Form Pf - Reporting Form For Investment Advisers To Private Funds And Certain Commodity Pool Operators And Commodity Trading Advisors Page 60
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64Form PF: Glossary of Terms
Page 6
hedge funds).
Listed equity
Direct beneficial ownership of equities, including preferred equities, listed on a
regulated exchange.
Do not include synthetic or derivative exposures to equities. ETFs should be
categorized based on the assets that the fund holds and should only be included in
listed equities if the fund holds listed equities (e.g., a commodities ETF should be
categorized based on the commodities it holds).
Listed equity
All synthetic or derivative exposures to equities, including preferred equities,
derivatives
listed on a regulated exchange.
Include single stock futures, equity index futures, dividend swaps, total return
swaps (contracts for difference), warrants and rights.
LV
Value of long positions, measured as specified in Instruction 15.
Master fund
See master-feeder arrangement.
Master-feeder
An arrangement in which one or more funds (“feeder funds”) invest all or
arrangement
substantially all of their assets in a single private fund (“master fund”). A fund
would also be a feeder fund investing in a master fund for purposes of this
definition if it issued multiple classes (or series) of shares or interests and each
class (or series) invests substantially all of its assets in a single master fund.
Maturity
The maturity of the relevant asset, determined without reference to the maturity
shortening provisions contained in paragraph (i) of rule 2a-7 regarding interest
rate readjustments.
MBS
Mortgage backed securities, including residential, commercial and agency.
Do not include any positions held via CDS (these should be recorded in the CDS
category).
Money market fund
Has the meaning provided in rule 2a-7.
NAICS code
With respect to any company, the six-digit North American Industry
Classification System code that best describes the company’s primary business
activity and principal source of revenue. If the company reports a business
activity code to the U.S. Internal Revenue Service, you may rely on that code for
this purpose.
Natural gas
For questions regarding natural gas derivatives, provide the value of all exposure
to natural gas that you do not hold physically, whether held synthetically or
through derivatives (whether cash or physically settled).
Net assets under
Net assets under management are your regulatory assets under management
management
minus any outstanding indebtedness or other accrued but unpaid liabilities.
Net asset value or
With respect to any reporting fund, the gross assets reported in response to
NAV
Question 8 minus any outstanding indebtedness or other accrued but unpaid
liabilities.
NFA
The National Futures Association.
Non-investment
A security is non-investment grade if it is not an investment grade security.
grade
Non-U.S. financial
Any of the following: (i) a financial institution chartered outside the United
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