17 C.F.R. § 210.12-13 Investments other than securities.
Title 17 - Commodity and Securities Exchanges
Title 17: Commodity and Securities Exchanges
PART 210—FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975
Form and Content of Schedules
§ 210.12-13 Investments other than securities.
[For management investment companies only]------------------------------------------------------------------------ Col. A Col. B Col. C------------------------------------------------------------------------Description \1\ Balance held at Value of each item close of at close of period_quantity period 4,6,7 2,3,5------------------------------------------------------------------------\1\ List each major category of investments by descriptive title.\2\ If practicable, indicate the quantity or measure in appropriate units.\3\ Indicate by an appropriate symbol each investment which is non- income producing.\4\ Indicate by an appropriate symbol each investment not readily marketable. The term ``investment not readily marketable'' shall include investments for which there is no independent publicly quoted market and investments which cannot be sold because of restrictions or conditions applicable to the investment or the company.\5\ Indicate by an appropriate symbol each investment subject to option. State in a footnote: (a) The quantity subject to option, (b) nature of option contract, (c) option price, and (d) dates within which options may be exercised.\6\ Column C shall be totaled and shall agree with the correlative amount shown on the related balance sheet.\7\ Sate in a footnote the following amounts based on cost for Federal income tax purposes: (a) Aggregate gross unrealized appreciation for all investments in which there is an excess of value over tax cost, (b) the aggregate gross unrealized depreciation for all investments in which there is an excess of tax cost over value, (c) the net unrealized appreciation or depreciation, and (d) the aggregate cost of investments for Federal income tax purposes.
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