NUM_CONTRACT_AFFECTED_PAID | Number of contracts affected in connection with premiums paid in pursuant to section 1035 exchanges | NUMBER(22) | Y | F.14.g | |
| CONTRACT_VALUE_REDEEMED | Amount of contract value redeemed during the reporting period | NUMBER(22) | Y | F.14.h | |
| CONTRAC_VALUE_REDEEMED_SEC1035 | Amount of contract value redeemed pursuant to section 1035 exchanges | NUMBER(22) | Y | F.14.i | |
| NUM_CONTRACT_AFFECTED_REDEEMED | Number of contracts affected in connection with contract value redeemed pursuant to section 1035 exchanges | NUMBER(22) | Y | F.14.j |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| ISSUER_NAME | Full name of the issuer | VARCHAR2(150) | Y | F.17.a.i | |
| TICKER | Ticker symbol | VARCHAR2(12) | Y | F.17.a.ii | |
| CUSIP | CUSIP number | VARCHAR2(10) | Y | F.17.a.iii | |
| DIVESTED_NUM_SHARES | Total number of shares or, for debt securities, principal amount divested | NUMBER(22) | Y | F.17.a.iv | |
| DIVESTED_DATE | Date that the securities were divested | DATE | Y | F.17.a.v | |
| STATUTE_NAME | Name of the statute that added the provision of section 13(c) in accordance with which the securities were divested | VARCHAR2(150) | Y | F.17.a.vi |
| Field Name | Description | Data Type | Nullable | Key | Item In Rule |
|---|---|---|---|---|---|
| ACCESSION_NUMBER | The 20-character string formed from the 18-digit number assigned by the Commission to each EDGAR submission. | VARCHAR2(20) | N | ||
| TICKER | Ticker symbol | VARCHAR2(12) | Y | F.17.b.i | |
| CUSIP | CUSIP number | VARCHAR2(10) | Y | F.17.b.ii | |
| TOTAL_NUM_SHARES | Total number of shares or, for debt securities, principal amount held on the date of the filing | NUMBER(22) | Y | F.17.b.iii |