Initial Holdings Report definition

Initial Holdings Report means the written or electronic list prepared and delivered to Investments Compliance by a new Access Person within 10 days of becoming an Access Person.

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Initial Holdings Report means the written or electronic list prepared and

Initial Holdings Report means the written or electronic list prepared and delivered to the CCO by a new Access Person within 10 days of becoming an Access Person.

Examples of Initial Holdings Report in a sentence

• Information contained in the Initial Holdings Report must be current as of 45 days prior to the person becoming an Access Person.

• Information submitted by an Access Person on their Initial Holdings Report must contain information with respect to covered seceurities that is current as of a date no more than 45 days prior to the date the Initial Holdings report is submitted.

• In addition, with respect to brokerage accounts, the Initial Holdings Report must include the name of any broker, dealer, or bank with whom the Access Person maintained an account in which Covered Securities were held for the direct or indirect benefit of the Access Person as of the date the person became an Access Person.

• A copy of each Quarterly Transaction Report, Initial Holdings Report, and Annual Holdings Report submitted under this Code, including any information provided in lieu of any such reports made under the Code, will be preserved for a period of at least five years from the end of the fiscal year in which it is made, for the first two years in an easily accessible place.

• Personnel who are Access Persons on the date this Code goes into effect must file an Initial Holdings Report on Form A with a Code Officer.

• The Initial Holdings Report shall be made on the form attached hereto as SCHEDULE A.

• No later than 10 days after you become an Access Person (which information must be current as of a date no more than 45 days prior to the date of becoming an Access Person), you must file with a Code Officer an Initial Holdings Report on Form A (copies of all reporting forms are available from a Code Officer).

• No later than 10 days after the person becomes an Access Person, each Access Person must submit an Initial Holdings Report including the title, type of security, exchange symbol or CUSIP, number of shares, and principal amount of each Covered Security in which the Access Person had any direct or indirect beneficial ownership when the person became an Access Person.

• For purposes of clarity, personal securities transactions that are executed pursuant to an automatic investment plan or through a managed account do not need to be disclosed on the Quarterly Transactions Report (although any such holdings must be included on a Staff Member’s Initial Holdings Report and Annual Holdings Report).

• Information contained in the Initial Holdings Report (attached as Exhibit F) must be current as of 45 days prior to the person becoming an Access Person.

More Definitions of Initial Holdings Report

Initial Holdings Report means the report attached as Schedule C, which all Access Persons are required to complete and return to the Administrator within 10 days after becoming an Access Person under this Code.

Initial Holdings Report means the initial report of a Staff Member’s current holdings of Reportable Securities (which must include the securities holdings of the Staff Member’s Family Members). As required by Rule 204A-1(b)(1)(ii)(A) under the Advisers Act, the report must be submitted no later than 10 calendar days after the Staff Member becomes covered by the Code and the report’s information must be current as of a date no more than 45 days prior to the date the Staff Member becomes covered by the Code.