Code of Federal Regulations (alpha)

CFR /  Title 17  /  Part 210  /  Sec. 210.12-13 Investments other than securities.

[For management investment companies only]------------------------------------------------------------------------

Col. A Col. B Col. C------------------------------------------------------------------------Description \1\ Balance held at Value of each item

close of period-- at close of

quantity \2 3 5\ period \4 6 7\------------------------------------------------------------------------\1\ List each major category of investments by descriptive title.\2\ If practicable, indicate the quantity or measure in appropriate

units.\3\ Indicate by an appropriate symbol each investment which is non-

income producing.\4\ Indicate by an appropriate symbol each investment not readily

marketable. The term ``investment not readily marketable'' shall

include investments for which there is no independent publicly quoted

market and investments which cannot be sold because of restrictions or

conditions applicable to the investment or the company.\5\ Indicate by an appropriate symbol each investment subject to option.

State in a footnote: (a) The quantity subject to option, (b) nature of

option contract, (c) option price, and (d) dates within which options

may be exercised.\6\ Column C shall be totaled and shall agree with the correlative

amount shown on the related balance sheet.\7\ State in a footnote the following amounts based on cost for Federal

income tax purposes: (a) Aggregate gross unrealized appreciation for

all investments in which there is an excess of value over tax cost,

(b) the aggregate gross unrealized depreciation for all investments in

which there is an excess of tax cost over value, (c) the net

unrealized appreciation or depreciation, and (d) the aggregate cost of

investments for Federal income tax purposes.