Alternative Investment Fund Managers Directive
Reporting Template – C3: Self-Managed Small AIFMs
Issued: July 2014
Version 3.1
IF REPORTING FOR AN AIF STRUCTURED AS AN UMBRELLA PLEASE COMPLETE THIS FORM FOR EACH INVESTMENT COMPARTMENT/SUB-FUND/CELL OF THE
AIF
THIS FORM ALSO SERVES AS AN EIF NOTIFICATION FORM, WHEN SMALL SELF MANAGED, AND DOES NOT REQUIRE A SEPARATE NOTIFICATION FORM TO BE
FILED
REPORTING TEMPLATES: AIF
(Article 3 (3)(d) and Article 24 of the AIFM Directive 2011/61/EU)
AIF-SPECIFIC INFORMATION TO BE PROVIDED
(Article 3(3 )(d) and Article 24(1) of Directive 2011/61 EU)
Data Type
Reported Data
IDENTIFICATION OF THE AIF
1
AIF name1
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EU AIF: Click here to enter text.
2
Fund manager
(Legal name and standard code, where available)
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EU AIFM: Click here to enter text.
3
Fund identification codes,
as applicable
4
Inception date of the AIF
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text.
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text.
1
enter text.
enter text.
If reporting for individual investment compartment/sub-fund/cell include the name of the overall fund structure, as well as the name of the
investment compartment/sub-fund/cell, and how many investment compartment/sub-fund/cells you are reporting e.g. ABC FUND PCC LIMITED: CELL A
(CELL 1 OF 5)
5
Domicile and registered address of the AIF
Click here to enter Click here to
text.
6
7
8
Identification of prime broker(s) of the AIF
(Legal name and standard code, where available)
Base currency of the AIF according to ISO 4217 and assets under management calculated as set out in Article 2
Jurisdictions of the three main funding sources (excluding units or shares of the AIF bought by investors)
enter text.
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text.
Currency
enter text.
Total AuM
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text.
enter text.
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9
Predominant AIF type (select one)
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Hedge Fund
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Private Equity Fund
Real Estate Fund enter text.
Fund of Funds
Other
None
10 Breakdown of investment strategies
(Provide a breakdown of the investment strategies of the AIF depending on the predominant AIF type selected in question 1. See guidance notes for further information on
how to complete this question.)
Indicate the strategy that
best describe the AIF's
strategy
a) Hedge Fund Strategies
(Complete this question if you selected 'Hedge Fund' as the predominant AIF type in question 1.)
Share in
NAV
(%)
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to enter
text.
Indicate the hedge fund strategies that best describe the AIF’s strategies
Equity: Long Bias
Equity: Long Short
Equity: Market Neutral
Equity: Short Bias
Relative Value: Fixed Income Arbitrage
Relative Value: Convertible Bond Arbitrage
Relative Value: Volatility Arbitrage
Event Driven: Distressed / Restructuring
Event Driven: Risk Arbitrage / Merger Arbitrage
Event Driven: Equity Special Situations
Credit Long / Short
Credit Asset Based Lending
Macro
Managed Futures / CTA: Fundamental
Managed Futures / CTA: Quantitative
Multi-strategy hedge fund
Other hedge fund strategy
Click here to enter text. Click here
to enter
text.
b) Private Equity Strategies
(Complete this question if you selected 'Private Equity' as the predominant AIF type in question 1.)
Indicate the private equity strategies that best describe the AIF’s strategies
Venture Capital
Growth Capital
Mezzanine Capital
Multi-strategy private equity fund
Other private equity fund strategy
c) Real Estate Strategies
(Complete this question if you selected 'Real Estate' as the predominant AIF type in question 1.)
Click here to enter text. Click here
to enter
text.
Click here to enter text. Click here
Indicate the real estate strategies that best describe the AIF’s strategies
Residential real estate
Commercial real estate
Industrial real estate
Multi-strategy real estate fund
Other real estate strategy
to enter
text.
d) Fund of Fund Strategies
(Complete this question if you selected 'Fund of Funds' as the predominant AIF type in question 1.)
Click here to enter text. Click here
Indicate the 'fund of fund' strategy that best describe the AIF’s strategies
Fund of hedge funds
Fund of private equity
Other fund of funds
to enter
text.
e) Other Strategies
(Complete this question if you selected 'Other' as the predominant AIF type in question 1.)
Click here to enter text. Click here
Indicate the 'other' strategy that best describe the AIF’s strategies
Commodity fund
Equity fund
Fixed income fund
Infrastructure fund
Other fund
to enter
text.
PRINCIPAL EXPOSURES AND MOST IMPORTANT CONCENTRATION
11 Main instruments in which the AIF is trading
Type of instrument/instrument code
Value (as calculated under Article 3 AIFMD)
Long / short position
Most important instrument
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2nd most important instrument
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rd
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th
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3 most important instrument
4 most important instrument
5th most important instrument
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12 Geographical focus
Provide a geographical breakdown of the investments held by the AIF by percentage of the total net asset value of the AIF
% of NAV
Africa
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Asia and Pacific (other than Middle East)
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Europe (EEA)
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Europe (other than EEA)
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Middle East
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North America
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South America
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Supranational / multiple region
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13
10 principal exposures of the AIF at the reporting date (most valuable in absolute terms):
Type of asset/liability
1st
Name/description of the asset/liability
4th
% of gross
market value
Long/short position
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2nd Click here to enter Click here to enter text.
3rd
Value (as calculated
under Article 3)
Counterparty (where relevant)
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5th
6th
7th
8th
9th
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10th Click here to enter Click here to enter text.
text.
14
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5 most important portfolio concentrations:
1st
Type of asset/liability Name/description of the market
Value of aggregate exposure
% of gross
(as calculated under Article 3) market value
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text.
2nd Click here to enter Click here to enter text.
text.
3rd
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text.
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enter text.
Counterparty (where relevant)
text.
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enter text.
text.
4th
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enter text.
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Long/short position
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text.
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text.
5th
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enter text.
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text.
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enter text.
15
Typical deal/position size
(Complete this question if you selected as your predominant AIF type ‘private equity fund’ in question 1)
16
Principal markets in which AIF trades
17
text.
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text.
[Select one]
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Very small
Small
Lower mid-market
Upper mid-market
Large Cap
Mega Cap
Please enter name and identifier (e.g. MIC code) where available, of market with greatest exposure
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Please enter name and identifier (e.g. MIC code) where available, of marker with second greatest exposure
Click here to enter text.
Please enter name and identifier (e.g. MIC code) where available, of marker with third greatest exposure
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Investor Concentration
Specify the approximate percentage of the AIF’s equity that is beneficially owned by the five beneficial owners
that have the largest equity interest in the AIF (as a percentage of outstanding units/shares of the AIF; lookthrough to the beneficial owners where known or possible)
Breakdown of investor concentration by status of investors (estimate if no precise information available):
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- Professional clients (as defined in Directive 2004/39/EC (MiFID):
- Retail investors:
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%
DECLARATION
This declaration must be signed for and on behalf of the AIFM by two directors.
The AIFM warrants and undertakes that it has completed this notification form truthfully and fully and disclosed any other information which might reasonably be considered
relevant for the purpose of this notification;
Signed
Name of signatory in BLOCK CAPITALS: Click here to enter text.
Position: Click here to enter text.
Signed
Name of signatory in BLOCK CAPITALS:
Position: Click here to enter text.
Click here to enter text.
THE FOLLOWING INFOMRATION SHOULD BE COMPLETED WHERE AN EIF IS BEING NOTIFIED TO THE FSC FOR THE FIRST TIME
FOR NEW EIFS - ADDITIONAL INFORMATION REQUIRED FOR EXPERIENCED INVESTOR FUNDS
(Financial Services (Experienced Investor Funds) Regulations 2012)
(To be completed for each EIF)
(Please note a separate EIF Notification form does not need to be filed in addition to this)
PLEASE CONFIRM AT WHICH STAGE THE NOTIFICATION IS BEING SENT:
☐
BEFORE ESTABLISHMENT OF FUND
POST ESTABLISHMENT OF FUND
☐
1.
Legal form of fund:
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2.
Provide details of investment restrictions, including the likely
percentage of leverage applied to the fund:
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3.
If the fund has been established as a company, including a
protected cell company, please provide the name, date of birth
and place of birth of all directors.
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If the fund has been established as for example a unit trust,
please provide the name, date of birth and place of birth of the
trustee(s). For corporate trustees, please include when
incorporated and place of incorporation.
If the fund has been established in another form, please
provide the name, date of birth and place of birth of the
persons managing and controlling the fund.
4.
5.
Names of key service providers:
Details of the following key features:
Promoter:
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Ordinary shareholder:
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Administrator:
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Depositary:
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Investment manager/adviser:
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Auditor:
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Financial year-end of the fund:
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Currency of the fund:
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Open-ended or closed-end fund:
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Launch date (or expected launch):
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6.
What is the structure of the fund (e.g. single class/multi class or
protected cell company)?
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7.
Name of key individual(s) upon whom the performance of the
fund will depend, for example the investment director:
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8.
Details of how the fund intends to attract clients and the types
of clients it intends to attract:
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9.
Please provide details of the arrangements made for the fund
to pay initial set up fees (for example, will this be from seed
capital) and have all fees due been paid up?
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The following documents must accompany this notification
1.
2.
A copy of the offering documents.
A copy of the fund’s certificate of incorporation.
3.
4.
5.
6.
An opinion of a lawyer of at least 5 years professional standing who is also a Barrister or Solicitor of the Supreme Court of Gibraltar, that the fund complies with the
relevant provisions of the Financial Services (Collective Investment Scheme) Act 2011 and Financial Services (Experienced Investor Funds) Regulations 2012.
Completed Offering Document Checklist.
Signed declaration by directors of the fund (As per Appendix A).
Initial fee.
THE FOLLOWING DECLARATIONS ARE TO BE COMPLETED AS PART OF A NEW EIF NOTIFICATION
DECLARATION
This declaration must be signed for and on behalf of the administrator by two resident directors of the administrator.
The Administrator warrants and undertakes that it has completed this notification form truthfully and fully and disclosed any other information which might reasonably be
considered relevant for the purpose of this notification;
Name of administrator
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Signed
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Name of signatory in BLOCK CAPITALS
Position: Click here to enter text.
Click here to enter text.
Director of the Fund Administrator
Signed
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Name of signatory in BLOCK CAPITALS
Position: Click here to enter text.
Click here to enter text.
Director of the Fund Administrator
Directors Declaration
We confirm that we the proposed directors of the scheme are content with the disclosures in the schemes offer document meet the requirements of the Financial Services
(Experienced Investor Funds) Regulations (EIF Regulations). I confirm that we the proposed director of the fund are content that the economic rationale for the fund and any
attendant risks are clearly disclosed in the fund's scheme particulars/ offer document.
We as the board of directors have considered the ability of the fund administrator to perform sufficient due diligence to be satisfied that the promoter of, and the associated parties
to, the fund are fit and proper and that in this respect consideration has been given to all of the issues set out in the EIF Regulations and the AML/CFT Guidance Notes.
We declare that we accept ultimate responsibility for the management and control of the fund in accordance with and subject to the constitutive documents and applicable law and
the proper systems and procedures will be implemented in respect of the fund.
Signed
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Name of signatory in BLOCK CAPITALS
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Position: Click here to enter text.
Director of the Fund
Signed
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Name of signatory in BLOCK CAPITALS
Click here to enter text.
Position: Click here to enter text.
Director of the Fund
Signed
Click here to enter text.
Name of signatory in BLOCK CAPITALS
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Position: Click here to enter text.
Director of the Fund
Signed
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Name of signatory in BLOCK CAPITALS
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Position: Click here to enter text.
Director of the Fund
This may be signed in counterpart.