NCEN Data Sets
Form
N-CEN is used by all registered investment companies, other than face-amount
certificate companies to file annual reports with the Commission. The Form NCEN
data sets are extracted from N-CEN eXtensible Markup
Language (XML) submissions in a flat file format to assist users in
constructing the data for analysis. The data has been automatically and
directly taken from submissions created by the registrants and provided
as-filed. The data will be published quarterly. Data contained in documents
filed after 5:30pm EST on the last business day of the quarter will be included
in the next quarterly posting.
The following table lists the Electronic Data Gathering, Analysis, and
Retrieval (EDGAR) submission types included in the 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 |
The
N-CEN data sets consists of XML data submitted from September 2018 through
current period. The EDGAR
Technical Specifications page provides the N-CEN XML Technical
Specifications Document.
Note
that the data sets include information "as filed" in EDGAR document
submissions including amendments of prior submissions. Data in this submitted
form may contain redundancies, inconsistencies, and discrepancies relative to
prior submissions and other publication formats. There are up to 53 data files.
Each quarterly data set is accompanied by a metadata file conforming to the W3C
specification for tabular data (https://www.w3.org/TR/tabular-data-model)
that encodes the following information about the data files and their
relationships to each other
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.
Each
of the data file provide text format, tab delimited, UTF-8 encoding.
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) |
Y |
* |
|
|
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) |
Y |
* |
|
|
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(8,0) |
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 |
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) |
Y |
||
|
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) |
Y |
||
|
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 |
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) |
Y |
||
|
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) |
Y |
* |
|
|
DIRECTOR_SEQNUM |
Director
sequence number |
NUMBER(38,0) |
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) |
Y |
||
|
DIRECTOR_SEQNUM |
DIRECTOR
Sequence number |
NUMBER(38,0) |
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) |
Y |
* |
|
|
CCO_SEQNUM |
CHIEF_COMPLIANCE_OFFICER
Sequence number |
NUMBER(38,0) |
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) |
Y |
||
|
CCO_SEQNUM |
CHIEF_COMPLIANCE_OFFICER
Sequence number |
NUMBER(38,0) |
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) |
Y |
||
|
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) |
Y |
||
|
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) |
Y |
||
|
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) |
Y |
||
|
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) |
Y |
* |
|
|
VALUATION_METHOD_CHANGE_SEQNUM |
VALUATION_METHOD_CHANGE
Sequence number |
NUMBER(38,0) |
N |
* |
|
|
DATE_OF_CHANGE |
Date
of change |
DATE |
Y |
B.20.a |
|
|
CHANGE_EXPLANATION |
Explanation
of the change |
CLOB |
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 |
Y |
B.20.c |
|
|
INVESTMENT_TYPE |
Type
of investments involved |
CLOB |
Y |
B.20.d |
|
|
STATUTORY_REGULATORY_BASIS |
Statutory
or regulatory basis, if any |
CLOB |
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) |
Y |
||
|
VALUATION_METHOD_CHANGE_SEQNUM |
VALUATION_METHOD_CHANGE
Sequence number |
NUMBER(38,0) |
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) |
Y |
* |
|
|
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(8,0) |
Y |
C.2.a |
|
|
ADDED_NEW_SHARES_CNT |
How
many new Classes of shares of the Fund were added during the reporting
period? |
NUMBER(8,0) |
Y |
C.2.b |
|
|
TERMINATED_SHARES_CNT |
How
many Classes of shares of the Fund were terminated during the reporting
period? |
NUMBER(8,0) |
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 |
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 |
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 |
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 |
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 |
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 |
Y |
C.6.f |
|
|
NET_INCOME_SEC_LENDING |
Provide
the net income from securities lending activities |
NUMBER |
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
270.18f[1]4(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 18f[1]4(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 |
Y |
C.16.b |
|
|
AGG_PRINCIPAL |
Aggregate
value of principal purchase/sale transactions of Fund during the reporting
period |
NUMBER |
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 |
Y |
C.19.a |
|
|
DAILY_AVG_NET_ASSETS |
Provide
the money market fund's daily average net assets during the reporting period |
NUMBER |
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 |
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 |
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 |
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 |
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 |
Y |
D.9 |
|
|
MARKET_PRICE_PER_SHARE |
Market
price per share at end of reporting period |
NUMBER |
Y |
D.10 |
|
|
NAV_PER_SHARE |
Net
asset value per share at end of reporting period |
NUMBER |
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(38,0) |
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(38,0) |
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 |
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 |
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 |
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 |
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(38,0) |
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 |
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 |
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(8,0) |
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(38,0) |
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(38,0) |
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 |
Y |
C.20.b.i |
|
|
LENDING_DAYS_OUTSTANDING |
What
was the number of days that the interfund loan was outstanding? |
NUMBER(8,0) |
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 |
Y |
C.20.c.i |
|
|
BORROWING_DAYS_OUTSTANDING |
What
was the number of days that the interfund loan was outstanding? |
NUMBER(8,0) |
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(38,0) |
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 |
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 |
Y |
D.2.b.vi |
|
|
PCT_PARTCI_PRIMARY_OFFERING |
Percentage
of participation in primary rights offering |
NUMBER |
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 |
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 |
Y |
D.5.a.iii |
|
|
TOTAL_DEFAULT_AMNT |
Total
amount of default |
NUMBER |
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 |
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 |
Y |
E.2.e |
|
|
REDEEM_VALUE |
The
dollar value of the Fund shares the authorized participant redeemed during
the reporting period |
NUMBER |
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 - for purchases |
NUMBER |
Y |
E.3.a.i |
|
|
REDEEMED_SHARES_PER_CREATION_UNIT |
Number
of Fund shares required to form a creation unit as of the last business day
of the reporting period - for redemptions if different |
NUMBER |
Y |
E.3.a.ii |
|
|
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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) |
Y |
||
|
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) |
Y |
||
|
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) |
Y |
* |
|
|
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(8,0) |
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(8,0) |
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 |
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(8,0) |
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(8,0) |
Y |
F.9.a |
|
|
TOTAL_VALUE_ADDITIONAL_UNIT |
Total
value of additional units |
NUMBER |
Y |
F.9.b |
|
|
VALUE_UNIT_PLACED_SUBSEQUENT |
Value
of units placed in portfolios of subsequent series |
NUMBER |
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 |
Y |
F.11 |
|
|
SERIES_ID |
Series
ID of separate account. |
VARCHAR2(10) |
Y |
F.12 |
|
|
NUM_CONTRACTS |
Number
of contracts. |
NUMBER(8,0) |
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) |
Y |
||
|
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) |
Y |
||
|
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) |
Y |
||
|
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) |
Y |
||
|
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 |
Y |
F.14.c |
|
|
NUM_CONTRACT_SOLD |
Number
of contracts sold during the reporting period |
NUMBER(8,0) |
Y |
F.14.d |
|
|
GROSS_PREMIUM_RECEIVED |
Gross
premiums received during the reporting period |
NUMBER |
Y |
F.14.e |
|
|
GROSS_PREMIUM_RECEIVED_SEC1035 |
Gross
premiums received pursuant to section 1035 exchanges |
NUMBER |
Y |
F.14.f |
|
|
NUM_CONTRACT_AFFECTED_PAID |
Number
of contracts affected in connection with premiums paid in pursuant to section
1035 exchanges |
NUMBER(8,0) |
Y |
F.14.g |
|
|
CONTRACT_VALUE_REDEEMED |
Amount
of contract value redeemed during the reporting period |
NUMBER |
Y |
F.14.h |
|
|
CONTRAC_VALUE_REDEEMED_SEC1035 |
Amount
of contract value redeemed pursuant to section 1035 exchanges |
NUMBER |
Y |
F.14.i |
|
|
NUM_CONTRACT_AFFECTED_REDEEMED |
Number
of contracts affected in connection with contract value redeemed pursuant to
section 1035 exchanges |
NUMBER(8,0) |
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) |
Y |
||
|
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 |
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) |
Y |
||
|
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 |
Y |
F.17.b.iii |