Column B--Balance
held at close of Column D--ValueColumn A--Name of period. Number of Column C--Cost of each item at
issuer and title shares--principal of each item \3 close of period
of issue \1\ amount of bonds 4\ \3 5\
and notes \2\------------------------------------------------------------------------
------------------------------------------------------------------------
\1\ (a) The required information is to be given as to all securities
held as of the close of the period of report. Each issue shall be
listed separately.(b) Indicate by an appropriate symbol those securities which are non-
income-producing securities. Evidences of indebtedness and preferred
shares may be deemed to be income-producing if, on the respective last
interest payment date or dates 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 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. List separately
(1) bonds; (2) preferred shares; (3) common shares. Within each of
these subdivisions classify according to type of business, insofar as
practicable: e.g., investment companies, railroads, utilities, banks,
insurance companies, or industrials. Give totals for each group,
subdivision, and class.\2\ Indicate any securities subject to option at the end of the most
recent period and state in a note the amount subject to option, the
option prices, and the dates within which such options may be
exercised.\3\ Columns C and D shall be totaled. The totals of columns C and D
should agree with the correlative amounts required to be shown by the
related balance sheet captions. State in a footnote to column C the
aggregate cost for Federal income tax purposes.\4\ If any investments have been written down or reserved against by
such companies pursuant to Sec. 210.6-21(f), indicate each such item
by means of an appropriate symbol and explain in a footnote.\5\ Where value is determined on any other basis than closing prices
reported on any national securities exchange, explain such other basis
in a footnote. [47 FR 56844, Dec. 21, 1982]