Syndicate Legal Advisory Services provides nationwide legal document preparation services for Registered Investment Advisers (and other institutional investment managers required to file Form 13F) required to prepare Form N-PX under Rule 14Ad-1 of the Securities Exchange Act of 1934. We prepare Form N-PX and related supporting materials based on the proxy voting information, firm details, and specific instructions you provide.
Documents Commonly Prepared
We prepare a full range of documents associated with a Form N-PX filing, including but not limited to:
- Form N-PX: Completion of the form, including the cover page (filer identification, report type such as Institutional Manager Voting Report or Notice Report, and related designations), summary page (included managers, if applicable), and proxy voting information table (issuer name, CUSIP, meeting date, description of matter, shares voted, shares loaned and not recalled, and how shares were voted, and whether votes were for or against management’s recommendation).
- Notice Filings: Preparation of notice report materials indicating that the manager did not exercise voting power on any reportable “say-on-pay” matters, or that it has a disclosed policy of not voting and did not vote, based on your instructions.
- Related Supporting Materials: Organization of exhibits or attachments incorporating client-supplied proxy voting records or other materials referenced in the filing.
- Amendments: Formatting of amended Form N-PX filings, based on the corrected or updated details you provide.
Documents are prepared for use in connection with electronic filings through the SEC’s EDGAR system in the required XML format (subject to the information you provide). Form N-PX is generally required for institutional investment managers that are required to file Form 13F, covering the manager’s proxy voting record for “say-on-pay” matters (votes on executive compensation, the frequency of such votes, and extraordinary transaction executive compensation) over which the manager exercised voting power; filings are due not later than August 31 of each year for the most recent 12-month period ended June 30 (with certain transition rules for initial or final Form 13F filers); a filing is required even if no voting power was exercised (via a notice report); clients remain fully responsible for determining the filing obligation (including the exercise of voting power), the accuracy of the voting record, timely electronic filing via EDGAR, and compliance with all Securities Exchange Act and SEC requirements.
