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This document is the initial quarterly notice report filed with the SEC by CVI Investments, Inc. It outlines the institutional investment manager\'s filing details, including the reporting period and contact information.

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How to fill out form 13f-nt

01

Obtain the Form 13F-NT from the SEC's website.

02

Fill in the identifying information, including the name and address of the Institutional Investment Manager.

03

Specify the calendar year and the period of the report.

04

Include details about the assets under management that are reported, even if they do not exceed $100 million in Section 13(f) of the Exchange Act.

05

Certify that the information provided is accurate and complete.

06

Sign and date the form to validate it.

07

Submit the completed form electronically through the SEC's EDGAR system.

Who needs form 13f-nt?

01

Institutional investment managers who manage more than $100 million in securities that are required to be reported under Section 13(f) of the Investment Company Act.

02

Managers that have assets that are not needed to file regular Form 13F but still need to submit Form 13F-NT to indicate reporting status.

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What is form 13f-nt?

Form 13F-NT is a filing with the U.S. Securities and Exchange Commission (SEC) that must be submitted by institutional investment managers who manage over $100 million in securities. It reports information regarding securities owned by these managers.

Who is required to file form 13f-nt?

Institutional investment managers that exercise investment discretion over $100 million or more on behalf of others are required to file Form 13F-NT.

How to fill out form 13f-nt?

To fill out Form 13F-NT, investment managers must include their identifying information, such as name and address, and report the details of the securities they have investment discretion over, including the name of the issuer, class, and value of each security.

What is the purpose of form 13f-nt?

The purpose of Form 13F-NT is to provide the SEC with information about institutional investment managers' holdings to enhance market transparency and help monitor market activities.

What information must be reported on form 13f-nt?

Form 13F-NT requires the reporting of the names of issuers, classes of securities, number of shares owned, and the fair market value of the securities held by the institutional manager.

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