Reportorial Requirements

ISSUERS OF SECURITIES

Document Type Description Due Date
SEC FORM 17-A
Annual Report (AR)
Annual Report Within 105 calendar days from the end of the fiscal year
SEC FORM 17-Q
Quarterly Report (QR)
It contains Interim Financial Statements and Interim Management’s Discussion Within 45 calendar days after the end of the quarter
SEC FORM 17-L Notice of Inability to File AR and QR On or before the required due date of filing the Annual or Quarterly Report
SEC FORM 17-EX* Notice of suspension of filing of reports First day of fiscal year has less than 100 holders of such class of securities or such other numbers as the Commission shall prescribe and it notifies the Commission of such.
SEC FORM 17-C
Current Report
A report containing disclosure to the public of every material fact or event that occurs, this would reasonably be expected to affect investor’s decisions in relation to those securities. Within ten (10) minutes after the occurrence of the event and prior to
its release to the public through the news media.
SEC FORM 20-IS Preliminary Information Statement

At least 10 business days prior to the date the definitive copies shall be
sent/given.

Filing fee (inclusive of 1% LRF): Php7, 575.00

Proxy solicitation (inclusive of 1% LRF): Php5,050.00

SEC FORM 20-ISA Definitive Information Statement At least 15 business days prior to the meeting date
SEC Form GIS General Information Sheet Within 30 calendar days following the date of stockholder’s meeting per bylaws. If no meeting was held on that calendar year, on or before 30th of January of the following year.
Secretary’s Certificate on the Attendance of Board of Directors Certificate of Attendance of Directors in meetings of the Board of Directors On or before the 30th day of January of the following year
Compliance Officer’s
Certification
Certification by the Compliance Officer as to the extent of
company’s compliance with its Manual on Corporate Governance
Monthly Sales and
Redemption Report
It contains the amount and number of shares sold and redeemed, percentage of retail and institutional investors and the average NAV for the particular month. Within 30 days from effectivity of the order declaring effective the registration of the investment company. Then within 10 days after the end of each month.

* Despite the filing of Notification of Suspension of Duty to File Reports Under Sec. 17 of the SRC, the registrant is still required to comply with the Corporate Governance and ICA-IRR reportorial requirements and to file an Audited Financial Statement (AFS) within 120 calendar days’ after the end of the fiscal year or such period as may be prescribed by the Commission through a Memorandum Circular.

REPORTING PERSON (BENEFICIAL OWNERS/DIRECTORS/OFFICERS)

Document Type Description Due Date
SEC FORM 18-A Reports of 5% owner For ordinary buyers – Within 5 business days from the acquisition
SEC FORM 18-AS For qualified buyers – Within 45 calendar days after the end of the fiscal year
SEC FORM 23-A Reports of Directors and Officers and holders of more than 10% Within 10 calendar days after the effective date of registration or after becoming an officer, director or holder of 10%
SEC FORM 23-B Within 10 calendar days after the close of each calendar month thereafter