Col. A Col. B Col. C------------------------------------------------------------------------Name of issuer and title of Balance held at Value of each item
issue \1 2\ close of period. at close of
Number of shares-- period. \3 4 6 7
principal amount 8\
of bonds and
notes \5\------------------------------------------------------------------------\1\ Each issue shall be listed separately: Provided, however, that an
amount not exceeding five percent of the total of Column C may be
listed in one amount as ``Miscellaneous securities,'' provided the
securities so listed are not restricted, have been held for not more
than one year prior to the date of the related balance sheet, and have
not previously been reported by name to the shareholders of the person
for which the schedule is filed or to any exchange, or set forth in
any registration statement, application, or annual report or otherwise
made available to the public. If any securities are listed as
``Miscellaneous securities,'' briefly explain in a footnote what the
term represents.\2\ Categorize the schedule by (i) the type of investment (such as
common stocks, preferred stocks, convertible securities, fixed income
securities, government securities, options purchased, warrants, loan
participations and assignments, commercial paper, bankers'
acceptances, certificates of deposit, short-term securities,
repurchase agreements, other investment companies, and so forth); and
(ii) the related industry, country, or geographic region of the
investment. Short-term debt instruments (i.e., debt instruments whose
maturities or expiration dates at the time of acquisition are one year
or less) of the same issuer may be aggregated, in which case the range
of interest rates and maturity dates shall be indicated. For issuers
of periodic payment plan certificates and unit investment trusts, list
separately: (i) Trust shares in trusts created or serviced by the
depositor or sponsor of this trust; (ii) trust shares in other trusts;
and (iii) securities of other investment companies. Restricted
securities shall not be combined with unrestricted securities of the
same issuer. Repurchase agreements shall be stated separately showing
for each the name of the party or parties to the agreement, the date
of the agreement, the total amount to be received upon repurchase, the
repurchase date and description of securities subject to the
repurchase agreements.\3\ The subtotals for each category of investments, subdivided by
business grouping or instrument type, shall be shown together with
their percentage value compared to net assets (Sec. Sec. 210.6-
04.19 or 210.6-05.4).\4\ Column C shall be totaled. The total of column C shall agree with
the correlative amounts shown on the related balance sheet.\5\ Indicate by an appropriate symbol each issue of securities which is
non-income producing. Evidences of indebtedness and preferred shares
may be deemed to be income producing if, on the respective last
interest payment date or date for the declaration of dividends prior
to the date of the related balance sheet, there was only a partial
payment of interest or a declaration of only a partial amount of the
dividends payable; in such case, however, each such issue shall be
indicated by an appropriate symbol referring to a note to the effect
that, on the last interest or dividend date, only partial interest was
paid or partial dividends declared. If, on such respective last
interest or dividend date, no interest was paid or no cash or in kind
dividends declared, the issue shall not be deemed to be income
producing. Common shares shall not be deemed to be income producing
unless, during the last year preceding the date of the related balance
sheet, there was at least one dividend paid upon such common shares.\6\ Indicate by an appropriate symbol each issue of restricted
securities. State the following in a footnote: (a) As to each such
issue: (1) Acquisition date, (2) carrying value per unit of investment
at date of related balance sheet, e.g., a percentage of current market
value of unrestricted securities of the same issuer, etc., and (3) the
cost of such securities; (b) as to each issue acquired during the year
preceding the date of the related balance sheet, the carrying value
per unit of investment of unrestricted securities of the same issuer
at: (1) The day the purchase price was agreed to; and (2) the day on
which an enforceable right to acquire such securities was obtained;
and (c) the aggregate value of all restricted securities and the
percentage which the aggregate value bears to net assets.\7\ Indicate by an appropriate symbol each issue of securities held in
connection with open put or call option contracts or loans for short
sales.\8\ State in a footnote the following amounts based on cost for Federal
income tax purposes: (a) Aggregate gross unrealized appreciation for
all securities in which there is an excess of value over tax cost, (b)
the aggregate gross unrealized depreciation for all securities in
which there is an excess of tax cost over value, (c) the net
unrealized appreciation or depreciation, and (d) the aggregate cost of
securities for Federal income tax purposes. [47 FR 56843, Dec. 21, 1982, as amended at 69 FR 11262, Mar. 9, 2004] Sec. 210.12-12A Investments--securities sold short.
[For management investment companies only]------------------------------------------------------------------------
Col. A Col. B Col. C------------------------------------------------------------------------Name of issuer and title of Balance of short Value of each open
issue \1\ position at close short position
of period. \2\
(number of
shares).------------------------------------------------------------------------\1\ Each issue shall be listed separately.\2\ Column C shall be totaled. The total of column C shall agree with
the correlative amounts shown on the related balance sheet. [47 FR 56844, Dec. 21, 1982] Sec. 210.12-12B Open option contracts written.
[For management investment companies only]----------------------------------------------------------------------------------------------------------------
Col. A Col. B Col. C Col. D Col. E----------------------------------------------------------------------------------------------------------------Name of issuer \1 2\ Number of Exercise price Expiration date Value. \4\
contracts \3\----------------------------------------------------------------------------------------------------------------\1\ Information as to put options shall be shown separately from information as to call options.\2\ Options of an issuer where exercise prices or expiration dates differ shall be listed separately.\3\ If the number of shares subject to option is substituted for number of contracts, the column name shall
reflect that change.\4\ Column E shall be totaled and shall agree with the correlative amount shown on the related balance sheet. [47 FR 56844, Dec. 21, 1982] Sec. 210.12-12C Summary schedule of investments in securities of unaffiliated issuers. ----------------------------------------------------------------------------------------------------------------
Column A Column B Column C Column D----------------------------------------------------------------------------------------------------------------Name of issuer and title of issue \1 Balance held at close Value of each item at Percentage value
3 4 5 6\. of period. Number of close of period \2 7 9 compared to net
shares--principal 10 11\. assets.
amount of bonds and
notes \8\.----------------------------------------------------------------------------------------------------------------\1\ Categorize the schedule by (a) the type of investment (such as common stocks, preferred stocks, convertible
securities, fixed income securities, government securities, options purchased, warrants, loan participations
and assignments, commercial paper, bankers' acceptances, certificates of deposit, short-term securities,
repurchase agreements, other investment companies, and so forth); and (b) the related industry, country, or
geographic region of the investment.\2\ The subtotals for each category of investments, subdivided by industry, country, or geographic region, shall
be shown together with their percentage value compared to net assets.\3\ Except as provided in note 5, list separately the 50 largest issues and any other issue the value of which
exceeded one percent of net asset value of the registrant as of the close of the period. For purposes of the
list (including, in the case of short-term debt instruments, the first sentence of note 4), aggregate and
(a) short-term debt instruments (i.e., debt instruments whose
maturities or expiration dates at the time of acquisition are one year or less) of the same issuer (indicating
the range of interest rates and maturity dates); and (b) fully collateralized repurchase agreements (indicate
in a footnote the range of dates of the repurchase agreements, the total purchase price of the securities, the
total amount to be received upon repurchase, the range of repurchase dates, and description of securities
subject to the repurchase agreements). Restricted and unrestricted securities of the same issue should be
aggregated for purposes of determining whether the issue is among the 50 largest issues, but should not be
combined in the schedule. For purposes of determining whether the value of an issue exceeds one percent of net
asset value, aggregate and treat as a single issue all securities of any one issuer, except that all fully
collateralized repurchase agreements shall be aggregated and treated as a single issue. The U.S. Treasury and
each agency, instrumentality, or corporation, including each government-sponsored entity, that issues U.S.
government securities is a separate issuer.\4\ If multiple securities of an issuer aggregate to greater than one percent of net asset value, list each
issue of the issuer separately (including separate listing of restricted and unrestricted securities of the
same issue) except that the following may be aggregated and listed as a single issue: (a) Fixed-income
securities of the same issuer which are not among the 50 largest issues and whose value does not exceed one
percent of net asset value of the registrant as of the close of the period (indicating the range of interest
rates and maturity dates); and (b) U.S. government securities of a single agency, instrumentality, or
corporation, which are not among the 50 largest issues and whose value does not exceed one percent of net
asset value of the registrant as of the close of the period (indicating the range of interest rates and
maturity dates). For each category identified pursuant to note 1, group all issues that are neither separately
listed nor included in a group of securities that is listed in the aggregate as a single issue in a sub-
category labeled ``Other securities,'' and provide the information for Columns C and D.\5\ Any securities that would be required to be listed separately or included in a group of securities that is
listed in the aggregate as a single issue may be listed in one amount as ``Miscellaneous securities,''
provided the securities so listed are eligible to be, and are, categorized as ``Miscellaneous securities'' in
the registrant's Schedule of Investments in Securities of Unaffiliated Issuers required under Sec. 210.12-
12. However, if any security that is included in ``Miscellaneous securities'' would otherwise be required to
be included in a group of securities that is listed in the aggregate as a single issue, the remaining
securities of that group must nonetheless be listed as required by notes 3 and 4 even if the remaining
securities alone would not otherwise be required to be listed in this manner (e.g., because the combined value
of the security listed in ``Miscellaneous securities'' and the remaining securities of the same issuer exceeds
one percent of net asset value, but the value of the remaining securities alone does not exceed one percent of
net asset value).\6\ If any securities are listed as ``Miscellaneous securities'' pursuant to note 5 or ``Other securities''
pursuant to note 4, briefly explain in a footnote what those terms represent.\7\ Total Column C. The total of column C should equal the total shown on the related balance sheet for
investments in securities of unaffiliated issuers.
\8\ Indicate by an appropriate symbol each issue of securities which is non-income producing. Evidences of
indebtedness and preferred shares may be deemed to be income producing if, on the respective last interest
payment date or date for the declaration of dividends prior to the date of the related balance sheet, there
was only a partial payment of interest or a declaration of only a partial amount of the dividends payable; in
such case, however, each such issue shall be indicated by an appropriate symbol referring to a note to the
effect that, on the last interest or dividend date, only partial interest was paid or partial dividends
declared. If, on such respective last interest or dividend date, no interest was paid or no cash or in kind
dividends declared, the issue shall not be deemed to be income producing. Common shares shall not be deemed to
be income producing unless, during the last year preceding the date of the related balance sheet, there was at
least one dividend paid upon such common shares.\9\ Indicate by an appropriate symbol each issue of restricted securities. State the following in a footnote:
(a) as to each such issue: (1) Acquisition date, (2) carrying value per unit of investment at date of related
balance sheet, e.g., a percentage of current market value of unrestricted securities of the same issuer, etc.,
and (3) the cost of such securities; (b) as to each issue acquired during the year preceding the date of the
related balance sheet, the carrying value per unit of investment of unrestricted securities of the same issuer
at: (1) The day the purchase price was agreed to; and (2) the day on which an enforceable right to acquire
such securities was obtained; and (c) the aggregate value of all restricted securities and the percentage
which the aggregate value bears to net assets.\10\ Indicate by an appropriate symbol each issue of securities held in connection with open put or call option
contracts or loans for short sales.\11\ State in a footnote the following amounts based on cost for Federal income tax purposes: (a) Aggregate
gross unrealized appreciation for all securities in which there is an excess of value over tax cost, (b) the
aggregate gross unrealized depreciation for all securities in which there is an excess of tax cost over value,
(c) the net unrealized appreciation or depreciation, and (d) the aggregate cost of securities for Federal
income tax purposes. [69 FR 11262, Mar. 9, 2004]