Alternative Investment Fund Managers Directive

Alternative Investment Fund Managers Directive

Reporting Template – C3: Self-Managed Small AIFMs

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 name[1] / Click here to enter text. / EU AIF: Click here to enter text.
2 / Fund manager
(Legal name and standard code, where available) / Click here to enter text. / EU AIFM: Click here to enter text.
3 / Fund identification codes,
as applicable / Click here to enter text. / Click here to enter text.
4 / Inception date of the AIF / Click here to enter text. / Click here to enter text.
5 / Domicile and registered address of the AIF / Click here to enter text. / Click here to enter text.
6 / Identification of prime broker(s) of the AIF
(Legal name and standard code, where available) / Click here to enter text. / Click here to enter text.
7 / Base currency of the AIF according to ISO 4217 and assets under management calculated as set out in Article 2 / Currency
Click here to enter text. / Total AuM
Click here to enter text.
8 / Jurisdictions of the three main funding sources (excluding units or shares of the AIF bought by investors) / Click here to enter text.
Click here to enter text.
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9 / Predominant AIF type (select one) / Hedge Fund
Private Equity Fund
Real Estate Fund
Fund of Funds
Other
None / Click here to enter text.
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 / Share in NAV
(%)
a) Hedge Fund Strategies
(Complete this question if you selected 'Hedge Fund' as the predominant AIF type in question 1.) / Click here to enter text. / Click here 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 / Click here to enter text. / Click here to enter text.
c) Real Estate Strategies
(Complete this question if you selected 'Real Estate' as the predominant AIF type in question 1.)
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 / Click here to enter text. / Click here 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.)
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 / Click here to enter text. / Click here to enter text.
e) Other Strategies
(Complete this question if you selected 'Other' as the predominant AIF type in question 1.)
Indicate the 'other' strategy that best describe the AIF’s strategies
Commodity fund
Equity fund
Fixed income fund
Infrastructure fund
Other fund / Click here to enter text. / Click here 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 / Click here to enter text. / Click here to enter text. / Click here to enter text.
2nd most important instrument / Click here to enter text. / Click here to enter text. / Click here to enter text.
3rd most important instrument / Click here to enter text. / Click here to enter text. / Click here to enter text.
4th most important instrument / Click here to enter text. / Click here to enter text. / Click here to enter text.
5th most important instrument / Click here to enter text. / Click here to enter text. / Click here to enter text.
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 / Click here to enter text.
Asia and Pacific (other than Middle East) / Click here to enter text.
Europe (EEA) / Click here to enter text.
Europe (other than EEA) / Click here to enter text.
Middle East / Click here to enter text.
North America / Click here to enter text.
South America / Click here to enter text.
Supranational / multiple region / Click here to enter text.
Click here to enter text.
13 / 10 principal exposures of the AIF at the reporting date (most valuable in absolute terms):
Type of asset/liability / Name/description of the asset/liability / Value (as calculated under Article 3) / % of gross
market value / Long/short position / Counterparty (where relevant)
1st / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
2nd / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
3rd / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
4th / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
5th / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
6th / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
7th / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
8th / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
9th / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
10th / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
14 / 5 most important portfolio concentrations:
Type of asset/liability / Name/description of the market / Value of aggregate exposure (as calculated under Article 3) / % of gross
market value / Long/short position / Counterparty (where relevant)
1st / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
2nd / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
3rd / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
4th / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
5th / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text.
15 / Typical deal/position size
(Complete this question if you selected as your predominant AIF type ‘private equity fund’ in question 1) / [Select one]
Very small
Small
Lower mid-market
Upper mid-market
Large Cap
Mega Cap / Click here to enter text.
16 / Principal markets in which AIF trades
Please enter name and identifier (e.g. MIC code) where available, of market with greatest exposure / Click here to enter text.
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 / Click here to enter text.
17 / 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; look-through to the beneficial owners where known or possible) / Click here to enter text.
Breakdown of investor concentration by status of investors (estimate if no precise information available): / %
- Professional clients (as defined in Directive 2004/39/EC (MiFID):
- Retail investors: / Click here to enter text.

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: Click here to enter text.
Position: 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: / Click here to enter text.
2. / Provide details of investment restrictions, including the likely percentage of leverage applied to the fund: / Click here to enter text.
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.
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. / Click here to enter text.
4. / Names of key service providers: / Promoter: / Click here to enter text.
Ordinary shareholder: / Click here to enter text.
Administrator: / Click here to enter text.
Depositary: / Click here to enter text.
Investment manager/adviser: / Click here to enter text.
5. / Details of the following key features: / Auditor: / Click here to enter text.
Financial year-end of the fund: / Click here to enter text.
Currency of the fund: / Click here to enter text.
Open-ended or closed-end fund: / Click here to enter text.
Launch date (or expected launch): / Click here to enter text.
6. / What is the structure of the fund (e.g. single class/multi class or protected cell company)? / Click here to enter text.
7. / Name of key individual(s) upon whom the performance of the fund will depend, for example the investment director: / Click here to enter text.
8. / Details of how the fund intends to attract clients and the types of clients it intends to attract: / Click here to enter text.
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? / Click here to enter text.

The following documents must accompany this notification