FORM N-MFP
MONTHLY SCHEDULE OF PORTFOLIO HOLDINGS
OF MONEY MARKET FUNDS
Form N-MFP is to be used by open-end management investment companies, or series thereof, that are regulated as money market funds under § 270.2a-7 (“money market funds”), to file reports with the Commission, not later than the second business day of each month, pursuant to rule 30b1-6 under the Investment Company Act of 1940 (17 CFR 270.30b1‑6). The Commission may use the information provided on Form N‑MFP in its regulatory, disclosure review, inspection, and policymaking roles.
GENERAL INSTRUCTIONS
A. Rule as to Use of Form N-MFP
Form N-MFP is the public reporting form that is to be used for monthly reports of money market funds under section 30(b) of the Investment Company Act of 1940 (the “Act”) and rule 30b1-6 of the Act (17 CFR 270.30b1-6). Form N-MFP must be filed no later than the second business day of each month, and will contain certain information about the money market fund and its portfolio holdings as of the last business day of the preceding month.
B. Application of General Rules and Regulations
The General Rules and Regulations under the Act contain certain general requirements that are applicable to reporting on any form under the Act. These general requirements should be carefully read and observed in the preparation and filing of reports on this form, except that any provision in the form or in these instruction shall be controlling.
C. Filing of Form N-MFP
A money market fund must file Form N-MFP no later than the second business day of each month, in accordance with rule 232.13 of Regulation S-T. Form N‑MFP must be filed electronically using the Commission’s EDGAR system.
D. Paperwork Reduction Act Information
A registrant is not required to respond to the collection of information contained in Form N-MFP unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-1090. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. 3507.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM N-MFP
MONTHLY SCHEDULE OF PORTFOLIO HOLDINGS
OF MONEY MARKET FUNDS
Date of Filing:
Report for [Month, Day, Year]
Name and Address of Fund or Portfolio Filing This Report:
CIK Number:
SEC File Number:
EDGAR Series Identifier:
Number of share classes offered:
Check here if Amendment [ ]
Amendment Number:
Is this an Initial Filing? [Y/N]
Is this a Final Filing? [Y/N]
Is the fund liquidating? [Y/N]
Is the fund merging with another fund? [Y/N]
If so, please identify the other fund by name, SEC File Number, and EDGAR Series Identifier.
Is the fund being acquired by another fund? [Y/N]
If so, please identify the acquiring fund by name, SEC File Number, and EDGAR Series Identifier.
Part I: Information about the Fund
Name of Investment Adviser.
a. SEC file number of Investment Adviser.
Name of Sub-Adviser. If a fund has multiple sub-advisers, disclose the name of all sub-advisers to the fund.
a. SEC file number of Sub-Adviser. Disclose the SEC file number of each sub-adviser to the fund.
Independent Auditor.
Administrator.
Transfer Agent.
a. SEC file number of Transfer Agent.
Minimum initial investment.
Is this a feeder fund? [Y/N]
a. If this is a feeder fund, identify the master fund.
b. SEC File Number of the master fund.
Is this a master fund? [Y/N]
a. If this is a master fund, identify all feeder funds.
b. SEC File Number of each feeder fund.
Is this portfolio primarily used to invest cash collateral? [Y/N]
Is this portfolio primarily used to fund variable accounts? [Y/N]
Category. Indicate whether the money market fund is a Treasury, Government/Agency, Prime, Tax-Free National, or Tax-Free State Fund.
Total value of the portfolio at cost, to the nearest hundredth of a cent.
Net value of other assets and liabilities, to the nearest hundredth of a cent.
Net asset value per share for purposes of distributions, redemptions, and repurchase, to the nearest hundredth of a cent.
Net shareholder flow activity for the month ended (subscriptions less redemptions).
Dollar weighted average maturity. Calculate the dollar weighted average maturity of portfolio securities, based on the time remaining until the next interest rate re-set.
Dollar weighted average life maturity. Calculate the dollar weighted average maturity of portfolio securities based on final legal maturity or demand feature.
7-day gross yield. Based on the 7 days ended on the last day of the prior month, calculate the Fund’s yield by determining the net change, exclusive of capital changes and income other than investment income, in the value of a hypothetical pre-existing account having a balance of one share at the beginning of the period and dividing the difference by the value of the account at the beginning of the base period to obtain the base period return, and then multiplying the base period return by (365/7) with the resulting yield figure carried to at least the nearest hundredth of one percent. The 7-day gross yield should not reflect a deduction of shareholders fees and fund operating expenses.
Part 2: Schedule of Portfolio Securities. For each security held by the money market fund, please disclose the following:
The name of the issuer.
CIK number of the issuer.
The title of the issue.
The CUSIP.
Other unique identifier (if the instrument does not have a CUSIP).
The category of investment. Please indicate the category that most closely identifies the instrument from among the following: Treasury Debt; Government Agency Debt; Variable Rate Demand Notes; Other Municipal Debt; Financial Company Commercial Paper; Asset Backed Commercial Paper; Certificate of Deposit; Structured Investment Vehicle Notes; Other Notes; Treasury Repurchase Agreements; Government Agency Repurchase Agreements; Other Repurchase Agreements; Insurance Company Funding Agreements; Investment Company; Other Instrument.
Rating. Please indicate whether the security is a 1st tier security, unrated, or no longer eligible.
Requisite NRSROs.
a. Identify each Requisite NRSRO.
b. For each Requisite NRSRO, disclose the credit rating given by the Requisite NRSRO.
The maturity date as determined under rule 2a-7. Disclose the maturity date, taking into account the maturity shortening provisions of rule 2a-7.
The final legal maturity date.
Is the maturity date extendable? [Y/N]
Does the security have a credit enhancement? [Y/N]
For each credit enhancement, disclose:
a. The type of credit enhancement.
b. The identity of the credit enhancement provider.
c. The credit rating of the credit enhancement provider.
Does the security have an insurance guarantee? [Y/N]
For each insurance guarantee provider, disclose:
a. The identity of the insurance guarantee provider.
b. The credit rating of the insurance guarantee provider.
Does the security have a liquidity provider? [Y/N]
For each liquidity provider, disclose:
a. The identity of the liquidity provider.
b. The credit rating of the liquidity provider.
The principal amount of the security.
The current amortized cost, to the nearest hundredth of a cent.
Is this a Level 1, Level 2, or Level 3 security, or Other? Please explain how the security was valued. Level 1 securities are valued based on quoted prices in active markets for identical securities. Level 2 securities are valued based on other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risks, etc.). Level 3 securities are valued based on significant unobservable inputs (including the fund’s own assumptions in determining the fair value of investments). See Statement of Financial Accounting Standards Board No. 157, “Fair Value Measurement.”
The percentage of the money market fund’s gross assets invested in the security, to the nearest hundredth of one percent.
Explanatory notes. Please disclose any other information that may be material to other disclosure in the Form.
| File Type | application/msword |
| File Title | FORM N-MFP |
| Author | tat |
| Last Modified By | tat |
| File Modified | 2009-07-17 |
| File Created | 2009-07-17 |