EDGAR Form N-PORT XML Technical Specification (Version 1.4)

Implementation Date: October 1, 2018

The EDGAR Form N-PORT XML Technical Specification (Version 1.4) document details the valid structure and content of the Form N-PORT Electronic Data Gathering, Analysis, and Retrieval (EDGAR) Extensible Markup Language (XML) submission types. This specification provides, to those filers that are interested, the basis for creating Form N-PORT XML submissions. The expectation is that software developers, working on behalf of filers, will be able to construct software that will generate a Form N-PORT XML submission that can be successfully processed by the EDGAR system.

The Form N-PORT submission file must conform to the EDGAR Form D Submission Taxonomy for the EDGAR system. This taxonomy comprises a collection of XML Schema Definition (.xsd) files that defines the structure of EDGAR Form N-PORT submissions.  The Form N-PORT XML submissions can be transmitted to the SEC via the ‘Transmit’ link on the EDGAR FilerWeb (https://www.edgarfiling.sec.gov/) or the ‘Transmit XML Submission’ link on the EDGAR OnlineForms/XML Website (https://www.onlineforms.edgarfiling.sec.gov).
EDGAR Release 18.3 will introduce the following changes:

  • Section 4.19, updated ITEM_CATEGORY_TYPE list. Added “A.4”, “ B.4.b”, “B.7.c.i”, “B.8.a.iii’, “B.8.a.iv”, “C.3”, “C.6”, “C.8”, and “C.11.b.i”
  • Sections 3.4.1, 3.4.2, 3.4.3, 3.4.5, 3.4.6, 3.4.7, 3.4.10, 3.4.11, 3.4.12, 3.4.14, and 3.4.15, added a repeatable element “counterparties”
  • Section 3.4, added “dbtSecRefInstruments”, “dbtSecRefInstrument”, and updated the elements “name”, “title”, “curCd”, and “identifiers” to one level down
  • Section 4.21, modified the text from “US” to “USD”
  • Sections 3.4 and 3.4.7, modified the other identifiers attribute from “desc” to “value”
  • Section 3.3, updated the c#9, c#10 and c#11 added the options “otherRecDesc”, “otherPmntDesc”, and “otherRefInst”
  • Section 3.4, updated the conditions for valUSD, pctVal and fixedOrFloating
  • Section 3.4, added choice elements “otherRecDesc”, “otherPmntDesc”, and attribute “fixedOrFloating”
  • Sections 3.4.5 and 3.4.14, added new element “exercisePriceCurCd”
  • Sections 3.4.7, 3.4.9, 3.4.10, 3.4.11, 3.4.12, 3.4.14, and 3.4.15, added a note
  • Section 3.4.12, removed the element “unrealizedAppr”
  • Section 3.4, updated Max Length of Data Type “Decimal” and “attr Decimal” to 24
  • Section 3.2, updated the verbiage related to the “Decimal” to include 24 total digits
  • Section 3.4, updated “seriesid” element from “optional” to conditionally mandatory
  • Section 3.4, updated the “invstOrSec” repeatability from 1000 to 500,000
  • Section 3.3, added values “m#64”, “m#65”, “m#66”
  • Section 3.4, all the elements and attributes begin with lower case letters to be consistent with the schema
  • Section 7.2.1, updated instructions for allowed document names
  • Section 4.19, added options for part D
  • In the Schema, added the ampersand (“&”) as an allowed character for ENTITY_TYPE, NON_ENTITY_TYPE, CUSIP_TYPE, and ISIN_TYPE
  • Section 3.4, added a Note related to non-dissemination of Part D