Portfolio of Investments. Establish and maintain a security master database with financial statement security descriptions, industry classifications, etc. Security information will be provided by external data service vendors. Update and edit security library. Identify/edit portfolio footnote disclosures (non-income producing, fair valued securities, when issued securities, geographic concentration, defaulted securities, segregation assets, off B/S securities, etc.) Identify non-income producing securities. Provide financial data for footnote disclosures in footnotes and request necessary information provided by Xxxxx Xxxxx. Identify collateral securing futures contracts at period end. Financial Accounting Standard 157 (Codification ASC Topic 820) reporting services. In coordination with State Street Fund Accounting, classify the portfolio assets of each Fund and provide the following reports to Xxxxx Xxxxx: Holdings Report; Roll Forward Report; Tracking Report and Exception Report. Prepare Quarterly N-Q Filing with SEC; produce draft on 1st and 3rd quarters for filing with SEC. Generate Portfolio of Investment draft. Process draft comments. Request the printer to attach wrappers and certifications to Portfolio and verify inclusion. Request printer to file with SEC upon authorization from Xxxxx Xxxxx.
Portfolio of Investments. (a) The percentages in the "Equity" column express the potential equity interests held by Capital Southwest Corporation and Capital Southwest Venture Corporation (together, the "Company") in each issuer. Each percentage represents the amount of the issuer's common stock the Company owns or can acquire as a percentage of the issuer's total outstanding common shares, plus shares reserved for all outstanding warrants, convertible securities and employee stock options. The symbol "<1%" indicates that the Company holds a potential equity interest of less than one percent.
