Form N-PX under the Investment Company Act of 1940, Annual Report of Proxy Voting Record

ICR 202011-3235-006

OMB: 3235-0582

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supplementary Document
2021-04-21
Supplementary Document
2021-04-21
Supporting Statement A
2020-12-18
ICR Details
3235-0582 202011-3235-006
Received in OIRA 201706-3235-023
SEC IM-270-524
Form N-PX under the Investment Company Act of 1940, Annual Report of Proxy Voting Record
Extension without change of a currently approved collection   No
Regular 04/21/2021
  Requested Previously Approved
36 Months From Approved 05/31/2021
11,890 11,818
47,984 53,210
17,657,958 7,256,800

Registered management investment companies use Form N-PX to file annual reports with the Commission containing their complete proxy voting record for the most recent twelve-month period ended June 30.

US Code: 15 USC 80a-29 Name of Law: Investment Company Act of 1940
  
None

Not associated with rulemaking

  86 FR 7320 01/27/2021
86 FR 20778 04/21/2021
No

1
IC Title Form No. Form Name
Form N-PX under the Investment Company Act of 1940, Annual Report of Proxy Voting Record 2451 Form N-PX

  Total Request Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 11,890 11,818 0 72 0 0
Annual Time Burden (Hours) 47,984 53,210 0 -5,226 0 0
Annual Cost Burden (Dollars) 17,657,958 7,256,800 0 10,401,158 0 0
No
Yes
Miscellaneous Actions
Previously, the Commission had estimated an annual total hour burden of approximately 53,210 hours for Form N-PX. This number was based on a yearly estimate of approximately 7,111 portfolios holding equity securities and 2,831 portfolios holding no equity securities with an estimated burden of 7.2 hours per response for portfolios holding equity securities and 0.17 hours per response for portfolios holding no equity securities. In addition, the Commission previously estimated total annual cost burden of $7,256,800. The Commission estimates a net decrease of 5,226 burden hours per year for Form N-PX from the previous submission under the Paperwork Reduction Act. The change in the estimated hour burden is due to the change in the number of each type of investment portfolio required to file Form N-PX. The Commission also estimates a net increase of $10,401,158 in external costs per year for Form N-PX from the previous submission. The change in the estimated cost burden is due to the increase in the number of portfolios from 11,818 to 11,890.

$0
No
    Yes
    No
No
No
No
No
Adam Lovell 202 551-6637

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
04/21/2021


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