Form 2455 Form 2455 Form N-Q

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by submitting the information required by this form to the SEC in electronic format online at https://www.edgarfiling.sec.gov.

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

OMB APPROVAL
OMB Number:
3235-0578
March 31, 2019
Expires:
Estimated average burden
hours per response . . . . . . . . . . 10.5

FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number___________________________________________________________________
_____________________________________________________________________________________________________
(Exact name of registrant as specified in charter)
_____________________________________________________________________________________________________
(Address of principal executive offices)
(Zip code)
_____________________________________________________________________________________________________
(Name and address of agent for service)
Registrant’s telephone number, including area code:________________________
Date of fiscal year end:________________
Date of reporting period:_______________
Form N-Q is to be used by management investment companies, other than small business investment
companies registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not
later than 60 days after the close of the first and third fiscal quarters, pursuant to rule 30b1-5 under the Investment
Company Act of 1940 (17 CFR 270.30b1-5). The Commission may use the information provided on Form N-Q
in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-Q, and the Commission will make this
information public. A registrant is not required to respond to the collection of information contained in Form N-Q
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, 450 Fifth Street, NW, Washington,
DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44
U.S.C. § 3507.

GENERAL INSTRUCTIONS
A. Rule as to Use of Form N-Q.
Form N-Q is a combined reporting form that is to be used for reports of registered management investment
companies, other than small business investment companies registered on Form N-5 (§§ 239.24 and 274.5 of this
chapter), under Section 30(b) of the Investment Company Act of 1940 (the “Act”) and Section 13(a) or 15(d) of
the Securities Exchange Act of 1934 (the “Exchange Act”), filed pursuant to Rule 30b1-5 under the Act (17 CFR
270.30b1-5). Registered management investment companies, other than small business investment companies
registered on Form N-5, shall file their complete portfolio holdings on Form N-Q as of the close of the first and
third quarters of each fiscal year. A report on this form shall be filed not later than 60 days after the close of the
first and third quarters of each fiscal year.

SEC2455 (8-05)

Persons who respond to the collection of information contained
in this form are not required to respond unless the form displays
a currently valid OMB control number.

B. Application of General Rules and Regulations.
The General Rules and Regulations under the Act and the Exchange Act contain certain general requirements
that are applicable to reporting on any form under those Acts. 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. Preparation of Report.
1. This Form is not to be used as a blank form to be filled in, but only as a guide in preparing the report in
accordance with Rules 8b-11 (17 CFR 270.8b-11) and 8b-12 (17 CFR 270.8b-12) under the Act and Rules
12b-11 (17 CFR 240.12b-11) and 12b-12 (17 CFR 240.12b-12) under the Exchange Act. The
Commission does not furnish blank copies of this form to be filled in for filing.
2. These general instructions are not to be filed with the report.
3. Attention is directed to Rule 12b-20 under the Exchange Act (17 CFR 240.12b-20), which states: “In
addition to the information expressly required to be included in a statement or report, there shall be added
such further material information, if any, as may be necessary to make the required statements, in the light
of the circumstances under which they are made not misleading.”
D. Incorporation by Reference.
A registrant may incorporate by reference information required by the Form. All incorporation by reference
must comply with the requirements of this Form and the following rules on incorporation by reference: Rule 10(d)
of Regulation S-K under the Securities Act of 1933 (17 CFR 229.10(d)) (general rules on incorporation by
reference, which, among other things, prohibit, unless specifically required by this Form, incorporating by
reference a document that includes incorporation by reference to another document, and limits incorporation to
documents filed within the last 5 years, with certain exceptions); Rule 303 of Regulation S-T (17 CFR 232.303)
(specific requirements for electronically filed documents); Rules 12b-23 and 12b-32 under the Exchange Act (17
CFR 240.12b-23 and 12b-32) (additional rules on incorporation by reference for reports filed pursuant to Sections
13 and 15(d) of the Exchange Act); and Rules 0-4, 8b-23, and 8b-32 under the Act (17 CFR 270.0-4, 270.8b-23,
and 270.8b-32) (additional rules on incorporation by reference for investment companies).
E. Definitions.
Unless the context clearly indicates the contrary, terms used in this Form N-Q have meanings as defined in
the Act and the rules and regulations thereunder. Unless otherwise indicated, all references in the form to statutory
sections or to rules are sections of the Act and the rules and regulations thereunder.
F. Signature and Filing of Report.
1. If the report is filed in paper pursuant to a hardship exemption from electronic filing (see Item 201 et seq.
of Regulation S-T (17 CFR 232.201 et seq.)), eight complete copies of the report shall be filed with the
Commission. At least one complete copy of the report shall be filed with each exchange on which any
class of securities of the registrant is registered. At least one complete copy of the report filed with the
Commission and one such copy filed with each exchange must be manually signed. Copies not manually
signed must bear typed or printed signatures.
2. (a) The report must be signed by the registrant, and on behalf of the registrant by its principal executive
and principal financial officers.
(b) The name of each person who signs the report shall be typed or printed beneath his or her signature.
Any person who occupies more than one of the specified positions shall indicate each capacity in
which he or she signs the report. Attention is directed to Rule 12b-11 under the Exchange Act (17
CFR 240.12b-11) and Rule 8b-11 under the Act (17 CFR 270.8b-11) concerning manual signatures
and signatures pursuant to powers of attorney.

Item 1. Schedule of Investments.
File the schedules as of the close of the reporting period as set forth in
§§ 210.12-12 – 12-14 of Regulation S-X [17 CFR 210.12-12 – 12-14]. The schedules need not be audited.
Item 2. Controls and Procedures.
(a) Disclose the conclusions of the registrant’s principal executive and principal financial officers, or persons
performing similar functions, regarding the effectiveness of the registrant’s disclosure controls and
procedures (as defined in Rule 30a-3(c) under the Act (17 CFR 270.30a-3(c))) as of a date within 90 days
of the filing date of the report that includes the disclosure required by this paragraph, based on the
evaluation of these controls and procedures required by Rule 30a-3(b) under the Act (17 CFR 270.30a
3(b)) and Rule 13a-15(b) or 15d-15(b) under the Exchange Act (17 CFR 240.13a-15(b) or 240.15d
15(b)).
(b) Disclose any change in the registrant’s internal control over financial reporting (as defined in Rule 30a
3(d) under the Act (17 CFR 270.30a-3(d)) that occurred during the registrant’s last fiscal quarter that has
materially affected, or is reasonably likely to materially affect, the registrant’s internal control over
financial reporting.
Item 3. Exhibits.
File as exhibits as part of this Form a separate certification for each principal executive officer and principal
financial officer of the registrant as required by Rule 30a-2(a) under the Act (17 CFR 270.30a-2(a)), exactly as
set forth below:
CERTIFICATIONS
I, [identify the certifying individual], certify that:
1. I have reviewed this report on Form N-Q of [identify registrant];
2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to
state a material fact necessary to make the statements made, in light of the circumstances under which such
statements were made, not misleading with respect to the period covered by this report;
3. Based on my knowledge, the schedules of investments included in this report fairly present in all material
respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed;
4. The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining
disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of
1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment
Company Act of 1940) for the registrant and have:
(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures
to be designed under our supervision, to ensure that material information relating to the registrant,
including its consolidated subsidiaries, is made known to us by others within those entities,
particularly during the period in which this report is being prepared;
(b) Designed such internal control over financial reporting, or caused such internal control over financial
reporting to be designed under our supervision, to provide reasonable assurance regarding the
reliability of financial reporting and the preparation of financial statements for external purposes in
accordance with generally accepted accounting principles;
(c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in
this report our conclusions about the effectiveness of the disclosure controls and procedures, as of
a date within 90 days prior to the filing date of this report, based on such evaluation; and

(d) Disclosed in this report any change in the registrant’s internal control over financial reporting that
occurred during the registrant’s most recent fiscal quarter that has materially affected, or is
reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
5. The registrant’s other certifying officer(s) and I have disclosed to the registrant’s auditors and the audit
committee of the registrant’s board of directors (or persons performing the equivalent functions):
(a) All significant deficiencies and material weaknesses in the design or operation of internal control
over financial reporting which are reasonably likely to adversely affect the registrant’s ability to
record, process, summarize, and report financial information; and
(b) Any fraud, whether or not material, that involves management or other employees who have a
significant role in the registrant’s internal control over financial reporting.

Date: __________________
______________________________
[Signature]
[Title]
SIGNATURES
[See General Instruction F]
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940,
the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant)__________________________________________________________________________________________
By (Signature and Title)*_____________________________________________________________________________
Date_________________________________________________________________________________________________
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940,
this report has been signed below by the following persons on behalf of the registrant and in the capacities and on
the dates indicated.
By (Signature and Title)*_____________________________________________________________________________
Date_________________________________________________________________________________________________
By (Signature and Title)*_____________________________________________________________________________
Date_________________________________________________________________________________________________

*

Print the name and title of each signing officer under his or her signature.