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Form N-Q Tip Sheet

Form N-Q:
• is filed by management investment companies
• before filing the Form N-Q, a company must be registered on Form N-5
• pursuant to rule 30b1-5 under the Investment Company Act of 1940
• is not used by small businesses
• information is used by the SEC in its regulatory, disclosure review, inspection and policymaking
• must contain the same schedules of investments currently required in annual and semi-annual
reports to shareholders.

Use of Form N-Q

Form N-Q is a combined reporting form. It is used for reports of registered management investment
companies, other than small business companies, registered on Form N-5, for filing their complete portfolio
holdings. It is a semi-annual report that shall be filed not later than 60 days after the close of the first and
third quarters of each fiscal year.

Preparation of Report

The SEC does not furnish blank copies of Form N-Q to be filled out for filing. The Form N-Q on is
not to be used as a blank form but only as a guide in preparing the report.

Signatures and Filing of Report

• The Report is mandated to file electronically. If a filer must file in paper under a hardship
exemption from electronic filing, eight complete copies of the report shall be filed with the
• The report must be signed by the registrant, and on behalf of the registrant by its principal
executive and principal financial officers.
• If the signature is represented as a graphic, the name shall be typed beneath it. Any person who
occupies more than one of the specified positions shall indicate each capacity in which he or she
signs the report.

Items to be included

Item 1.Schedule of Investments.

(a) 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 of a date within 90 days of the filing date
of the report.
(b) Disclose any change in the registrant's internal control over financial reporting 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
(a) Certification(s) must be included as EX-99.CERT.
(b) A separate certification must be attached for each principal executive officer and principal
financial officer of the registrant.
(c) The certification(s) must be worded exactly as shown on the SEC's instructions for Form N-

See Rules and Regulations to be followed when preparing the Form N-Q on the SEC's General
Instructions. See also the format for the Cover Page, exact wording for Certifications and Signatures.