Generating an N-MFP Review Report

Intro

Once you’ve loaded data for a given account period and reviewed the results of all calculations, etc., you can generate output in one or more formats via the “Project” page. If “N-MFP (XML)” is specified as one of the output types, an N-MFP Review Report is also generated by default. This report allows for the review of N-MFP data in a “friendly” Excel format prior to submission of the XML filing to the SEC.

The report is generated whether or not the project output passes the SEC XML schema validation.

Certain functionality in this application area requires you to have one or more . For more information about any given right (i.e., what functionality it governs, etc.), please see the “Available User Rights” topic.
  • “Open Project Page (ArcFiling)”

Tasks

    1. Expand the ArcFiling “N-MFP” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

      3. Click the “Filings Workspace” at lower-left of the screen.
        “Filings Workspace” tab

      4. Click the “N-MFP” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        •

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        •

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    2. Click the “N-MFP Project” item.

      “Project” page
      1. If more than one project is available for the selected account period and fund, use the “Project” drop-down list at upper-left of the page to specify the project you’d like to view.

      2. If more than one language is defined for the selected project’s template, and the “Separate outputs for each language” option is selected for the template, use the “Language” drop-down list at upper-left of the page to specify the language whose captions/content you’d like to view.

        If the project template’s “Multi-Language Behavior” setting is set to “Use translated content from import file”, each non-default language in the drop-down list will display an icon at its right () to denote the ability to import translated content for that language.

    3. Click the “Output Management” tab.

      “Project” page, “Output Management” tab (project output options)

    4. Specify “N-MFP (XML)” as the .

      You may also specify one or more additional output document types, if desired, by selecting the appropriate check box(es).Available document types for output will vary, depending on the settings specified for the project’s template via the “Output Management” tab of the “Project Templates” page.

    5. Click the “Publish” button at left of the tab.

    6. Click the “OK” button.

    7. You can view/save the resulting Excel N-MFP Review Report via the revisions grid in the lower portion of the tab, or via the Output Queue.

    1. Expand the ArcFiling “N-MFP” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

      3. Click the “Filings Workspace” at lower-left of the screen.
        “Filings Workspace” tab

      4. Click the “N-MFP” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        •

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        •

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    2. Expand the ArcReporting “Document Assembly” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcReporting” from the .
        Landing page components list (ArcReporting)

      3. Click the “Reporting Workspace” at lower-left of the screen.
        “Reporting Workspace” tab

      4. Click the “Document Assembly” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        •

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        •

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    3. Click the “N-MFP Project” item.

      “Project” page
      1. If more than one project is available for the selected account period and fund, use the “Project” drop-down list at upper-left of the page to specify the project you’d like to view.

      2. If more than one language is defined for the selected project’s template, and the “Separate outputs for each language” option is selected for the template, use the “Language” drop-down list at upper-left of the page to specify the language whose captions/content you’d like to view.

        If the project template’s “Multi-Language Behavior” setting is set to “Use translated content from import file”, each non-default language in the drop-down list will display an icon at its right () to denote the ability to import translated content for that language.

    4. Click the “Components” to view information about the various components that make up your project (shown in the “Project Content” tree view at left).
      1. (topmost tree view node)

        1. The following project information displays on the tab:

          • Project Name
          • Project Description
          • Project Code
          • Project Instance ID
          • Balance Type
          • Account Period End
          • Account Period Type
          • Complex
          • Output Media
          • Multi-Language Behavior
          • Default Language
          • Fund(s)

          • The status of calculations for the “primary” portfolio statement template designated for the account period and a given fund displays in the “Fund(s)” .
            • If no primary portfolio statement template is designated for a fund, the status displays as “Not Calculated”.
            • If calculations for the primary portfolio statement are not complete, the status displays as “Not Calculated”.
            • If no holdings data have been loaded/imported/manually entered for the fund and account period, the status displays as “No Balance Set”.

          • For projects that have a financial workbook assigned via the “Settings” tab of the “Project Templates” page, the status of calculations for the workbook displays in the “Fund(s)” .
            • If calculations for the workbook are not complete, the status displays as “Not Calculated”.
            • If no balance set exists for the fund and account period, the status displays as “No Balance Set”.

        2. Click the “Unlink All Components” at lower-left of the tab to disconnect all unlinkable components in all chapters and sections of the project from the libraries that normally feed their display.

          • You must be assigned the “Unlink All Components” right to click the button. The button is disabled if you are not assigned the right.

          • Only components of the type(s) corresponding to your assigned specific “Unlink …” right(s) in the “Project Component Unlinking” user right group will be unlinked (e.g., If you only have the “Unlink Financial Tables” right assigned, only financial statements in the project [and in any chapters or sections therein] will be unlinked).

          Once components have been unlinked, they must be linked one-by-one, using the “Link Component” button associated with each. To link any given component, you must be assigned the appropriate component-specific “Link …” right in the “Project Component Linking” user right group.

          • Unlinkable components include portfolio statements, financial statements, tabular data, text snippets of type “Link To Text Library” and charts (except those of type “External Source Data”).
          • If one or more unlinkable components in the project (and components in any chapters or sections therein) has not been previewed, or if output has not been generated for the project, those components will not be unlinked; you must preview each component in the project, or generate output for the entire project prior to unlinking all its components.
          • Data for unlinked components is cached (i.e., not re-calculated upon preview or output generation) and can be manually edited within the “Project” page.
          • If all components contained in all chapters and sections of the project are already unlinked, clicking the button will have no effect.

        1. The following chapter information displays on the tab:

          • Chapter Name
          • Chapter Code
          • Production Team
          • Chapter Behavior
          • Financial Workbook Name (for chapters defined as “All Funds - Combined”, “All Funds - Single” or “All Funds - Repeat”)
          • Fund Name (for chapters defined as “All Funds - Repeat”)
          • Publishing Template

        2. Click the “Unlink Components” at lower-left of the tab to disconnect all unlinkable components in the chapter (and components in any sections therein) from the libraries that normally feed their display.

          • You must be assigned the “Unlink All Components” right to click the button. The button is disabled if you are not assigned the right.

          • Only components of the type(s) corresponding to your assigned specific “Unlink …” right(s) in the “Project Component Unlinking” user right group will be unlinked (e.g., If you only have the “Unlink Financial Tables” right assigned, only financial statements in the chapter [and in any sections therein] will be unlinked.

          Once components have been unlinked, they must be linked one-by-one, using the “Link Component” button associated with each. To link any given component, you must be assigned the appropriate component-specific “Link …” right in the “Project Component Linking” user right group.

          • Unlinkable components include portfolio statements, financial statements, tabular data, text snippets of type “Link To Text Library” and charts (except those of type “External Source Data”).
          • If one or more unlinkable components in the chapter (and components in any sections therein) has not been previewed, or if output has not been generated for the chapter, those components will not be unlinked; you must preview each component in the chapter, or generate output for the chapter (or the entire project) prior to unlinking all its components.
          • Data for unlinked components is cached (i.e., not re-calculated upon preview or output generation) and can be manually edited within the “Project” page.
          • If no components in the chapter are linkable/unlinkable (e.g., images, text snippets, etc.), clicking the button will have no effect.

        1. The following section information displays on the tab:

          • Section Name
          • Section Code
          • Section Behavior
          • Account Period
          • Financial Workbook Name (for sections defined as “All Funds - Combined”, “All Funds - Single” or “All Funds - Repeat”)
          • Fund Name (for sections defined as “All Funds - Repeat”)

        2. Click the “Unlink Components” at lower-left of the tab to disconnect all unlinkable components in the section from the libraries that normally feed their display.

          • You must be assigned the “Unlink All Components” right to click the button. The button is disabled if you are not assigned the right.

          • Only components of the type(s) corresponding to your assigned specific “Unlink …” right(s) in the “Project Component Unlinking” user right group will be unlinked (e.g., If you only have the “Unlink Financial Tables” right assigned, only financial statements in the section will be unlinked.

          Once components have been unlinked, they must be linked one-by-one, using the “Link Component” button associated with each. To link any given component, you must be assigned the appropriate component-specific “Link …” right in the “Project Component Linking” user right group.

          • Unlinkable components include portfolio statements, financial statements, tabular data, text snippets of type “Link To Text Library” and charts (except those of type “External Source Data”).
          • If one or more unlinkable components in the section has not been previewed, or if output has not been generated for the section, those components will not be unlinked; you must preview each component in the section, or generate output for the section (or the containing chapter or entire project) prior to unlinking all its components.
          • Data for unlinked components is cached (i.e., not re-calculated upon preview or output generation) and can be manually edited within the “Project” page.
          • If no components in the section are linkable/unlinkable (e.g., images, text snippets, etc.), clicking the button will have no effect.

        • Any component with imported language content is automatically unlinked.

        • While other component types support post-import editing of translated content, the content of translated text snippets is currently read-only; to make updates to translated text snippet content, you must re-import an updated translation file.

        • For text snippets whose content reflects that of an imported translation file, none of the functions described below are available via the “Components” tab.

        1. The following information displays on the tab:

          • Text Snippet Name
          • Text Snippet Option (i.e., “Link Text To Library”, “Copy From Text Library” or “Ad Hoc”)
        2. Click the “Text Snippet Usage Report” link at upper-right of the tab to view the that report, with the “Complex”, “Text Library Name” and “Account Period” search criteria fields pre-populated accordingly.
        3. For text snippets of type “Link Text To Library”, click the “Edit Snippet in Library” link at upper-right of the tab to open the linked snippet on the “Text Libraries” page.

        4. For text snippets of type “Copy From Text Library” or “Ad Hoc”, edit snippet content directly in the editing pane of the “Project” page.

          Only users that belong to the production team assigned to the selected component (or chapter, if the assignment is “<Use Chapter Assignment>”) can edit the text for the component.

        5. For text snippets of type “Link Text To Library”, click the “Unlink Component” at lower-left of the tab to disconnect the snippet from its source.

          When a text snippet is in an unlinked state it can be edited within the project, without any of the changes affecting the associated snippet in the text library.

          You must be assigned the “Unlink Text Snippets” user right to click the “Unlink Component” button for this component type. The button is disabled if you are not assigned the right.

          You can reestablish the direct relationship of an unlinked snippet in a project to its counterpart in the text library at any time by clicking the “Link Component” button.

          • When you take this action, the content of the snippet in the text library will overwrite any and all manual edits that may have been made to the snippet in the project.
          • You must be assigned the “Link Text Snippets” user right to click the “Link Component” button for this component type. The button is disabled if you are not assigned the right.
        6. Click the “Description” link at upper-right of the tab to view the “Description” value specified for the snippet via the “Text Libraries” page.

        • If a “Portfolio Statement Template” value of “[none]” is specified for a given statement item in the project’s associated template, the item’s caption text displays in red in the project structure pane. When the item is selected, a clickable link displays in the “Components” tab. When clicked, the link takes you directly to the “Project Templates” page, where you can specify a statement template.

        • Any component with imported language content is automatically unlinked.

        If a “Portfolio Statement Template” value of “[none]” is specified for a given statement item in the project’s associated template, the item’s caption text displays in red in the project structure pane. When the item is selected, a clickable link displays in the “Components” tab. When clicked, the link takes you directly to the “Project Templates” page, where you can specify a statement template.

        1. The following information displays on the tab:

        2. Click the “Portfolio Statement Template Usage Report” link at upper-right of the tab to open the “Portfolio Statement Template Usage Report” page.
        3. Click the “Output Settings” link at upper-right of the tab to view/edit output settings for the statement on the “Portfolio Statement Template Output Settings” page.

        4. Review the contents of the statement in the on the tab.
          1. Double-click any security record in the preview pane to view/edit it in the “Holdings” tab grid of the “Fund Holdings” page.

          • The grid displays values associated with the specified balance type for the account period specified in the “Fund Selection” bar.

            • If the statement points to the “Primary Portfolio Statement” for its calculated values, values are pulled for the same balance type as that specified.
            • The specified balance type does not impact calculation sheets; when referencing values in a calculation sheet item from the portfolio statement, the adjusted value type values are pulled.
          • All categories forming part of a given category exception will display in preview and output according to the output settings specified for that category exception.

          • A legend must be mapped to display in statement preview and output.

            • Abbreviations will be displayed in a legend regardless of whether their symbol or text is mapped in one cell or two.
            • Abbreviations will be suppressed from a legend when the abbreviation symbol or text is mapped and is identified as an exclusion.
            • If footnotes and abbreviations are included in a single legend (i.e., an “intermingled legend”), the footnotes and abbreviations will display in the specified “Auto Symbol Order” for the statement template’s legend (either “By Occurrence in Statement” or “Alphabetical by Footnote[/Abbreviation] Text”).

        5. Click the “Unlink Component” at lower-left of the tab to disconnect the statement from its source, and then click the “Edit” button to edit the statement values.

          When a statement is in an unlinked state it can be edited within the project, without any of the changes affecting the associated balance set or application libraries.

          You must be assigned the “Unlink Portfolio Tables” user right to click the “Unlink Component” button for this component type. The button is disabled if you are not assigned the right.

          You can reestablish the direct relationship of an unlinked statement in a project to its associated database libraries at any time by clicking the “Link Component” button.

          • When you take this action, the component’s data values are re-calculated from libraries, and will overwrite any and all manual edits that may have been made to the statement in the project.
          • You must be assigned the “Link Portfolio Tables” user right to click the “Link Component” button for this component type. The button is disabled if you are not assigned the right.

        6. Click the “Unlink Footnote Text” at lower-left of the tab when a footnote-type item is selected in the preview pane to disconnect that footnote’s text from its source, and then click the “Edit” button to edit the text.

          When footnote text is in an unlinked state it can be edited within the project, without any of the changes affecting the associated footnote in the footnote library.

          You must be assigned the “Unlink Footnote Text - Portfolio Statements” user right to click the “Unlink Footnote Text” button for this component type. The button is disabled if you are not assigned the right.

          You can reestablish the direct relationship of unlinked footnote text in a project to its counterpart in the footnote library at any time by clicking the “Link Footnote Text” button.

          • When you take this action, the content of the footnote in the footnote library will overwrite any and all manual edits that may have been made to the footnote in the project.
          • You must be assigned the “Link Footnote Text - Portfolio Statements” user right to click the “Link Footnote Text” button for this component type. The button is disabled if you are not assigned the right.

        7. Click the “Refresh” button at lower-right of the tab to refresh statement preview content to reflect any changes made to either the statement’s associated template or output settings.

          Refreshing the statement content in this manner causes any and all manual adjustments to footing to be reset/cleared.

        • If a “Financial Statement Template” value of “[none]” is specified for a given statement item in the project’s associated template, the item’s caption text displays in red in the project structure pane. When the item is selected, a clickable link displays in the “Components” tab. When clicked, the link takes you directly to the “Project Templates” page, where you can specify a statement template.

        • Any component with imported language content is automatically unlinked.

        1. The following information displays on the tab:

          • Financial Statement
          • Template (click the template name link to open the template on the “Financial Workbook Templates” page)
          • Financial Workbook (click the workbook name link to open the workbook on the “Financial Workbook” page)
        2. Click the “Financial Statement Template Usage Report” link at upper-right of the tab to open the “Financial Statement Template Usage Report” page.
        3. Click the “Output Settings” link at upper-right of the tab to view/edit output settings for the statement on the “Financial Statement Template Output Settings” page.

        4. Review the contents of the statement in the on the tab.
          • The values of financial statement line items are not affected by the specified balance type of the project (when referencing values in a calculation sheet item from the portfolios, the adjusted value type values will be pulled).

          • For spreads, all line items in the statement are displayed in two side-by-side grids, which represent a fund spread (two-facing pages), according to the settings in the “Financial Statement Template Output Settings” page for the specified statement template.

            • Any financial workbook values (i.e., calculation sheet and trial balance items) will be evaluated using the class in context for the statement row or column in which it is displayed.
            • Use the navigation controls beneath the statement grids to view the various page sets of the statement.

        5. Click the “Unlink Component” at lower-left of the tab to disconnect the statement from its source, and then click the “Edit” button to edit the statement values.

          When a statement is in an unlinked state it can be edited within the project, without any of the changes affecting the associated balance set or application libraries.

          You must be assigned the “Unlink Financial Tables” user right to click the “Unlink Component” button for this component type. The button is disabled if you are not assigned the right.

          You can reestablish the direct relationship of an unlinked statement in a project to its associated database libraries at any time by clicking the “Link Component” button.

          • When you take this action, the component’s data values are re-calculated from libraries, and will overwrite any and all manual edits that may have been made to the statement in the project.
          • You must be assigned the “Link Financial Tables” user right to click the “Link Component” button for this component type. The button is disabled if you are not assigned the right.

        6. Click the “Unlink Footnote Text” at lower-left of the tab when a footnote-type item is selected in the preview pane to disconnect that footnote’s text from its source, and then click the “Edit” button to edit the text.

          When footnote text is in an unlinked state it can be edited within the project, without any of the changes affecting the associated footnote in the footnote library.

          You must be assigned the “Unlink Footnote Text - Financial Statements” user right to click the “Unlink Footnote Text” button for this component type. The button is disabled if you are not assigned the right.

          You can reestablish the direct relationship of unlinked footnote text in a project to its counterpart in the footnote library at any time by clicking the “Link Footnote Text” button.

          • When you take this action, the content of the footnote in the footnote library will overwrite any and all manual edits that may have been made to the footnote in the project.
          • You must be assigned the “Link Footnote Text - Financial Statements” user right to click the “Link Footnote Text” button for this component type. The button is disabled if you are not assigned the right.
        7. Click the “Refresh” button at lower-right of the tab to refresh statement preview content to reflect any changes made to either the statement’s associated template or output settings.

      7. If an “Image Library” or “Image Library Item” value of “[none]” is specified for a given image in the project’s associated template, the item’s caption text displays in red in the project structure pane. When the item is selected, a clickable link displays in the “Components” tab. When clicked, the link takes you directly to the “Project Templates” page, where you can specify a statement template.

        1. You can see a associated with the component on the tab.
          • If no image has been uploaded to the database in association with the selected component for the specified account period, nothing will be displayed in the preview pane.

          • If an image has been uploaded to the database in association with the selected component for the specified account period, but it cannot be displayed in the preview pane due to its file type, the text “Image Preview Unavailable” is displayed in the preview pane.

            • The following file types are currently available for preview:

              • JPG
              • JPEG
              • PNG

        • If you add a “Chart” item () to a chapter or section, Arc Suite automatically creates a chart from the data you provide for the associated chart template. Arc Suite returns a JPG preview of the chart on the “Project” page. An EPS image of the chart is also generated and is inserted into project output. Arc Suite supports previewing chart data for portfolio statements, financial statements and tabular data.

        • If a “Chart Template” value of “[none]” is specified for a given chart in the project’s associated template, the item’s caption text displays in red in the project structure pane. When the item is selected, a clickable link displays in the “Components” tab. When clicked, the link takes you directly to the “Project Templates” page, where you can specify a statement template.

        1. The following information displays on the tab:

          • Chart
          • Template (click the template name link to open the template on the “Chart Templates” page)
        2. You can see a preview of the chart associated with the component on the tab.
        3. For charts whose template’s data source type is set to “External Source Data”, click the “button” button at lower-left of the tab to edit the data values.

        4. For charts whose template’s data source type is set to “Financial Statement Template”, “Portfolio Statement Template” or “Tabular Data Template”, click the “Unlink Component” at lower-left of the tab to disconnect the chart from its source, and then click the “Edit” button to edit the data values.

          When a chart is in an unlinked state it can be edited within the project, without any of the changes affecting the formerly associated source template.

          You must be assigned the “Unlink Charts” user right to click the “Unlink Component” button for this component type. The button is disabled if you are not assigned the right.

          You can reestablish the direct relationship of an unlinked chart in a project to its associated source template at any time by clicking the “Link Component” button.

          • When you take this action, the chart’s data values are drawn from the associated source template, and will overwrite any and all manual edits that may have been made to the chart in the project.
          • You must be assigned the “Link Charts” user right to click the “Link Component” button for this component type. The button is disabled if you are not assigned the right.
        5. Click the “Refresh” button at lower-right of the tab to refresh chart preview content to reflect any changes made to the chart’s associated template.

        • If a “Tabular Data Template” value of “[none]” is specified for a given table in the project’s associated template, the item’s caption text displays in red in the project structure pane. When the item is selected, a clickable link displays in the “Components” tab. When clicked, the link takes you directly to the “Project Templates” page, where you can specify a statement template.

        • Any component with imported language content is automatically unlinked.

        If a “Tabular Data Template” value of “[none]” is specified for a given table in the project’s associated template, the item’s caption text displays in red in the project structure pane. When the item is selected, a clickable link displays in the “Components” tab. When clicked, the link takes you directly to the “Project Templates” page, where you can specify a statement template.

        1. The following information displays on the tab:

          • Tabular Data (name of the table)
          • Template (click the template name link to open the template on the “Tabular Data Templates” page)
        2. Click the “Tabular Data Template Usage Report” link at upper-right of the tab to open the “Tabular Data Template Usage Report” page.
        3. Click the “Output Settings” link at upper-right of the tab to view/edit output settings for the table on the “Tabular Data Templates Output Settings” page.
        4. Review the layout and contents of the table in the grid on the tab.

        5. Click the “Unlink Component” at lower-left of the tab to disconnect the table from its source, and then click the “Edit” button to edit the data values.

          When a tabular data table is in an unlinked state it can be edited within the project, without any of the changes affecting the formerly associated source template.

          You must be assigned the “Unlink Tabular Data Tables” user right to click the “Unlink Component” button for this component type. The button is disabled if you are not assigned the right.

          You can reestablish the direct relationship of an unlinked tabular data table in a project to its associated source template at any time by clicking the “Link Component” button.

          • When you take this action, the table’s data values are drawn from the associated source template, and will overwrite any and all manual edits that may have been made to the table in the project.
          • You must be assigned the “Link Tabular Data Tables” user right to click the “Link Component” button for this component type. The button is disabled if you are not assigned the right.
        6. Click the “Refresh” button at lower-right of the tab to refresh tabular data preview content to reflect any changes made to either the table’s associated template or output settings.

        1. The following information displays on the tab:

          • Current Document Version
          • External Document (displays the “Item Name” value specified via the “Document Structure Templates” page)
          • Document (displays the name of the specified external PDF document)
        2. Click the “Browse” button at right of the “Document” field to select a PDF document from your local or network drive to upload to Arc Suite.

        3. Populate the “Table of Contents Description” field with the text that should display in the Table of Contents of the generated project output PDF, if needed.

          The default value in the text box is the “Item Name” value specified via the “Document Structure Templates” page.

        • When you render project output, the most recent version of the PDF uploaded to the project is included.
        • If the “EDGAR (HTML)” output document type is selected for project output and one or more placeholders for external PDF documents are attached to the project, a tag is inserted in the output that causes the SEC XML schema validation to fail. This is an alert that the EDGAR file needs to be updated with additional information.

      11. If a “Shared Legend Template” value of “[none]” is specified for a given legend in the project’s associated template, the item’s caption text displays in red in the project structure pane. When the item is selected, a clickable link displays in the “Components” tab. When clicked, the link takes you directly to the “Project Templates” page, where you can specify a statement template.

        1. The following information displays on the tab:

          • Shared Legend (name of the shared legend)
          • Template (click the template name link to open the template on the “Shared Legend Templates” page)
        2. Click the “Output Settings” link at upper-right of the tab to view/edit output settings for the legend on the “Shared Legend Template Output Settings” page.

        3. Review the contents of the legend in the on the tab.

          • A legend must be mapped to display in statement preview/output.

            • Abbreviations will be suppressed from a legend when the abbreviation symbol or text is mapped and is identified as an exclusion.
            • If footnotes and abbreviations are included in a single legend (i.e., an “intermingled legend”), the footnotes and abbreviations will display in the specified “Auto Symbol Order” for the shared legend template (either “By Occurrence in Statement” or “Alphabetical by Footnote[/Abbreviation] Text”).

            • During statement preview/output, the system will check that all footnotes have content for the account period being previewed/output and respond according to .
              • If content exists for the period, the footnote will display that content.

              • If no content exists for the period, the text associated with the most recent account period will be rolled forward to the period being previewed/output and will display.

                • The footnote text will always populate/display, unless no content has ever been provided in the footnote library for the footnote.

              • The content of a given footnote associated with the period and language being output will display.

                • If the footnote is also designated as having fund-specific content, the content associated with the first fund in the sequence will display.

                  Only the footnote text is fund-specific; the footnote symbol will display the same for any fund.

        4. Click the “Unlink Footnote Text” at lower-left of the tab when a footnote-type item is selected in the preview pane to disconnect that footnote’s text from its source, and then click the “Edit” button to edit the text.

          When footnote text is in an unlinked state it can be edited within the project, without any of the changes affecting the associated footnote in the footnote library.

          You must be assigned the “Unlink Footnote Text - Shared Legends” user right to click the “Unlink Footnote Text” button for this component type. The button is disabled if you are not assigned the right.

          You can reestablish the direct relationship of unlinked footnote text in a project to its counterpart in the footnote library at any time by clicking the “Link Footnote Text” button.

          • When you take this action, the content of the footnote in the footnote library will overwrite any and all manual edits that may have been made to the footnote in the project.
          • You must be assigned the “Link Footnote Text - Shared Legends” user right to click the “Link Footnote Text” button for this component type. The button is disabled if you are not assigned the right.
        5. Click the “Refresh” button at lower-right of the tab to cause all portfolio statements participating in the shared legend to be regenerated, and to refresh legend preview content to reflect any changes made to either the statement’s associated template or output settings.

    5. Click the “Supporting Schedules” to see a summary of proofs associated with the fund(s) in the project.
      1. Click the “View Proofs” link at upper-right of the tab to view details of the proof(s) via the “Proofing” tab of the “Financial Workbook” page.

    6. Click the “Supporting Documents” to view or edit any supporting documents associated with the project.
      • All supporting documents are associated with a specific account period and project; the documents will not carry forward to future reporting cycles.
      • Supporting documents can be associated with the entire project or with a specific project chapter.

    7. Click the “Production Procedures” to view or edit any production procedures associated with the project.
      • All production procedures are associated with a project’s template (not the project itself); adding documents to a project causes them to be added to all projects based on the template, and the documents will also carry forward to future reporting cycles.
      • Production procedures can be associated with the entire project or with a specific project chapter.
      • Production procedures can also be associated with a specific account period type (i.e., “Annual”, “Semi-Annual”, “Quarterly” or “Monthly”).
    8. Click the “Output Management” tab to generate output in one or more media types and/or to view revisions (previously-generated output) for the project.

    9. Click the “Administration” to view information for the various components that make up your project, as well as the project status.

      1. Click the “Synchronize” button at lower-right of the tab to re-sync a project that is out of sync with its template.

        • Once a project component is modified via the “Project” page, the project is considered “Disconnected” from the project template, and cannot receive any changes made to that template. Clicking the “Synchronize” button will remove any such changes and the project will be refreshed to reflect the settings of its template.
        • If modifications are made to a project template but not pushed out to the project(s) associated with the template, the project(s) will be “Out of Sync”. Clicking the “button” button for a given project will refresh the project to reflect the settings of its template.

      2. Click a in the “Project Content” tree view at left to view information and settings for the component.
        1. (topmost tree view node)

          1. The following project information displays on the tab:

            • Project Name
            • Balance Type

          1. The following chapter information displays on the tab:

            • Chapter Name
            • Chapter Code
            • Chapter Behavior
            • Financial Workbook Name (for chapters defined as “All Funds - Combined”, “All Funds - Single” or “All Funds - Repeat”)
            • Fund Name (for chapters defined as “All Funds - Repeat”)
            • Publishing Template
            • ArcPublishing output capability status and information for the chapter (reflects the state of the “Enable Chapter for Sending” check box and information for the chapter on the “Chapter Detail” sub-tab of the “Project Templates” page)

          1. The following section information displays on the tab:

            • Section Name
            • Section Code
            • Section Behavior
            • Account Period
            • Financial Workbook Name (for sections defined as “All Funds - Combined”, “All Funds - Single” or “All Funds - Repeat”)
            • Fund Name (for sections defined as “All Funds - Repeat”)
            • Page break before section (reflects the state of the “Page break before section” check box on the “Section Detail” sub-tab of the “Project Templates” page)
            • ArcPublishing output information for the section (if the “Enable Chapter for Sending” check box is selected on the “Chapter Detail” sub-tab of the “Project Templates” page)

          1. The following information displays on the tab:

            • Item Name (text snippet name)
            • Output Style Type
            • Text Snippet Option (i.e., “Link Text To Library”, “Copy From Text Library” or “Ad Hoc”); this value can be edited, but doing so “disconnects” the project from its template
            • Text Snippet Library (only if “Text Snippet Option” is specified as “Link Text To Library”or “Copy From Text Library”); this value can be edited, but doing so “disconnects” the project from its template
            • Text Snippet (only if “Text Snippet Option” is specified as “Link Text To Library”or “Copy From Text Library”); this value can be edited, but doing so “disconnects” the project from its template
            • Language (only if “Multi-Language Behavior” is specified as “One Output Containing Multiple Languages”)
            • ArcPublishing output information for the item (if the “Enable Chapter for Sending” check box is selected on the “Chapter Detail” sub-tab of the “Project Templates” page)

          1. The following information displays on the tab:

            • Item Name (portfolio statement name)
            • Output Style Type
            • Portfolio Statement (template name); this value can be edited, but doing so “disconnects” the project from its template
            • Language (only if “Multi-Language Behavior” is specified as “One Output Containing Multiple Languages”)
            • ArcPublishing output information for the item (if the “Enable Chapter for Sending” check box is selected on the “Chapter Detail” sub-tab of the “Project Templates” page)

          1. The following information displays on the tab:

            • Item Name (financial statement name)
            • Output Style Type
            • Financial Statement (template name); this value can be edited, but doing so “disconnects” the project from its template
            • Language (only if “Multi-Language Behavior” is specified as “One Output Containing Multiple Languages”)
            • Funds on left
            • Funds on right
            • Selected fund(s)
            • ArcPublishing output information for the item (if the “Enable Chapter for Sending” check box is selected on the “Chapter Detail” sub-tab of the “Project Templates” page)

          1. The following information displays on the tab:

            • Item Name (image name)
            • Output Style Type
            • Image Library; this value can be edited, but doing so “disconnects” the project from its template
            • Image Library Item; this value can be edited, but doing so “disconnects” the project from its template
            • ArcPublishing output information for the item (if the “Enable Chapter for Sending” check box is selected on the “Chapter Detail” sub-tab of the “Project Templates” page)

          1. The following information displays on the tab:

            • Item Name (chart name)
            • Output Style Type
            • Chart Template; this value can be edited, but doing so “disconnects” the project from its template
            • ArcPublishing output information for the item (if the “Enable Chapter for Sending” check box is selected on the “Chapter Detail” sub-tab of the “Project Templates” page)

          1. The following information displays on the tab:

            • Item Name (table name)
            • Output Style Type
            • Tabular Data (template name); this value can be edited, but doing so “disconnects” the project from its template
            • ArcPublishing output information for the item (if the “Enable Chapter for Sending” check box is selected on the “Chapter Detail” sub-tab of the “Project Templates” page)

          1. The following information displays on the tab:

            • Item Name (external document name)
            • Table of Contents Description
            • ArcPublishing output information for the item (if the “Enable Chapter for Sending” check box is selected on the “Chapter Detail” sub-tab of the “Project Templates” page)

          1. The following information displays on the tab:

            • Item Name (legend name)
            • Output Style Type
            • Shared Legend Template; this value can be edited, but doing so “disconnects” the project from its template
            • Associated Statements
            • ArcPublishing output information for the item (if the “Enable Chapter for Sending” check box is selected on the “Chapter Detail” sub-tab of the “Project Templates” page)

    1. Expand the ArcFiling “N-MFP” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

      3. Click the “Filings Workspace” at lower-left of the screen.
        “Filings Workspace” tab

      4. Click the “N-MFP” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        •

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        •

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    2. Expand the ArcReporting “Document Assembly” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcReporting” from the .
        Landing page components list (ArcReporting)

      3. Click the “Reporting Workspace” at lower-left of the screen.
        “Reporting Workspace” tab

      4. Click the “Document Assembly” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        •

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        •

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    3. Click the “N-MFP Project” item.

      “Project” page
      1. If more than one project is available for the selected account period and fund, use the “Project” drop-down list at upper-left of the page to specify the project you’d like to view.

      2. If more than one language is defined for the selected project’s template, and the “Separate outputs for each language” option is selected for the template, use the “Language” drop-down list at upper-left of the page to specify the language whose captions/content you’d like to view.

        If the project template’s “Multi-Language Behavior” setting is set to “Use translated content from import file”, each non-default language in the drop-down list will display an icon at its right () to denote the ability to import translated content for that language.

    4. Select the “Statement” (topmost) node in the tree structure at left of the page (or the specific chapter or section for which you wish to generate output).

    5. Click the “Output Management” tab.

      “Output Management” tab (project node selected)

    6. If the project’s template allows for the use of predefined renditions to produce output, you may specify the desired rendition in the “Output Rendition” .
      • Available selections include all renditions designated as “active” in association with the assigned style sheet, via the Renditions library.
      • All other controls on the tab will be disabled when an “Output Rendition” is specified, and the output options and other settings defined in the rendition will be used for output.
      • If the specified rendition selection represents an “Output Document Type” of “EDGAR (HTML)”, “Source” and “Revision cycle” controls display beneath the “Output Rendition” drop-down list.
      • If the specified rendition selection represents any “Output Blackline Type”, “From revision” and “To revision” controls display beneath the “Output Rendition” drop-down list.

    7. If you’re not using a predefined rendition for output, sSpecify the “Output Document Type(s)” you wish to generate by selecting the appropriate .
      • Available document types for output will vary, depending on the settings specified for the project’s template via the “Output Management” tab of the “Project Templates” page.
      • If “N-MFP (XML)” is specified as one of the output types, an N-MFP Review Report is also generated by default. This report allows for the review of N-MFP data in a “friendly” Excel format prior to submission of the XML filing to the SEC, and can be viewed/saved via the revisions grid in the lower portion of the tab, or via the Output Queue.
      • If “EDGAR (HTML)” is specified as the output type, “Source” and “Revision cycle” controls display and all other options on the tab are disabled except the “Publish” button.

      You can use the “Select all” or “Clear all” links to quickly select/clear the check boxes.

    8. If you’re not using a predefined rendition for output, and if your project’s template allows for PDF document output, you may specify one or more in the corresponding sections of the tab.

      1. For project-level output, you may select the “PDF to PDF Compare” and designate revision versions to compare. This type of comparison will highlight changes to the entire document, including the movement of content from one place to another, and differences in header or footer text.
        “PDF to PDF Compare” option for project-level PDF document output
        • This option is only available for project-level PDF document output.
        • The “From revision” drop-down list value defaults to the highest “Revision” value currently displayed in the revision grid for the current project.
        • The “To revision” drop-down list value defaults to the lowest “Revision” value currently displayed in the revision grid for the current project.
        • In order for any two revision versions to be compared and blacklined, PDF output must have been previously generated for each.

      2. You may specify any “Output Blackline Types” you wish to generate by selecting the appropriate and designating the revision versions to compare. Output blacklining deals only with differences in document values (e.g., information involved in SEC audits); not with changes that may exist in document headers and footers, etc..
        “Output Blackline Types” for PDF document output
        • The “From revision” drop-down list value defaults to the highest “Revision” value currently displayed in the revision grid for the current project (or for the selected chapter/section in the current project).

        • The “To revision” drop-down list value defaults to the lowest “Revision” value currently displayed in the revision grid for the current project (or for the selected chapter/section in the current project).

          • By selecting the “Other” option button, you can opt to blackline against any revision in any project associated with the complex of the current project, for a specified account period.
        • In order for any two revision versions to be compared and blacklined, PDF output must have been previously generated for each.

        You can use the “Select all” or “Clear all” links to quickly select/clear the check boxes.

    9. If you’re not using a predefined rendition for output, and if your project’s template allows for at least one type of document output (any), you may produce via the corresponding section of the tab.
      “Output Validation Reports” (project node selected)
      1. You may select the “Missing Output Settings Report (Excel)” check box to generate a report that lists line items in the current project’s financial and/or portfolio statements for which no output settings are specified.

      2. You may select the “Project Output Validation Report (Excel)” check box to generate a report that lists line items of type “Total” and “TotalCalcSheetSection” in the current project’s financial and/or portfolio statements whose respective output values do not equal the system’s corresponding calculated values.

        1. For financial statements using custom “Project Output Validation Report Settings”, the report also lists lines specified as a “Statement total to check”. The values compared in this case are those of the designated “Statement total to check” line and the calculated result of its corresponding “Statement items to sum” lines.

          • If a given “Project Output Validation Report Settings” section is blank, it is ignored.
          • If a given “Project Output Validation Report Settings” section has a “Statement total to check” specified, but no “Statement items to sum” values, it is not ignored; the report logic can’t find items to sum, an error is displayed in the report.
          • If a “Project Output Validation Report Settings” section has “Statement items to sum” values, but no “Statement total to check” specified, it is ignored.
      • Validation reports are only available for project-level output.
      • All report requests will only return to the Output Queue; the requests will not be stored as part of the project on the “Output Management” tab.
      • You may generate an output validation report whether or not any “Output Document Types” check boxes are selected.

    10. If you’re not using a predefined rendition for output, and if your project’s template allows for PDF and/or Word document output, you may specify one or more in the corresponding section of the tab.
      “Output Options” for PDF and/or Word document output
      1. For PDF document output, you may select the “Include Bannerline” check box in order to display bannerline information in the resulting output document(s).
      2. For PDF document output, you may select the “Hide Bleeds” check box in order to produce an output document that does not contain visible bleeds.

      3. For PDF and/or Word document output, you may select the “Highlight Variable Data Points” check box in order to display variable data points in a red font color in the resulting output document(s).

        A variable data point is content that is added to a project component by either of the following means:

        • This feature does not currently support variable data points within tabular data templates.
        • This feature will only highlight variable data point text in red if the associated output template has been configured to do so. It is advised that you speak to your local DFIN representative to ensure these updates have been made prior to attempting to use the functionality.

      4. For PDF and/or Word document output, you may select the “Generate Translation XML (simple)” check box in order to generate an XML file (in addition to the PDF and/or Word output) that can be downloaded via the revision grid and be used for content translation purposes. Once the resulting file has been edited, you can re-imported it via the “Administration” tab for a given language.

        For information on how to import translated content, see the “Generating an N-MFP Review Report” task.

    11. Click the “Publish” button at left of the tab.

    12. Click the “OK” button.

    You can also generate a single chapter or section (or multiple chapters/sections) within a project to PDF or Word format by right-clicking a chapter or section in the tree view and selecting the “Generate Output for Chapter(s)” or “Generate Output for Section(s)” option, respectively, from the context menu that displays.

    • All multi-chapter/multi-section document print requests will return to the “Output Queue” and will be stored in association with the project on the “Output Management” tab with an “Output Type” of either “PDF (Multi-Chapter)”, “Word (Multi-Chapter)”, “PDF (Multi-Section)” or “Word (Multi-Section)”, dependent on the “Output Document Type” specified.
    • All single-chapter/section document print requests will return to the “Output Queue” and will be stored in association with that specific chapter on the “Output Management” tab with an “Output Type” of either “PDF” or “Word”, dependent on the “Output Document Type” specified.

    1. Expand the ArcFiling “N-MFP” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

      3. Click the “Filings Workspace” at lower-left of the screen.
        “Filings Workspace” tab

      4. Click the “N-MFP” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        •

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        •

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    2. Expand the ArcReporting “Document Assembly” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcReporting” from the .
        Landing page components list (ArcReporting)

      3. Click the “Reporting Workspace” at lower-left of the screen.
        “Reporting Workspace” tab

      4. Click the “Document Assembly” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        •

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        •

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    3. Click the “N-MFP Project” item.

      “Project” page
      1. If more than one project is available for the selected account period and fund, use the “Project” drop-down list at upper-left of the page to specify the project you’d like to view.

      2. If more than one language is defined for the selected project’s template, and the “Separate outputs for each language” option is selected for the template, use the “Language” drop-down list at upper-left of the page to specify the language whose captions/content you’d like to view.

        If the project template’s “Multi-Language Behavior” setting is set to “Use translated content from import file”, each non-default language in the drop-down list will display an icon at its right () to denote the ability to import translated content for that language.

    4. Click the item in the tree structure at left (i.e., the project node or a chapter or section node) whose revision(s) you wish to view.

    5. Click the “Output Management” to view the output revision(s) for the selected tree view node.
      “Project” page, “Output Management” revisions grid

      1. Click the “View/Save output file” at left of the document you wish to view or save to do so.
        “File Download” dialogue (Revision file)
        1. Click “Open” to view the document with your computer’s registered application for the file type.
        2. Click “Save” to save the document to a local or network drive, for viewing by you or others at a later time.
      2. For documents of output type “N-MFP (XML)”, click the “View message” button/image at right of the row to view the message returned following submission.

      3. If the “Generate Translation XML (simple)” output option was selected for a given document of type “PDF” or “Word”, you can click the “View/Save TranslationXML” at right of the row to view or save that output.
        “File Download” dialogue (Translation XML file)
        1. Click “Open” to view the document with your computer’s registered application for the file type.
        2. Click “Save” to save the document to a local or network drive, for viewing by you or others at a later time.

      4. To delete any given output revision, select the row in the grid that represents it, and then click the “Remove item from grid” at lower-left of the grid.
        • The button is only enabled when a row is selected (highlighted) in the revision grid that has not been protected from deletion, either by means of the “Prevent revision deletion” button, the “Flag revision as final” button, or by means of its rendition definition (as applicable).
        • Output revisions of type “N-MFP (XML)” that have been successfully filed with the SEC and/or the ICI cannot be deleted.
        • Output revisions that have been designated as either the “From revision” or “To revision” for blackline cannot be deleted.

      5. To add a comment in association with any given output revision, select the row in the grid that represents it, and then click the “Edit selected record” at lower-left of the grid.

        If the project’s template has a “Default Language” specified (i.e., it is not set to “[none]”), revisions generated in a language other than the baseline (default) language will display that language name in the “Comments” column of the grid.
        “Revision Comments” dialogue
        1. Enter your comment in the “New Comments” field.

        2. Click the “Accept” button at lower-right of the dialogue.

      6. To prevent manual or automated deletion of any given output revision, select the row in the grid that represents it, and then click the “Prevent revision deletion” at lower-left of the grid.

        Use the button to toggle the deletion protection on or off for any given revision in the grid.

        The button is only enabled when a row is selected (highlighted) in the revision grid that has not been flagged as the final revision.

      7. To specify that a given output revision be the final revision for the current project, select the row in the grid that represents it, and then click the “Flag revision as final” at lower-left of the grid.

        Use the button to toggle the final revision status on or off for the selected revision in the grid.

        • The button is only displayed when the project (topmost) node of the tree view is selected (i.e., this functionality does not apply to chapter- or section-level revisions).
        • The button is only enabled when a row representing output of document type “PDF” is selected (highlighted) in the revision grid.
        • Setting an output revision of type “EDGAR (HTML)” as final causes it to be included in the EDGAR filing.
        • Setting an output revision as final also automatically prevents it from being deleted.

        • If any other row in the grid had previously been flagged as the final revision, that designation is removed from that row as it is applied to the current row (i.e., only one revision may be flagged as the final revision).

    1. To view project output or a report returned from the document processing service, or the status of filings submitted to the SEC, open the Output Queue by clicking the “Output Queue” button at far upper-right of the screen.

      “Output Queue” pane

    2. Filter the list of items in the queue, if desired, through use of the “Show previous” and/or “Status” .

      1. Show previous: Allows requests to be filtered according to those submitted within a specified time period.

        • 24 hours (default selection)
        • Week
        • Month
        • 6 Months
        • Year

      2. Status: Filters requests according to their processing status.

        • <All> (default selection)
        • Requested
        • Success
        • Failed
        • Success with warnings

    3. Click the “View Output” at right of the document you wish to view to open or save it.
      “File Download” dialogue (output file)
      1. Click “Open” to view the document with your computer’s registered application for the file type.
      2. Click “Save” to save the document to a local or network drive, for viewing by you or others at a later time.

    4. Click the “View Message” at right of the document whose output message you wish to view.
      “Message” dialogue
      1. You can select the text of the message by striking “Ctrl + a” on your keyboard, and then copy it to your Windows keyboard by striking “Ctrl + c”.
      2. Click the “Cancel” button at lower-right of the dialogue to close it.

    5. Click the “Save Output” at right of a document if you simply wish to save it.
      “Save Output Queue” dialogue
      1. Click the “Accept” button at lower-right of the dialogue once the document has downloaded in order to save it to a local or network drive, for viewing by you or others at a later time.
      2. Click the “Cancel” button at lower-right of the dialogue to close it without saving the document.

    1. Expand the ArcFiling “File” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

      3. Click the “Filings Workspace” at lower-left of the screen.
        “Filings Workspace” tab
      4. Click the “File” menu.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    2. Click the “Filing Manager” item.

      “Filing Manager” page

    3. Set for the filing(s) to be submitted/distributed.
      1. Specify the type of data via the “Filing Type” drop-down list.

      2. Use the “Project” drop-down list to indicate the project in which the filing data was created/managed.

      3. Set the revision number of the data using the “Revision” drop-down list.

      4. Specify the legal entity associated with the complex for the selected project via the “Legal Entity” drop-down list.

    4. Select the check box next to each fund whose data you would like to process.

      You can use the “Select all” or “Clear all” links to quickly select/clear the check boxes.

    5. Click the “Submit” at lower-right of the tab to initiate the filing submission process.
      “Submit Filing” dialogue (“SEC” recipient selection)

      1. Specify the .

        1. “SEC” (default)

          1. You can flag the selected filing(s) as an amendment to a previous filing by selecting the “Amendment” check box option.
          2. Enter your CIK Confirmation Code in the “CCC” text box.

        2. “ICI”

          • The “ICI” option is only available after a (“Live” or “Test”) with the SEC.
            “Filing Manager” page, “Funds” tab (successful filing indication)

          • Selecting as the “Recipient” will cause all other (SEC-specific) elements on the dialogue to be disabled.
            “Submit Filing” dialogue (“ICI” recipient selection)

      2. Indicate the of the filing(s).

        1. “Test” (default)

          1. Selecting this option will mark the filing as “test” for the SEC’s purposes.

        2. “Live”

          1. Selecting this option will mark the filing as “live” for the SEC’s purposes.

        The “Filing Mode” value is specified via the “NMFPFilingMode” setting on the “System” page. The filing mode determines the available submissions options and results, as detailed below:

        • When the filing mode is “Simulation”, the submitted filing(s) will be sent to the SEC Simulator, either as a “Test” or “Live” submission type, as specified by you.
        • When the filing mode is “SEC - Test”, the submitted filing(s) will be sent to the SEC as a “Test” submission type (the “Live” option is disabled in this case).
        • When the filing mode is “SEC - Live”, the submitted filing(s) will be sent to the SEC, either as a “Test” or “Live” submission type, as specified by you.

      3. Click the “Accept” at lower-right of the dialogue.
        • If you selected “SEC” as the “Recipient”, you can see the results of the submission of each selected fund by clicking the “Output Queue” button at upper-right of the Arc Suite interface.

        • If you selected “ICI” as the “Recipient”, the filing is submitted directly to the ICI, where it will be immediately processed by ICI internal applications. You will not be able to access submissions made to the ICI.

          • The file(s) will be in the SEC-specified XML format, using a standard ICI naming convention, as outlined below:

            Initial Submission: “N_CIK_SeriesID_MM_YYYYI.xml”

            Amended Submission: “N_CIK_SeriesID_MM_YYYYA.xml”

            Where:

            • “N” is always present as the leading character of every file name
            • “CIK” is the SEC CIK.
            • “SeriesID” is the SEC Series identifier.
            • “MM” is the numeric expression of the month and year that defines the time period covered by the XML data contained in the file. It is not the month and year during which the file was submitted.
            • “YYYY” is the four-digit year that defines, along with the month, the time period covered by the XML data contained in the file.
            • “I” or “A” is a one-character tag that identifies the type of submitted data. The letter “I” is the default and stands for Initial submission, “A” indicates the submission is being Amended.
          • The file(s) will be transmitted to the ICI using SFTP, at sftp.ici.org. Log-in credentials for this location will be managed within ArcFiling by the Arc Suite team.
          • The “CCC” value will be stripped out of the XML prior to transmission (i.e., <ccc>12345678</ccc> will be replaced with <ccc>XXXXXXXX</ccc>). This will not have an effect on stored XML previously filed with the SEC.

    You can sort, group and filter information in a grid through in order to find what you’re looking for more easily.
    (sample grid)

    1. Filtering: You can filter the items presented in a grid by using the “Filter” at the top of any column.
      1. To remove any particular column filter, click the “Filter” button at the top of that column, and then click the “Clear Filter” button on the filter criteria dialogue that displays.

      2. To remove all column filters for the grid at once, click the “Clear all filters” button at upper-left of the grid.

        The “Clear all filters” button is not available on all Arc Suite grids.

        • The “Clear all filters” button is not available on all Arc Suite grids.
        • Column filtering only affects the rows that have been loaded in the grid. If grid pagination functionality is enabled for the “Holdings” tab of the “Fund Holdings” page (via the “FundHoldingsGridPagination” system setting), be sure all available rows have been loaded if you expect column filtering to affect all securities in the data set.
    2. Sorting: You can sort items in a grid by clicking any column header. Once sorted, the column header will change color and indicate whether the list is sorted in ascending or descending order.

    3. Grouping: In some grids, the items can be grouped in the display by selecting a column header, and then dragging it into the of a grid.
      1. To expand or collapse a grouping, click the buttons, respectively, at left of the grouping row in the grid.

      2. To remove a grouping, hover your cursor over the grouping box, and then click the “Remove” that displays on its right.
        Application grid grouping removal
    4. Grid Splitting: Grids feature a vertical splitter bar, which you can grab and move over the line dividing any two columns. As you scroll horizontally to see more columns of data, the columns to the left of the splitter bar are “frozen” in view.

    5. Pagination: Some grids feature a “Rows Per Page” spinner control at lower-left, which you can use to specify the maximum number of records/rows to display in the grid at once. If the number of records in the database meeting the specified criteria exceeds the specified “Rows Per Page” value, a set of navigation controls at lower-right of the grid is enabled to allow access to the records in successive grid “pages”.

      If grid pagination functionality is enabled for the “Holdings” tab of the “Fund Holdings” page (via the “FundHoldingsGridPagination” system setting), the value specified for the associated “FundHoldingsGridPageSize” setting will determine the upper limit of the “Rows Per Page” spinner control, as well as how many rows are loaded at once to the grid.

    1. Expand the ArcFiling “File” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

      3. Click the “Filings Workspace” at lower-left of the screen.
        “Filings Workspace” tab
      4. Click the “File” menu.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    2. Click the “Filing Manager” item.

      “Filing Manager” page
    3. Click the “History”
      “Filing Manager” page, “History” tab

    4. Review the of each fund’s filing(s), as required.

      Status values you may see displayed are as follows:

      • “Failed” - Displayed when the attempt to submit the fund as part of the batch via the “Filing Manger” page returned a filing failure indication from the SEC.
      • “Filed Successfully” - Displayed when XML for the fund was submitted as part of the batch via the “Filing Manager” page and a filing success indication was returned from the SEC.

    You can sort, group and filter information in a grid through in order to find what you’re looking for more easily.
    (sample grid)

    1. Filtering: You can filter the items presented in a grid by using the “Filter” at the top of any column.
      1. To remove any particular column filter, click the “Filter” button at the top of that column, and then click the “Clear Filter” button on the filter criteria dialogue that displays.

      2. To remove all column filters for the grid at once, click the “Clear all filters” button at upper-left of the grid.

        The “Clear all filters” button is not available on all Arc Suite grids.

        • The “Clear all filters” button is not available on all Arc Suite grids.
        • Column filtering only affects the rows that have been loaded in the grid. If grid pagination functionality is enabled for the “Holdings” tab of the “Fund Holdings” page (via the “FundHoldingsGridPagination” system setting), be sure all available rows have been loaded if you expect column filtering to affect all securities in the data set.
    2. Sorting: You can sort items in a grid by clicking any column header. Once sorted, the column header will change color and indicate whether the list is sorted in ascending or descending order.

    3. Grouping: In some grids, the items can be grouped in the display by selecting a column header, and then dragging it into the of a grid.
      1. To expand or collapse a grouping, click the buttons, respectively, at left of the grouping row in the grid.

      2. To remove a grouping, hover your cursor over the grouping box, and then click the “Remove” that displays on its right.
        Application grid grouping removal
    4. Grid Splitting: Grids feature a vertical splitter bar, which you can grab and move over the line dividing any two columns. As you scroll horizontally to see more columns of data, the columns to the left of the splitter bar are “frozen” in view.

    5. Pagination: Some grids feature a “Rows Per Page” spinner control at lower-left, which you can use to specify the maximum number of records/rows to display in the grid at once. If the number of records in the database meeting the specified criteria exceeds the specified “Rows Per Page” value, a set of navigation controls at lower-right of the grid is enabled to allow access to the records in successive grid “pages”.

      If grid pagination functionality is enabled for the “Holdings” tab of the “Fund Holdings” page (via the “FundHoldingsGridPagination” system setting), the value specified for the associated “FundHoldingsGridPageSize” setting will determine the upper limit of the “Rows Per Page” spinner control, as well as how many rows are loaded at once to the grid.

Report Details

The N-MFP Review Report provides an easy to read view of the N-MFP filing from an item number, data element and value perspective. Details of each worksheet in the Excel output file are outlined below.

Sheet1

Displays the General Information (Item 1 - Item 8 and Signature Information), Part A: Fund/Class Setup (Item A.1 - Item A.10), Fund Information (Item A.11 - Item A.20), and Class Information (Item B.1 - B.8) for the filing.

Sheet2

Displays information in the filing from the “Fund Holdings” page (Item C.1 - C.24).

Sheet3

Displays information in the filing from “Repo Holdings Collateral” page (Item C.8)

Sheet4

Provides an item-level comparison between data in the current reporting period and the prior reporting period. Information on the worksheet illustrates qualitative and quantitative differences.

Comparative logic overview

  •
    • The “Same?” column displays a green Yes or a red No when comparing current and prior periods, indicative of whether the value is or is not the same across periods.

  •

    • The value in the “Difference” column displays a numeric value, to 4 decimals.

      • Calculation: “Current Account Period” value minus “Prior Account Period” value.

    • The value in the “Percentage” column displays as “x.xx%”.

      • Calculation: “Difference” value divided by “Prior Account Period” value.

  •

    • Total Number of Fund Holdings

      • Calculation: Total number of securities in <scheduleofportfoliosecurityinfo> elements.

    • Total Number of Fund Holdings Categorized as Repurchase Agreements

      • Calculation: The number of securities in which <investmentCategory> (Item C.6) contains the text “Repurchase Agreement”.

    • Total Number of Collateral Items for All Repurchase Agreements

      • Calculation: Total number of securities within all <RepurchaseAgreement> elements.

    • Total Value of Fund Holdings Categorized as Repurchase Agreements

      • Calculation: For all securities in which <investmentCategory> (Item C.6) contains the text “Repurchase Agreement”, sum of <totalValueOfFundPosition>.

    • Total Value of Collateral Items for All Repurchase Agreements

      • Calculation: Sum of <valueOfCollateralToTheNearestCent> for all securities in <RepurchaseAgreement> elements.

    • Total Value of All Collateral as a Percentage of All Repurchase Agreements

      • Calculation: Sum <repurchaseAgreement:valueOfCollateralToTheNearestCent> of every security; divided by the sum of <scheduleOfPortfolioSecuritiesInfo:totalValueOfFundPosition> for every security in which <investmentCategory> (Item C.6) contains the text “Repurchase Agreement”. Displayed as “x.xx%”.

    • Total Number of Fund Holdings with a Demand Feature

      • Calculation: Count the number of securities in which <scheduleOfPortfolioSecuritiesInfo:securityDemandFeatureFlag> equals “Y”.

    • Total Number of Fund Holdings with a Guarantor

      • Calculation: Count the number of securities in which <scheduleOfPortfolioSecuritiesInfo:securityGuaranteeFlag> equals “Y”.

    • Total Number of Fund Holdings with an Enhancement

      • Calculation: Count the number of securities in which <scheduleOfPortfolioSecuritiesInfo:securityEnhancementsFlag> equals “Y”.

  •

    • Is the WAM less than or equal to 60 days?

      • Calculation: For every security, if <averagePortfolioMaturity> is less than or equal to “60”, then “Yes”, else “No”.

    • Is the WAL less than or equal to 120 days?

      • Calculation: For every security, if <averageLifeMaturity> is less than or equal to “120”, then “Yes”, else “No”.

    • Are the net assets of the Series (Item A.16) equal to the sum of all class net asset (Item B.3)?

      • Calculation: If <netAssetOfSeries> equals the sum of all <netAssetsOfClass>, then “Yes”, else “No”.

    • Are the shares outstanding of the Series (Item A.17) equal to the sum of all class shares outstanding (Item B.4)?

      • Calculation: If <numberOfSharesOutstanding> equals the sum of all <classLevelInfo:numberOfSharesOutstanding>, then “Yes”, else “No”.
    • For the fund, for all weeks and all classes: Are all the Net Asset Values between 0.9950 and 1.0050?
      • Calculation: If all <netAssetPerShare:fridayWeek1>, <netAssetPerShare:fridayWeek2>, <netAssetPerShare:fridayWeek3>, <netAssetPerShare:fridayWeek4> and <netAssetPerShare:fridayWeek5> is between “0.9950” and “1.0050”, then “Yes”, else “No”. If <netAssetPerShare:fridayWeek5> is null or zero, do not include in logic.

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    • Are all maturity dates for Item C.11 (WAM) greater than the current account period date?

      • Calculation: For all securities, if <InvestmentMaturityDateWAM> is greater than the current period date, then “Yes”, else “No”. If “No”, display <CUSIPMember> for those securities.

    • Are all maturity dates for Item C.12 (WAL) greater than the current account period date?

      • Calculation: For all securities, if <InvestmentMaturityDateWAL> is greater than the current period date, then “Yes”, else “No”. If “No”, display <CUSIPMember> for those securities.

    • Are all final legal maturity dates for Item C.13 less than 365 days past the current account period date?

      • Calculation: For all securities, if <finalLegalInvestmentMaturityDate> is greater than (current period date + 365 days), then “No”, else “Yes”. If “No”, display <CUSIPMember> for those securities.

    • If classified as “Other Instrument”, are Additional Notes provided?

      • Calculation: For all securities, Item C.6, if <investmentCategory> equals “Other Instrument”, confirm <briefDescription> is not empty. If empty then “No”, else “Yes”. If <investmentCategory> does not equal “Other Instrument” for any securities, then “N/A”.

    • If Item C.14 is checked, has a Demand Feature Issuer (C.14.a) been assigned?

      • Calculation: If <securityDemandFeatureFlag> equals “Y”, is <demandFeature:identityOfDemandFeatureIssuer> populated? If populated for all <securityDemandFeatureFlag> equals “Y”, then “Yes”, else “No”. If “No” (i.e., field null or empty) then display <CUSIPMember> for that security(ies). If <securityDemandFeatureFlag> equals “N” for all securities, then “N/A”.

    • If Item C.15 is checked, has a Guarantor (C.15.a) been assigned?

      • Calculation: If <securityGuaranteeFlag> equals “Y”, is <guarantor:identityOfTheGuarantor> populated? If populated for all <securityGuaranteeFlag> equals “Y”, then “Yes”, else “No”. If “No” (i.e., field null or empty) then display <CUSIPMember> for that security(ies). If <securityGuaranteeFlag> equals “N” for all securities, then “N/A”.

    • If Item C.16 is checked, has an Enhancement (C.16.a) been assigned?

      • Calculation: If <securityEnhancementsFlag> equals “Y”, is <enhancementProvider:identityOfTheEnhancementProvider> AND <typeOfEnhancement> populated? If populated for all <securityEnhancementsFlag> equals “Y”, then “Yes”, else “No”. If “No” (i.e., field null or empty) then display <CUSIPMember> for that security(ies). If <securityEnhancementsFlag> equals “N” for all securities, then “N/A”.

    • For all Fund Holdings that are classified as a Repurchase Agreement: Do all Repurchase Agreements have at least one collateral?

      • Calculation: For all instances where <scheduleOfPortfolioSecuritiesInfo:investmentCategory> (Item C.6) contains “Repurchase Agreement”, is there at least one matching <RepurchaseAgreement:otherUniqueId>? If yes for all instances, then “Yes”, else “No”.

    • For all Fund Holdings that are classified as a Repurchase Agreement: Is the total value of its collateral greater than or equal to 102% of its value?

      • Calculation: For all instances where <scheduleOfPortfolioSecuritiesInfo:investmentCategory> (Item C.6) contains “Repurchase Agreement”, aggregate the <repurchaseAgreement:valueOfCollateralToTheNearestCent> (Item C.8.g) of items with the matching <otherUniqueId>, then divide by <scheduleOfPortfolioSecuritiesInfo:totalValueOfFundPosition> (Item C.18). If all results are greater than or equal to “1.020000”, then “Yes”, else “No”.