Form Pf - Reporting Form For Investment Advisers To Private Funds And Certain Commodity Pool Operators And Commodity Trading Advisors Page 22
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64Page 11 of 43
Form PF
Information about the hedge funds you advise
(to be completed by all Form PF filers that advise hedge funds)
Section 1c
Other:
[Not applicable]
24.
Provide the following information regarding your use of trading and clearing mechanisms
during the reporting period.
(Provide good faith estimates of the mode in which instruments were traded and cleared by
the reporting fund, and not the market as a whole. For purposes of this question, a “trade”
includes any transaction, whether entered into on a bilateral basis or through an exchange,
trading facility or other system and whether long or short. With respect to clearing,
transactions for which margin is held in a customer omnibus account at a CCP should be
considered cleared by a CCP. Tri-party repo applies where repo collateral is held at a
custodian (not including a CCP) that acts as a third party agent to both the repo buyer and
the repo seller.)
(The total in each part of this question should add up to 100%. Enter “NA” in each part of
this question for which the reporting fund engaged in no relevant trades.)
%
(a) Estimated % (in terms of value) of securities (other than derivatives) that
were traded by the reporting fund:
On a regulated exchange ...........................................................................
OTC ...........................................................................................................
(b) Estimated % (in terms of trade volumes) of derivatives that were traded by
the reporting fund:
On a regulated exchange or swap execution facility ................................
OTC ..........................................................................................................
(c) Estimated % (in terms of trade volumes) of derivatives that were traded by
the reporting fund and:
Cleared by a CCP .....................................................................................
Bilaterally transacted (i.e., not cleared by a CCP) ...................................
(d) Estimated % (in terms of value) of repo trades that were entered into by the
reporting fund and:
Cleared by a CCP .....................................................................................
Bilaterally transacted (i.e., not cleared by a CCP) ...................................
Constitute a tri-party repo ........................................................................
25.
What percentage of the reporting fund's net asset value relates to transactions
that are not described in any of the categories listed in items (a) through (d) of
Question 24?
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