Form SEC 2847 SEC 2847 Form N-MFP

FORM N-MFP

U. S. Securities And Exchange Commission

Monthly Schedule Of Portfolio
Holdings Of Money Market
Funds

OMB APPROVAL

Washington, D.C. 20549

OMB Number:
3235-0657
Expires:
January 31, 2018
Estimated average burden
hours per response. . . . . .10.9

(See instructions beginning on page 8)

Intentional misstatements or omissions of fact constitute federal and criminal violations. See 18 U.S.C. 1001.
(mm/dd/yyyy)

Report for :

CIK Number of Registrant:

EDGAR Series Identifier:
Total number of share classes in the series:
Yes

Do you anticipate that this will be the fund’s final filing on Form N-MFP?
Is the fund liquidating?

Yes

No

No

Is the fund merging with, or being acquired by, another fund?

Yes

No

If so, identify the successor fund by CIK, Securities Act file number, and EDGAR series identifier.

If this is not a final filing: has the fund acquired or merged with another fund since the last filing?
Yes
No
If so, identify the acquired or merged fund by CIK, Securities Act file number, and EDGAR series identifier.

Part I: Information about the Fund
A.

Series-Level Information

Item 1. Securities Act File Number.
Item 2. Investment Adviser.
a.

SEC file number of investment adviser.

Item 3. Sub-Adviser. If a fund has one or more sub-advisers, disclose the name of each sub-adviser.

a.

SEC file number of each sub-adviser.
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Item 4. Independent Public Accountant.
a.

City and state of independent public accountant.

Item 5. Administrator. If a fund has one or more administrators, disclose the name of each administrator.

Item 6. Transfer Agent.
a.

CIK Number.

b.

SEC file number of transfer agent.

Item 7. Master-Feeder Funds. Is this a feeder fund?
a.

Identify the master fund by CIK.

b.

Securities Act file number of the master fund.

c.

EDGAR series identifier of the master fund.

Item 8. Master-Feeder Funds. Is this a master fund?

Yes

No

Yes

No

a.

If this is a master fund, identify all feeder funds by CIK or, if the fund does not have a CIK, by name.

b.

Securities Act file number of each feeder fund.

c.

EDGAR series identifier of each feeder fund.

Item 9. Is this series primarily used to fund insurance company separate accounts?

Yes

No

Item 10. Category. Indicate the category that most closely identifies the money market fund from among the
following:
Treasury
Prime
Other Tax Exempt Fund

Government/Agency
Single State Fund

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Item 11. Dollar weighted average portfolio maturity.
Item 12. Dollar weighted average life maturity. Calculate the dollar weighted average portfolio maturity
without reference to the exceptions in rule 2a-7(d) regarding interest rate readjustments.
Item 13. Total value of portfolio securities at amortized cost, to the nearest cent.
Item 14. Total value of other assets, to the nearest cent.
Item 15. Total value of liabilities, to the nearest cent.
Item 16. Net assets of the series, to the nearest cent.
Item 17. 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 per
cent. The 7-day gross yield should not reflect a deduction of shareholders fees and fund operating
expenses.
Item 18. Shadow Price of the Series.
a.

The net asset value per share most recently calculated using available market quotations (or
an appropriate substitute that reflects current market conditions), including the value of any
capital support agreement, to the nearest hundredth of a cent;

b.

The date as of which the market-based net asset value disclosed in Item 18a was calculated;

c.

The net asset value per share most recently calculated using available market quotations (or an
appropriate substitute that reflects current market conditions), excluding the value of any capital
support agreement, to the nearest hundredth of a cent; and

d.

B.

The date as of which the market-based net asset value disclosed in Item 18c was calculated.

Class-Level Information.

For each Class of the Series, disclose the following:
Item 19. EDGAR Class identifier.
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Item 20. Minimum initial investment.
Item 21. Net assets of the Class, to the nearest cent.
Item 22. Net asset value per share for purposes of distributions, redemptions, and repurchase, to the nearest
cent.
Item 23. Net shareholder flow activity for the month ended (subscriptions less redemptions), to the nearest
cent.
a.

Gross subscriptions for the month ended (including dividend reinvestments), to the nearest
cent.

b.

Gross redemptions for the month ended, to the nearest cent.

Item 24. 7-day net yield, as calculated under Item 26(a)(1) of Form N-1A.
Item 25. Shadow Price of each Class.
a.

The net asset value per share most recently calculated using available market quotations (or an
appropriate substitute that reflects current market conditions), including the value of any capital
support agreement, to the nearest hundredth of a cent;

b.

The date as of which the market-based net asset value disclosed in Item 25a was calculated;

c.

The net asset value per share most recently calculated using available market quotations (or an
appropriate substitute that reflects current market conditions), excluding the value of any capital
support agreement, to the nearest hundredth of a cent; and

d.

The date as of which the market-based net asset value disclosed in Item 25c was calculated.

Part 2: Schedule of Portfolio Securities.
For each security held by the money market fund, disclose the following:
Item 26. The name of the issuer.
Item 27. The title of the issue (including coupon or yield).
Item 28. The CUSIP. If the security has a CUSIP, filers must provide the security’s CUSIP pursuant to this Item
Form N-MFP 4

and may skip Items 29 and 30.
Item 29. Other unique identifier, if the security has a unique identifier. If a CUSIP is provided pursuant to Item
28, skip this Item.
Item 30. The CIK of the issuer, if the issuer has a CIK. If a CUSIP is provided pursuant to Item 28, skip this
Item.
Item 31. The category of investment. Indicate the category that most closely identifies the instrument from
among the following:
Treasury Debt
Variable Rate Demand Note
Financial Company Commercial Paper
Other Commercial Paper
Structured Investment Vehicle Note
Treasury Repurchase Agreement
Other Repurchase Agreement
Insurance Company Funding Agreement
Other Instrument
If Other Instrument, include a brief description.

Government Agency Debt
Other Municipal Debt
Asset Backed Commercial Paper
Certificate of Deposit
Other Note
Government Agency Repurchase
Agreement
Investment Company

Item 32. If the security is a repurchase agreement: is the fund treating the acquisition of the repurchase
agreement as the acquisition of the underlying securities (i.e., collateral) for purposes of portfolio
diversification under rule 2a-7?
Yes
No
For repurchase agreements, describe the securities subject to the repurchase agreement, including:
a.

The name of the issuer;

b.

Maturity date;

c.

Coupon or yield;

d.

The category of investments, selected from Item 31 above;

e.

The principal amount, to the nearest cent;

f.

Value of collateral, to the nearest cent.

If multiple securities of an issuer are subject to the repurchase agreement, the securities may be
aggregated, in which case disclose:
(a) the total principal amount and value and (b) the range of maturity dates and interest rates.
Item 33. Rating. Indicate whether the security is a rated First Tier Security, rated Second Tier Security, an
Unrated Security, or no longer an Eligible Security.
Item 34. Name of each Designated NRSRO.
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a.

For each Designated NRSRO, disclose the credit rating given by the Designated NRSRO. If
the instrument and its issuer are not rated by the Designated NRSRO, indicate “NR.”

Item 35. The maturity date as determined under rule 2a-7. Determine the maturity date, taking into account
the maturity shortening provisions of rule 2a-7(d).
Item 36. The final legal maturity date, taking into account any maturity date extensions that may be effected
at the option of the issuer.
Item 37. Does the security have a Demand Feature?

Yes

No

a.

The identity of the Demand Feature issuer.

b.

Designated NRSRO(s) for the Demand Feature or provider of the Demand Feature.

c.

For each Designated NRSRO, disclose the credit rating given by the Designated NRSRO. If there is
no rating given by the Designated NRSRO, indicate “NR.”

Item 38. Does the security have a Guarantee?

Yes

No

a.

The identity of the Guarantor.

b.

Designated NRSRO(s) for the Guarantee or Guarantor.

c.

For each Designated NRSRO, disclose the credit rating given by the Designated NRSRO. If
there is no rating given by the Designated NRSRO, indicate “NR.”

Item 39. Does the security have any enhancements, other than those identified in Items 37 and 38 above, on
which the fund is relying to determine the quality, maturity or liquidity of the security?
Yes
No
a.

The type of enhancement.

b.

The identity of the enhancement provider.

c.

Designated NRSRO(s) for the enhancement or enhancement provider.

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d.

For each Designated NRSRO, disclose the credit rating given by the Designated NRSRO. If
there is no rating given by the Designated NRSRO, indicate “NR.”

Item 40. The total principal amount of the security held by the series, to the nearest cent.

Item 41. The total current amortized cost, to the nearest cent.
Item 42. The percentage of the money market fund’s net assets invested in the security, to the nearest
hundredth of a percent.
Item 43. Explanatory notes. Disclose any other information that may be material to other disclosures
related to the portfolio security.
Item 44. Is this an Illiquid Security as of the date of this report?

Yes

No

Item 45. The value of the security, calculated using available market quotations (or an appropriate
substitute that reflects current market conditions), including the value of any capital support
agreement, to the nearest cent.
Item 46. The value of the security, calculated using available market quotations (or an appropriate
substitute that reflects current market conditions), excluding the value of any capital
support agreement, to the nearest cent.

Form N-MFP 7

FORM N-MFP

U. S. Securities And Exchange Commission
Washington, D.C. 20549

Instructions for Submitting a Form N-MFP Notice
Form N-MFP is to be used by registered open-end management investment companies, or series thereof,
that are regulated as money market funds pursuant to rule 2a-7 under the Investment Company Act of
1940 (“Act”) (17 CFR 270.2a-7) (“money market funds”), to file reports with the Commission pursuant to
rule 30b1-7 under the Act (17 CFR 270.30b1-7). 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 required by section
30(b) of the Act and rule 30b1-7 under
the Act (17 CFR 270.30b1-7). A money
market fund must report information
about the fund and its portfolio holdings
as of the last business day of the
preceding month. The Form N-MFP
must be filed with the Commission
no later than the fifth business day of
each month, but may be filed any time
beginning on the first business day of
the month. Each money market fund,
or series of a money market fund, is
required to file a separate form. If
the money market fund does not have
any classes, the fund must provide the
information required by Part I.B for the
series.
A money market fund may file an
amendment to a previously filed Form
N-MFP at any time, including an
amendment to correct a mistake or
error in a previously filed form. A fund
that files an amendment to a previously
filed form must provide information in
response to all items of Form N-MFP,
regardless of why the amendment is
filed.
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 instructions shall be
controlling.
C. Filing of Form N-MFP
A money market fund must file Form
N-MFP 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.
E. Definitions
References to sections and rules in this
Form N-MFP are to the Investment
Company Act of 1940 [15 U.S.C. 80a]
(the “Investment Company Act”), unless
otherwise indicated. Terms used in this
Form N-MFP have the same meaning
as in the Investment Company Act or
related rules, unless otherwise indicated.

“Class” means a class of shares
issued by a Multiple Class Fund that
represents interests in the same portfolio
of securities under rule 18f-3 [17 CFR
270.18f-3] or under an order exempting
the Multiple Class Fund from sections
18(f), 18(g), and 18(i) [15 U.S.C. 80a18(f), 18(g), and 18(i)].
“Fund” means the Registrant or a
separate Series of the Registrant. When
an item of Form N-MFP specifically
applies to a Registrant or a Series, those
terms will be used.
“Master-Feeder Fund” means a twotiered arrangement in which one or
more Funds (each a “Feeder Fund”)
holds shares of a single Fund (the
“Master Fund”) in accordance with
section 12(d)(1)(E) [15 U.S.C. 80a-12(d)
(1)(E)].
“Money Market Fund” means a Fund
that holds itself out as money market
fund and meets the maturity, quality, and
diversification requirements of rule 2a-7
[17 CFR 270.2a-7].
“Securities Act” means the Securities
Act of 1933 [15 U.S.C. 77a - aa].
“Series” means shares offered by a
Registrant that represent undivided
interests in a portfolio of investments
and that are preferred over all other
series of shares for assets specifically
allocated to that series in accordance
with rule 18f-2(a) [17 CFR 270.18f2(a)].

As used in this Form N-MFP, the terms
set out below have the following
meanings:
Form N-MFP 8