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Using the Mutual Fund Reorganizations database
Who is this article for?
Users who want to learn about the Mutual Fund Reorganizations database.
No special access or permissions are required.
The Audit Analytics Mutual Fund Reorganizations database tracks mutual fund reorganizations, including acquisitions by affiliated and unaffiliated funds, and mergers, providing detailed information about acquiring and target funds.
1. Understanding the database coverage
The database covers funds that merge into or are reorganized into another fund, whether into a currently operating fund or one created specifically for the transaction. Each record contains detailed information about the acquiring fund and the target fund, such as the adviser and any swap investments. Per SEC requirements, this includes all '40 Act filers.
2. Exploring common uses
The Mutual Fund Reorganizations database supports several key activities:
- Monitor potential client conflicts of interest due to fund reorganizations
- Review mergers and acquisition activity
- Understand the impact of fund reorganizations
- Assemble archival data to create unique analyses
Note: The Mutual Fund Reorganization database is available online and as data feeds [Feed87] with the relevant subscription. Saved Search Alert and Daily Summary Email features are not available for this database.
3. Understanding the collection methodology
This data is sourced from the following form types: 497/497K, N-CSR, N-CSRS, N-CEN, N-8F, N-PORT. Certain financial information is sourced from third-party vendors.
4. Searching the database
The Mutual Fund Reorganization search page offers the following filters:
| Name | Description | Data Dictionary Field(s) | Sort By? |
|---|---|---|---|
| Search by Ticker, CIK Code, or Fund Series Number | Filter results to a specific population | Acquiring Fund Ticker, Acquiring Fund CIK, Acquiring Fund Series Number, Target Fund Ticker, Target Fund CIK, Target Fund Series Number | Yes |
| Search Disclosure Text | Search using text | N/A | No |
| Reorganization Type | Filter by type of reorganization that occurred:
| Reorganization Type | No |
| Party | Filter for specific party | N/A | No |
| Include Inactive Funds | Filter to include inactive funds or not | N/A | No |
| Total Investments | Filter by amount of total investments | Acquiring Fund most recent total investments, Target Fund most recent total investments | Yes |
| Fund Type | Filter by type of fund | Acquiring Fund Type, Target Fund Type | Yes |
| Fund Location | Filter by fund location | N/A | Yes |
| Reorganization Date | Filter by date on which mutual fund reorganization closed | Reorganization Date | Yes |
5. Viewing and exporting results
Results appear at the bottom of the page. The following are accessible through clicking the respective hyperlinks:
- Mutual Fund Reorganizations Data Dictionary download
- CSV file downloads of the results (all fields available in the CSV are defined in the Data Dictionary)
- Overview of acquired fund profile
- Overview of target fund profile