Form TBD Form N-CR

683
registrant or a separate series of the registrant.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM N-CR
CURRENT REPORT
MONEY MARKET FUND MATERIAL EVENTS

Part A: General information
Item A.1

Report for [mm/dd/yyyy].

Item A.2

CIK Number of registrant.

Item A.3

EDGAR Series Identifier.

Item A.4

Securities Act File Number.

Item A.5

Provide the name, e-mail address, and telephone number of the person
authorized to receive information and respond to questions about this
Form N-CR.

Part B: Default or Event of Insolvency of portfolio security issuer
If the issuer of one or more of the Fund’s portfolio securities, or the issuer of a Demand Feature
or Guarantee to which one of the Fund’s portfolio securities is subject, and on which the Fund is
relying to determine the quality, maturity, or liquidity of a portfolio security, experiences a
default or Event of Insolvency (other than an immaterial default unrelated to the financial
condition of the issuer), and the portfolio security or securities (or the securities subject to the
Demand Feature or Guarantee) accounted for at least ½ of 1 percent of the Fund’s Total Assets
immediately before the default or Event of Insolvency, disclose the following information:
Item B.1

Security or securities affected.

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Item B.2

Date(s) on which the default(s) or Event(s) of Insolvency occurred.

Item B.3

Value of affected security or securities on the date(s) on which the default(s) or
Event(s) of Insolvency occurred.

Item B.4

Percentage of the Fund’s Total Assets represented by the affected security or
securities.

Item B.5

Brief description of actions Fund plans to take in response to the default(s) or
Event(s) of Insolvency.

Instruction. For purposes of Part B, an instrument subject to a Demand Feature or Guarantee
will not be deemed to be in default (and an Event of Insolvency with respect to the security will
not be deemed to have occurred) if: (i) in the case of an instrument subject to a Demand Feature,
the Demand Feature has been exercised and the Fund has recovered either the principal amount
or the amortized cost of the instrument, plus accrued interest; (ii) the provider of the Guarantee is
continuing, without protest, to make payments as due on the instrument; or (iii) the provider of a
Guarantee with respect to an Asset-Backed Security pursuant to rule 2a-7(a)(16)(ii) is
continuing, without protest, to provide credit, liquidity or other support as necessary to permit
the Asset-Backed Security to make payments as due.
Part C: Provision of financial support to Fund
If an affiliated person, promoter, or principal underwriter of the Fund, or an affiliated person of
such a person, provides any form of financial support to the Fund (including, for example, any
capital contribution, purchase of a security from the Fund in reliance on § 270.17a-9, purchase of
any defaulted or devalued security at par, purchase of Fund shares, execution of letter of credit or
letter of indemnity, capital support agreement (whether or not the Fund ultimately received
support), or performance guarantee, or any other similar action to increase the value of the

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Fund’s portfolio or otherwise support the Fund during times of stress), disclose the following
information:
Item C.1

Description of nature of support.

Item C.2

Person providing support.

Item C.3

Brief description of relationship between the person providing support and the
Fund.

Item C.4

Brief description of reason for support.

Item C.5

Date support provided.

Item C.6

Amount of support.

Item C.7

Security supported (if applicable).

Item C.8

Value of security supported on date support was initiated (if applicable).

Item C.9

Term of support.

Item C.10

Brief description of any contractual restrictions relating to support.

Instruction. If an affiliated person, promoter, or principal underwriter of the Fund, or an
affiliated person of such a person, purchases a security from the Fund in reliance on § 270.17a-9,
the Fund must provide the purchase price of the security in responding to Item C.6.
Part D: Deviation between current net asset value per share and intended stable price per
share
If a Fund’s current net asset value per share (rounded to the fourth decimal place in the case of a
fund with a $1.00 share price, or an equivalent level of accuracy for funds with a different share
price) deviates downward from its intended stable price per share by more than ¼ of 1 percent,
disclose:
Item D.1

Date(s) on which such deviation exceeded ¼ of 1 percent.

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Item D.2

Extent of deviation between the Fund’s current net asset value per share and its
intended stable price per share.

Item D.3

Principal reason for the deviation, including the name of any security whose value
calculated using available market quotations (or an appropriate substitute that
reflects current market conditions) or sale price, or whose issuer’s downgrade,
default, or event of insolvency (or similar event), has contributed to the deviation.

Part E: Imposition of liquidity fee
If, at the end of a business day, a Fund (except any Fund that is subject to the exemption
provisions of rule 2a-7(c)(2)(iii) and that has chosen to rely on the rule 2a-7(c)(2)(iii) exemption
provisions) has invested less than fifteen percent of its Total Assets in weekly liquid assets (as
provided in rule 2a-7(c)(2)), disclose the following information:
Item E.1

Initial date on which the Fund invested less than fifteen percent of its Total Assets
in weekly liquid assets.

Item E.2

If the Fund imposes a liquidity fee pursuant to rule 2a-7(c)(2)(i), date on which
the Fund instituted the liquidity fee.

Item E.3

Brief description of the facts and circumstances leading to the Fund’s investing
less than fifteen percent of its Total Assets in weekly liquid assets.

Item E.4

Short discussion of the board of directors’ analysis supporting its decision that
imposing a liquidity fee pursuant to rule 2a-7(c)(2)(i) (or not imposing such a
liquidity fee) would be in the best interest of the Fund.

Instruction. A Fund must file a report on Form N-CR responding to Items E.1 and E.2 on the
first business day after the initial date on which the Fund has invested less than fifteen percent of
its Total Assets in weekly liquid assets. A Fund must amend its initial report on Form N-CR to

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respond to Items E.3 and E.4 by the fourth business day after the initial date on which the Fund
has invested less than fifteen percent of its Total Assets in weekly liquid assets.
Part F: Suspension of Fund redemptions
If a Fund (except any Fund that is subject to the exemption provisions of rule 2a-7(c)(2)(iii) and
that has chosen to rely on the rule 2a-7(c)(2)(iii) exemption provisions) that has invested less
than fifteen percent of its Total Assets in weekly liquid assets (as provided in rule 2a-7(c)(2))
suspends the Fund’s redemptions pursuant to rule 2a-7(c)(2)(ii), disclose the following
information:
Item F.1

Initial date on which the Fund invested less than fifteen percent of its Total Assets
in weekly liquid assets.

Item F.2

Date on which the Fund initially suspended redemptions.

Item F.3

Brief description of the facts and circumstances leading to the Fund’s investing
less than fifteen percent of its Total Assets in weekly liquid assets.

Item F.4

Short discussion of the board of directors’ analysis supporting its decision to
suspend the Fund’s redemptions.

Instruction. A Fund must file a report on Form N-CR responding to Items F.1 and F.2 on the
first business day after the initial date on which the Fund suspends redemptions. A Fund must
amend its initial report on Form N-CR to respond to Items F.3 and F.4 by the fourth business day
after the initial date on which the Fund suspends redemptions.
Part G: Removal of liquidity fees and/or resumption of Fund redemptions
If a Fund (except any Fund that is subject to the exemption provisions of rule 2a-7(c)(2)(iii) and
that has chosen to rely on the rule 2a-7(c)(2)(iii) exemption provisions) that has imposed a
liquidity fee and/or suspended the Fund’s redemptions pursuant to rule 2a-7(c)(2) determines to

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remove such fee and/or resume fund redemptions, disclose the following, as applicable:
Item G.1

Date on which the Fund removed the liquidity fee and/or resumed Fund
redemptions.

SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has
duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
______________________________________
(Registrant)
Date ______________________________
________________________________________
(Signature)*

*Print name and title of the signing officer under his/her signature.

PART 279 – FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS
ACT OF 1940
18.

The authority citation for Part 279 continues to read as follows:

Authority: The Investment Advisers Act of 1940, 15 U.S.C. 80b-1, et seq.
19.

Form PF (referenced in § 279.9) is amended by:

a.

In General Instruction 15, removing the reference to Question 57 from the last

bulleted sentence;
b.

Revising section 3 to read as follows;

c.

Redesignating Questions 65-79 in section 4 to 66-80;

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d.

In newly designated question 67(b) in section 4, revising the reference to

“Question 66(a)” to read “Question 67(a)”;
e.

In newly designated question 76(b) in section 4, revising the reference to

“Question 75(a)” to read “Question 76(a)”;
f.

In newly designated question 77(b) in section 4, revising the reference to

“Question 76(a)” to read “Question 77(a)”; and
g.

In the Glossary of Terms, adding and revising certain terms.

The additions and revisions read as follows:
Note: The text of Form PF does not, and this amendment will not, appear in the Code of
Federal Regulations.
Form PF
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Section 3
Section 3: Information about liquidity funds that you advise.
You must complete a separate Section 3 for each liquidity fund that you advise. However, with respect to
master-feeder arrangements and parallel fund structures, you may report collectively or separately about
the component funds as provided in the General Instructions.
Item A. Reporting fund identifying and operational information

51.

(a) Name of the reporting fund ............................................................................
(b) Private fund identification number of the reporting fund ..............................

52.

Does the reporting fund use the amortized cost method of valuation in computing its net
asset value?
Yes
No

53.

Does the reporting fund use the penny rounding method of pricing in computing its net asset
value?
Yes
No

54.

(a)

Does the reporting fund have a policy of complying with the risk limiting conditions