Form Pf - Reporting Form For Investment Advisers To Private Funds And Certain Commodity Pool Operators And Commodity Trading Advisors Page 45
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64Page 34 of 43
Form PF
Information about liquidity funds that you advise
(to be completed by large private fund advisers only)
Section 3
(B) Non-U.S. financial institutions ...................
(C) Other U.S. creditors ...................................
(D) Other non-U.S. creditors ............................
57. (a)
Does the reporting fund have in place one or more committed liquidity facilities?
Yes
No
(b)
If you responded “yes” to Question 57(a), provide the aggregate dollar
amount of commitments under the liquidity facilities ...............................
Item D. Investor information
58. Specify the number of outstanding shares or units of the reporting fund's stock
or similar securities ...............................................................................................
59. Provide the following information regarding investor concentration.
(For purposes of this question, if you know that two or more beneficial owners
of the reporting fund are affiliated with each other, you should treat them as a
single beneficial owner.)
Specify the percentage of the reporting fund's equity that is beneficially
(a)
owned by the beneficial owner having the largest equity interest in the
reporting fund ...............................................................................................
(b)
How many investors beneficially own 5% or more of the reporting fund's
equity?
60. Provide a good faith estimate, as of the data reporting date, of the percentage of
the reporting fund's outstanding equity that was purchased using securities
lending collateral ..................................................................................................
61. Provide the following information regarding the restrictions on withdrawals and
redemptions by investors in the reporting fund.
(For Questions 61 and 62, please note that the standards for imposing suspensions and
restrictions on withdrawals/redemptions may vary among funds. Make a good faith
determination of the provisions that would likely be triggered during conditions that you
view as significant market stress.)
As of the data reporting date, what percentage of the reporting fund's net asset value, if
any:
(a)
May be subjected to a suspension of investor withdrawals/redemptions by
an adviser or fund governing body (this question relates to an adviser's or
governing body's right to suspend and not just whether a suspension is
currently effective) ........................................................................................
(b)
May be subjected to material restrictions on investor withdrawals/
redemptions (e.g., “gates”) by an adviser or fund governing body (this
question relates to an adviser's or governing body's right to impose a
restriction and not just whether a restriction been imposed) ................
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