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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

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 defined 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 file 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 first three calendar quarters of the subsequent calendar year. 

2. Rulesto Prevent Duplicative Reporting. If two or more Managers, each of which is required

by rule 13f-1 to file a report on Form 13F for the reporting period, exercise investment 

discretion with respect to the same securities, only one such Manager must include 

information regarding such securities in its reports on Form 13F.

A Manager having securities over which it exercises investment discretion that are reported 

by another Manager (or Managers) must identify the Manager(s) reporting on its behalf in 

the manner described in Special Instruction 5. 

A Manager reporting holdings subject to shared investment discretion must identify the 

other Manager(s) with respect to which the filing is made in the manner described in 

Special Instruction 7. 

3. Filing of Form 13F. Rule 13f-1(a)(1) provides that a Manager must file a Form 13F report 

with the Commission within 45 days after the end of the calendar year and each of the first 

three calendar quarters of the subsequent calendar year. Form 13F must be filed 

electronically on the Commission’s Electronic Data Gathering, Analysis, and Retrieval 

(“EDGAR”) system, unless a hardship exemption has been granted. As required by Section 

13(f)(5) of the Exchange Act, a Manager which is a bank, the deposits of which are insured 

in accordance with the Federal Deposit Insurance Act, must file with the appropriate 

regulatory agency for the bank a copy of every Form 13F report filed with the Commission 

pursuant to this subsection by or with respect to such bank. Filers can satisfy their 

obligation to file with other regulatory agencies by sending a copy either electronically 

(provided the Manager removes or blanks out the confidential access codes) or in paper. 

SEC 1685 (07-23) Persons who respond to the collection of information contained in this form are not 

required to respond unless the form displays a currently valid OMB control number. 
2

4. Official List of Section 13(f) Securities. The official list of Section 13(f) securities 

published by the Commission (“13F List”) lists the securities the holdings of which a 

Manager is to report on Form 13F. See rule 13f-1(c) [17 CFR 240.13f-1(c)]. Form 13F 

filers may rely on the current 13F List in determining whether they need to report any 

particular securities holding. The current 13F List is available on

www.sec.gov/divisions/investment/13flists.htm. The 13F List is updated quarterly. 

INSTRUCTIONS FOR CONFIDENTIAL TREATMENT REQUESTS 

Pursuant to Section 13(f)(4) of the Exchange Act [15 U.S.C. 78m(f)(4)], the Commission 

(1) may prevent or delay public disclosure of information reported on this form in accordance with 

Section 552 of Title 5 of the United States Code, the Freedom of Information Act [5 U.S.C. 552], 

and (2) shall not disclose information reported on this form identifying securities held by the 

account of a natural person or an estate or trust (other than a business trust or investment company). 

A Manager must submit in accordance with the procedures for requesting confidential treatment 

any portion of a report which contains information identifying securities held by the account of a 

natural person or an estate or trust (other than a business trust or investment company). 

A Manager should make requests for confidential treatment of information reported on this 

form in accordance with rule 24b-2(i) under the Exchange Act [17 CFR 240.24b-2]. Requests 

relating to the non-disclosure of information identifying the securities held by the account of a 

natural person or an estate or trust (other than a business trust or investment company) must so 

state but need not, include an analysis of any applicable exemptions from disclosure under the 

Freedom of Information Act [17 CFR 200.80].

Paragraph (i) of rule 24b-2 requires a Manager filing confidential information with the 

Commission to indicate at the appropriate place in the public filing that the confidential portion 

has been so omitted and filed separately with the Commission. A Manager must comply with this 

provision by including on the Summary Page, after the Report Summary and prior to the List of 

Other Included Managers, a statement that confidential information has been omitted from the 

public Form 13F report and filed separately with the Commission. 

A Manager must file electronically, in accordance with rule 101(d) of Regulation S-T [17 

CFR 232.101(d)], all requests for and information subject to the request for confidential treatment 

filed pursuant to Section 13(f)(4) of the Exchange Act. 

A Manager requesting confidential treatment must provide enough factual support for its

request to enable the Commission to make an informed judgment as to the merits of the request. 

The request must address all pertinent factors, including all of the following that are relevant 

1. If confidential treatment is requested as to more than one holding of securities, discuss each 

holding separately unless the Manager can identify a class or classes of holdings as to 

which the nature of the factual circumstances and the legal analysis are substantially the 

same. 
3

2. If a request for confidential treatment is based upon a claim that the subject information is 

confidential, commercial or financial information, provide the information required by 

paragraphs 2.a through 2.e of this Instruction except that, if the subject information 

concerns security holdings that represent open risk arbitrage positions and no previous 

requests for confidential treatment of those holdings have been made, the Manager need 

provide only the information required in paragraph 2.f. 

a. Describe the investment strategy being followed with respect to the relevant securities 

holdings, including the extent of any program of acquisition and disposition (note that 

the term “investment strategy,” as used in this instruction, also includes activities such 

as block positioning). 

b. Explain why public disclosure of the securities would, in fact, be likely to reveal the 

investment strategy; consider this matter in light of the specific reporting requirements 

of Form 13F (e.g., securities holdings are reported only quarterly and may be 

aggregated in many cases). 

c. Demonstrate that such revelation of an investment strategy would be premature; 

indicate whether the Manager was engaged in a program of acquisition or disposition of 

the security both at the end of the quarter and at the time of the filing; and address 

whether the existence of such a program may otherwise be known to the public. 

d. Demonstrate whether the information is customarily and actually kept private by the 

Manager and that failure to grant the request for confidential treatment would be likely 

to cause harm to the Manager; show what use competitors could make of the 

information and how harm to the Manager could ensue. 

e. State, and provide justification for, the period of time for which confidential treatment 

of the securities holdings is requested. The time period specified may not exceed one 

(1) year from the date that the Manager is required to file the Form 13F report with the 

Commission. 

f. For securities holdings that represent open risk arbitrage positions, the request must 

include good faith representations that: 

i. the securities holding represents a risk arbitrage position open on the last day of the 

period for which the Form 13F report is filed; and 

ii. the reporting Manager has a reasonable belief as of the period end that it may not 

close the entire position on or before the date that the Manager is required to file 

the Form 13F report with the Commission. 

If the Manager makes these representations in writing at the time that the Form 13F 

is filed, the Commission will automatically accord the subject securities holdings 

confidential treatment for a period of up to one (1) year from the date that the 

Manager is required to file the Form 13F report with the Commission. 
4

g. At the expiration of the period for which confidential treatment has been granted 

pursuant to paragraph 2.e or 2.f of this Instruction (“Expiration Date”) and unless a de 

novo request for confidential treatment of the information that meets the requirements 

of paragraphs 2.a through 2.e of this Instruction is filed with the Commission at least 

fourteen (14) days in advance of the Expiration Date, the Manager will make such 

security holding(s) public as set forth in Confidential Treatment Instruction 4. 

3. If the Commission grants a request for confidential treatment, it may delete details which 

would identify the Manager and use the information in tabulations required by Section 

13(f)(4) absent a separate showing that such use of information could be harmful. 

4. Unless a hardship exemption is available, the Manager must submit electronically 

within 6 business days of the expiration of confidential treatment or notification of 

denial, as applicable, a Form 13F amendment to its previously filed public Form 13F 

report(s) for the calendar quarter to list and publicly disclose the holding(s) as to which 

the Commission denied confidential treatment or for which confidential treatment has 

expired. Such Form 13F amendment must be timely filed: (i) upon the denial by the 

Commission of a request for confidential treatment; (ii), upon expiration of the time 

period for which a Manager has requested confidential treatment; or (iii) upon the 

expiration of the confidential treatment previously granted for a filing. If a Manager 

files an amendment, the amendment must not be a restatement; the Manager must 

designate it as an amendment which adds new holdings entries. The Manager must 

include at the top of the Form 13F Cover Page the following legend to correctly 

designate the type of filing being made: 

THIS FILING LISTS SECURITIES HOLDINGS REPORTED ON THE FORM 13F 

FILED ON (DATE) PURSUANT TO A REQUEST FOR CONFIDENTIAL 

TREATMENT AND FOR WHICH (THAT REQUEST WAS DENIED/CONFIDENTIAL 

TREATMENT EXPIRED) ON (DATE). 

SPECIAL INSTRUCTIONS 

1. This form consists of three parts: the Form 13F Cover Page (“Cover Page”), the Form 

13F Summary Page (“Summary Page”), and the Form 13F Information Table 

(“Information Table”).

The Cover Page: 

2. The period end date used in the report is the last day of the calendar year or quarter, as

appropriate, even though that date may not be the same as the date used for valuation in

accordance with Special Instruction 8. 

3. Amendments to a Form 13F report must either restate the Form 13F report in its entirety or 

include only holdings entries that are being reported in addition to those already reported 

in a current public Form 13F report for the same period. If the Manager is filing the Form 

13F report as an amendment, then, the Manager must check the amendment box on the 
5

Cover Page; enter the amendment number; and check the appropriate box to indicate 

whether the amendment (a) is a restatement or (b) adds new holdings entries. Each 

amendment must include a complete Cover Page and, if applicable, a Summary Page and 

Information Table. See rule 13f-1(a)(2) [17 CFR 240.13f-1(a)(2)]. 

4. Present the Cover Page and the Summary Page information in the format and order provided 

in the form. If the Manager has a number assigned by the Financial Industry Regulatory 

Authority’s Central Registration Depository system or by the Investment Adviser 

Registration Depository system (“CRD number”), provide the Manager’s CRD number. If 

the Manager has a file number (e.g., 801-, 8-, 866-, 802-) assigned by the Commission 

(“SEC file number”), provide the Manager’s SEC file number. The Cover Page may 

include information in addition to the required information, so long as the additional 

information does not, either by its nature, quantity, or manner of presentation, impede the 

understanding or presentation of the required information. Place all additional information 

after the signature of the person signing the report (immediately preceding the Report Type 

section). Do not include any additional information on the Summary Page or in the 

Information Table. 

5. Designate the Report Type for the Form 13F report by checking the appropriate box in the 

Report Type section of the Cover Page, and include, where applicable, the List of Other 

Managers Reporting for this Manager (on the Cover Page), the Summary Page and the 

Information Table, as follows: 

a. If all of the securities with respect to which a Manager has investment discretion are 

reported by another Manager (or Managers), check the box for Report Type “13F

NOTICE,” include (on the Cover Page) the List of Other Managers Reporting for this 

Manager, and omit both the Summary Page and the Information Table. 

b. If all of the securities with respect to which a Manager has investment discretion are 

reported in this report, check the box for Report Type “13F HOLDINGS REPORT,”

omit from the Cover Page the List of Other Managers Reporting for this Manager, and 

include both the Summary Page and the Information Table. 

c. If only part of the securities with respect to which a Manager has investment discretion is

reported by another Manager (or Managers), check the box for Report Type “13F

COMBINATION REPORT,” include (on the Cover Page) the List of Other Managers 

Reporting for this Manager, and include both the Summary Page and the Information 

Table. 

Summary Page: 

6. Include the Report Summary, containing the Number of Other Included Managers, the 

Information Table Entry Total and the Information Table Value Total. 
6

a. Enter as the Number of Other Included Managers the total number of other Managers 

listed in the List of Other Included Managers, not counting the Manager filing this 

report. See Special Instruction 7. If none, enter the number zero (“0”).

b. Enter as the Information Table Entry Total the total number of line entries providing 

holdings information included in the Information Table. 

c. Enter as the Information Table Value Total the aggregate fair market value of all 

holdings reported in this report, i.e., the total for Column 4 (Fair Market Value) of all 

line entries in the Information Table. The Manager must express this total as a rounded 

figure, corresponding to the individual Column 4 entries in the Information Table. See 

Special Instruction 8. 

d. Check the box on the Summary Page of the public Form 13F report if confidential 

treatment is being requested for some or all of the Manager’s holdings for this quarterend period. 

7. Include the List of Other Included Managers. Use the title, column headings and format 

provided. 

a. If this Form 13F report does not report the holdings of any Manager other than the 

Manager filing this report, enter the word “NONE” under the title and omit the column 

headings and list entries. 

b. If this Form 13F report reports the holdings of one or more Managers other than the 

Manager filing this report, enter in the List of Other Included Managers all such 

Managers together with any CRD Number or SEC file number assigned to each 

Manager and, if known, the Managers’ respective Form 13F file numbers (The Form 

13F file numbers are assigned to Managers when they file their first Form 13F). Assign 

a number to each Manager in the List of Other Included Managers, and present the list 

in sequential order. The numbers need not be consecutive. The List of Other Managers 

must include all other Managers identified in Column 7 of the Information Table. Do 

not include the Manager filing this report. 

Information Table: 

8. In determining fair market value, use the value at the close of trading on the last trading day 

of the calendar year or quarter, as appropriate. Enter values rounded to the nearest dollar. 

9. A Manager may omit holdings otherwise reportable if the Manager holds, on the period end 

date, fewer than 10,000 shares (or less than $200,000 principal amount in the case of 

convertible debt securities) and less than $200,000 aggregate fair market value (and option 

holdings to purchase only such amounts). 

10. A Manager must report holdings of options only if the options themselves are Section 

13(f) securities. For purposes of the $100,000,000 reporting threshold, the Manager should 

consider only the value of such options, not the value of the underlying shares. The 
7

Manager must give the entries in Columns 1 through 5 and in Columns 7 and 8 of the 

Information Table, however, in terms of the securities underlying the options, not the 

options themselves. The Manager must answer Column 6 in terms of the discretion to

exercise the option. The Manager must make a separate segregation in respect of securities 

underlying options for entries for each of the columns, coupled with a designation “PUT”

or “CALL” following such segregated entries in Column 5, referring to securities subject 

respectively to put and call options. A Manager is not required to provide an entry in 

Column 8 for securities subject to reported call options. 

11. Furnish the Information Table using the table title, column headings and format provided. 

Provide column headings once at the beginning of the Information Table; repetition of 

column headings on subsequent pages is not required. Present the table in accordance with 

the column instructions provided in Special Instructions 11.b.i through 11.b.viii. Do not 

include any additional information in the Information Table. Begin the Information Table 

on a new page; do not include any portion of the Information Table on either the Cover 

Page or the Summary Page. 

a. When entering information in Columns 4 through 8 of the Information Table, list 

securities of the same issuer and class with respect to which the Manager exercises sole 

investment discretion separately from those with respect to which investment discretion 

is shared. Special Instruction 11.b.vi for Column 6 describes in detail how to report 

shared investment discretion. 

b. Instructions for each column in the Information Table: 

i. Column 1. Name of Issuer. Enter in Column 1 the name of the issuer for each class 

of security reported as it appears in the current 13F List published by the 

Commission in accordance with rule 13f-1(c). Reasonable abbreviations are 

permitted. 

ii. Column 2. Title of Class. Enter in Column 2 the title of the class of the security 

reported as it appears in the 13F List. Reasonable abbreviations are permitted. 

iii. Column 3. CUSIP Number and, Share Class level Financial Instrument Global 

Identifier (FIGI). Enter in Column 3 the nine (9) digit CUSIP number. A Manager 

also may optionally enter the twelve (12) character alphanumeric FIGI of the 

security in Column 3.

iv. Column 4. Market Value. Enter in Column 4 the market value of the holding of the 

particular class of security as prescribed by Special Instruction 8. 

v. Column 5. Amount and Type of Security. Enter in Column 5 the total number of 

shares of the class of security or the principal amount of such class. Use the 

abbreviation “SH” to designate shares and “PRN” to designate principal amount. If

the holdings being reported are put or call options, enter the designation “Put” or 

“Call,” as appropriate
8

vi. Column 6. Investment Discretion. Segregate the holdings of securities of a class

according to the nature of the investment discretion held by the Manager. 

Designate investment discretion as “sole” (SOLE); “shared-defined” (DEFINED); 

or “shared-other” (OTHER), as described below: 

(A) Sole. Designate as “sole” securities over which the Manager exercised sole 

investment discretion. Report “sole” securities on one line. Enter the word 

“SOLE” in Column 6. 

(B) Shared-Defined. If investment discretion is shared with controlling and 

controlled companies (such as bank holding companies and their subsidiaries); 

investment advisers and investment companies advised by those advisers; or 

insurance companies and their separate accounts, then designate investment 

discretion as “shared-defined” (DEFINED). 

For each holding of DEFINED securities, segregate the securities into two 

categories: those securities over which investment discretion is shared with 

another Manager or Managers on whose behalf this Form 13F report is being 

filed, and those securities over which investment discretion is shared with any 

other person, other than a Manager on whose behalf this Form 13F report is

being filed. 

Enter each of the two segregations of DEFINED securities holdings on a 

separate line, and enter the designation “DFND” in Column 6. See Special 

Instruction vii for Column 7. 

(C) Shared-Other. Designate as “shared-other” securities (OTHER) those over 

which investment discretion is shared in a manner other than that described in 

Special Instruction (B) above. 

For each holding of OTHER securities, segregate the securities into two 

categories: those securities over which investment discretion is shared with 

another Manager or Managers on whose behalf this Form 13F report is being 

filed, and those securities over which investment discretion is shared with any 

other person, other than a Manager on whose behalf this Form 13F report is

being filed. 

Enter each segregation of OTHER securities holdings on a separate line, and 

enter the designation “OTR” in Column 6. See Special Instruction vii for 

Column 7. 

NOTE: A Manager is deemed to share discretion with respect to all accounts 

over which any person under its control exercises discretion. A Manager of an

institutional account, such as a pension fund or investment company, is not 

deemed to share discretion with the institution unless the institution actually 

participated in the investment decision-making. 
9

vii. Column 7. Other Managers. Identify each other Manager on whose behalf this 

Form 13F report is being filed with whom investment discretion is shared as to any 

reported holding by entering in this column the number assigned to the Manager 

in the List of Other Included Managers. 

Enter this number in Column 7 opposite the segregated entries in Columns 4, 5, and 8 

(and the relevant indication of shared discretion set forth in Column 6) as required 

by the preceding special instruction. Enter no other names or numbers in Column 

7.

A Manager must report the conditions of sharing discretion with other Managers 

consistently for all holdings reported on a single line. 

viii. Column 8. Voting Authority. Enter the number of shares for which the Manager 

exercises sole, shared, or no voting authority (none) in this column, as appropriate. 

The Commission deems a Manager exercising sole voting authority over specified 

“routine” matters, and no authority to vote in “non-routine” matters, for purposes 

of this Form 13F report to have no voting authority. “Non-routine” matters include 

a contested election of directors, a merger, a sale of substantially all the assets, a 

change in the articles of incorporation affecting the rights of shareholders, and a 

change in fundamental investment policy; “routine” matters include selection of an

accountant, uncontested election of directors, and approval of an annual report. 

If voting authority is shared only in a manner similar to a sharing of investment 

discretion which would call for a response of “shared-defined” (DEFINED) under 

Column 6, a Manager should report voting authority as sole under subdivision (a) 

of Column 8, even though the Manager may be deemed to share investment 

discretion with that person under Special Instruction 11.b.vi. 

Filing of Reports 

12. Reports must be filed electronically using EDGAR in accordance with Regulation S-T. 

Consult the EDGAR Filer Manual and Appendices for EDGAR filing instructions. 
10

PAPERWORK REDUCTION ACT INFORMATION

Persons who are to respond to the collection of information contained in this form are not 

required to respond to the collection of information unless the form displays a currently valid 

Office of Management and Budget (“OMB”) control number.
11

UNITED STATES 

SECURITIES AND EXCHANGE COMMISSION 

Washington, D.C. 20549 

Form 13F

FORM 13F COVER PAGE 

Report for the Calendar Year or Quarter Ended: 

Check here if Amendment [ ] Amendment Number:

This Amendment (Check only one.): [ ] is a restatement.

[ ] adds new holdings entries.

Institutional Investment Manager Filing this Report: 

Name: _____________ 

Address: _____________ 

_____________

_____________

Form 13F File Number: 28-_____________

CRD Number (if applicable): _____________ 

SEC File Number (if applicable): ____________

The institutional investment manager filing this report and the person by whom it is signed hereby

represent that the person signing the report is authorized to submit it, that all information 

contained herein is true, correct and complete, and that it is understood that all required items, 

statements, schedules, lists, and tables, are considered integral parts of this form. 

Person Signing this Report on Behalf of Reporting Manager: 

Name: _____________

Title: _____________

Phone: _____________

Signature, Place, and Date of Signing: 

_______________________________ ___________________ _____________ 

[Signature] [City, State] [Date]

Report Type (Check only one.):

[ ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are 

reported in this report.)
12

[ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are 

reported by other reporting manager(s).) 

[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting 

manager are reported in this report and a portion are reported by other reporting manager(s).)

List of Other Managers Reporting for this Manager: 

[If there are no entries in this list, omit this section.] 

Name Form 13F File No. CRD No. (if applicable) SEC File No. (if applicable) 

____________ 28- ___________ ________________ _______________ 

[Repeat as necessary.] 
__________________________

__________________________

__________________________

[ ]

 

__ ___________ ___________ ________________ _______________ 

13

FORM 13F SUMMARY PAGE 

Report Summary: 

Number of Other Included Managers:

Form 13F Information Table Entry Total:

Form 13F Information Table Value Total:

(round to nearest dollar) 

Confidential Treatment Requested. (The Manager has omitted from this public Form 13F 

one or more holding(s) for which it is requesting confidential treatment from the U.S. Securities 

and Exchange Commission pursuant to section 13(f) of the Exchange Act and rule 24b-2 

thereunder)

List of Other Included Managers: 

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional 

investment managers with respect to which this report is filed, other than the manager filing this 

report. 

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

No. Name Form 13F File No. CRD No. (if applicable) SEC File No. (if applicable) 

28-

[Repeat as necessary.] 
FORM 13F INFORMATION TABLE 

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 

NAME OF 

ISSUER 

TITLE OF 

CLASS CUSIP FIGI VALUE 

(to the nearest dollar)

SHRS OR 

PRN AMT 

SH/ 

PRN 

PUT/ 

CALL 

INVESTMENT 

DISCRETION 

OTHER 

MANAGER 

VOTING 

AUTH. –

SOLE

VOTING 

AUTH. –

SHARED

VOTING 

AUTH. –

NONE

[Repeat as Necessary]