17 CFR 210.12-12A – Investments–securities sold short
| Col. A | Col. B | Col. C |
|---|---|---|
| Name of issuer and title of issue 1 2 3 | Balance of short position at close of period (number of shares) | Value of each open short position 4 5 6 |
1 Each issue shall be listed separately.
Terms Used In 17 CFR 210.12-12A
- Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
- Interest rate: The amount paid by a borrower to a lender in exchange for the use of the lender's money for a certain period of time. Interest is paid on loans or on debt instruments, such as notes or bonds, either at regular intervals or as part of a lump sum payment when the issue matures. Source: OCC
- Variable Rate: Having a "variable" rate means that the APR changes from time to time based on fluctuations in an external rate, normally the Prime Rate. This external rate is known as the "index." If the index changes, the variable rate normally changes. Also see Fixed Rate.
2 Categorize the schedule as required by instruction 2 of § 210.12-12.
3 Indicate the interest rate or preferential dividend rate and maturity date, as applicable, for preferred stocks, convertible securities, fixed income securities, government securities, loan participations and assignments, commercial paper, bankers’ acceptances, certificates of deposit, short-term securities, repurchase agreements, or other instruments with a stated rate of income. For variable rate securities, indicate a description of the reference rate and spread and: (1) The end of period interest rate or (2) disclose the end of period reference rate for each reference rate described in the Schedule in a note to the Schedule. For securities with payment in kind income, disclose the rate paid in kind.
4 The subtotals for each category of investments, subdivided both by type of investment and industry, country, or geographic region, shall be shown together with their percentage value compared to net assets.
5 Column C shall be totaled. The total of Column C shall agree with the correlative amounts shown on the related balance sheet.
6 Indicate by an appropriate symbol each issue of securities whose value was determined using significant unobservable inputs.