Form Pf - Reporting Form For Investment Advisers To Private Funds And Certain Commodity Pool Operators And Commodity Trading Advisors Page 7
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64Form PF: General Instructions
Page 7
advise. When you file such an amendment, you are not required to update
information previously filed for such quarter.
Periodic filings
Within 15 calendar days after the end of your first, second and third fiscal
(large liquidity
quarters, you must file a quarterly update that updates the answers to all
fund advisers)
Items in this Form PF relating to the liquidity funds that you advise.
Within 15 calendar days after the end of your fourth fiscal quarter, you must
file a quarterly update that updates the answers to all Items in this Form PF.
You may, however, submit an initial filing for the fourth quarter that
updates information relating only to the liquidity funds that you advise so
long as you amend your Form PF within 120 calendar days after the end of
the quarter to update information relating to any other private funds that you
advise (subject to the next paragraph). When you file such an amendment,
you are not required to update information previously filed for such quarter.
If you are both a large liquidity fund adviser and a large hedge fund
adviser, you must file your quarterly updates with respect to the liquidity
funds that you advise within 15 calendar days and with respect to the hedge
funds you advise within 60 calendar days.
Periodic filings
Within 120 calendar days after the end of your fiscal year, you must file an
(all other advisers)
annual update that updates the answers to all Items in this Form PF.
Large hedge fund advisers and large liquidity fund advisers are not required
to file annual updates but instead file quarterly updates for the fourth
quarter.
Transition filing
If you are transitioning from quarterly to annual filing because you are no
longer a large hedge fund adviser or large liquidity fund adviser, then you
must complete and file Item A of Section 1a and check the box in
Section 1a indicating that you are making your final quarterly filing. You
must file your transition filing no later than the last day on which your next
quarterly update would be timely.
Final filing
If you are no longer required to file Form PF, then you must complete and
file Item A of Section 1a and check the box in Section 1a indicating that
you are making your final filing. You must file your final filing no later
than the last day on which your next Form PF update would be timely. This
applies to all Form PF filers.
Failure to update your Form PF as required by these instructions is a violation of SEC and,
where applicable, CFTC rules and could lead to revocation of your registration.
10.
How do I obtain private fund identification numbers for my reporting funds?
Each private fund must have an identification number for purposes of reporting on Form ADV
and Form PF. Private fund identification numbers can only be obtained by filing Form ADV.
If you need to obtain a private fund identification number and you are required to file a quarterly
update of Form PF prior to your next annual update of Form ADV, then you must acquire the
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