Form Pf - Reporting Form For Investment Advisers To Private Funds And Certain Commodity Pool Operators And Commodity Trading Advisors Page 12
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64Page 1 of 43
Form PF
Information about you and your related persons
(to be completed by all Form PF filers)
Section 1a
Section 1a: Information about you and your related persons
Check the box that indicates what you would like to do:
A. If you are not a large hedge fund adviser or large liquidity fund adviser:
Submit your first filing on Form PF
for the period ended:
Submit an annual update
for the period ended:
Amend a previously submitted filing
for the period ended:
Submit a final filing
Request a temporary hardship exemption
B. If you are a large hedge fund adviser or large liquidity fund adviser:
Submit your first filing on Form PF
for the [1st, 2nd, 3rd, 4th] quarter, which ended:
Submit a quarterly update (including fourth quarter updates)
for the [1st, 2nd, 3rd, 4th] quarter, which ended:
Amend a previously submitted filing
for the [1st, 2nd, 3rd, 4th] quarter, which ended:
Transition to annual reporting
Submit a final filing
Request a temporary hardship exemption
Item A. Information about you
1.
(a) Provide your name and the other identifying information requested below.
(This should be your full legal name. If you are a sole proprietor, this will be your last,
first, and middle names. If you are a SID, enter the full legal name of your bank.
Please use the same name that you use in your Form ADV.)
NFA ID
Large trader
Large trader
Legal name
SEC 801-Number
Number, if any
ID, if any
ID suffix, if any
(b) Provide the following information for each of the related persons, if any, with respect to
which you are reporting information on this Form PF:
NFA ID
Large trader
Large trader
Legal name
SEC 801-Number
Number, if any
ID, if any
ID suffix, if any
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