form13f-持仓报告模板(美证监会SEC).pdfVIP

OMB APPROVAL OMB Number: 3235-0006 UNITED STATES Expires: b October 3 1, 2018 SECURITIES AND EXCHANGE COMMISSION Estimated average burden Washington, DC 20549 hours per response. . . . . .23.8 Form 13F INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER GENERAL INSTRUCTIONS 1. Rule as to Use of Form 13F. Institutional investment managers (“Managers”) must use Form 13F for reports to the Commission required by Section 13(f) of the Securities Exchange Act of 1934 [15 U.S.C. 78m(f)] (“Exchange Act”) and rule 13f-1 [17 CFR 240.13f-1] thereunder. Rule 13f-1(a) provides that every Manager which exercises investment discretion with respect to accounts holding Section 13(f) securities, as deined in rule 13f-1(c), having an aggregate fair market value on the last trading day of any month of any calendar year of at least $100,000,000 shall ile a report on Form 13F with the Commission within 45 days after the last day of such calendar year and within 45 days after the last day of each of the irst