Cta-pr

TEMPLATE: DO NOT SEND TO NFA
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION

CFTC Form CTA-PR
OMB No.: 3038-XXXX

QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Instructions for Using the Form CTA-PR Template
READ THESE INSTRUCTIONS CAREFULLY BEFORE COMPLETING OR REVIEWING THE REPORTING
FORM. THE FAILURE TO ANSWER ALL QUESTIONS COMPLETELY AND ACCURATELY OR THE OMISSION
OF REQUIRED INFORMATION MAY SEVERELY IMPACT YOUR ABILITY TO OPERATE AS A COMMODITY
TRADING ADVISOR.
This document is not a reporting form. Do not send this document to NFA. It is a template that you may use
to assist in filing the electronic reporting form with the NFA at: http://www.nfa.futures.org.
You may fill out the template online and save and/or print it when you are finished or you can download the template
and/or print it and fill it out later.
DEFINED TERMS
Words that are underlined in this form are defined terms and have the meanings contained in the Definitions of Terms
section.
GENERAL
Read the Instructions and Questions Carefully
Please read the instructions and the questions in this Form CTA-PR carefully. A question that is answered
incorrectly because it was misread or misinterpreted can severely impact your ability to operate as a CTA.
In this Form CTA-PR, “you” means the CTA.
Call CFTC with Questions
If there is any question about whether particular information must be provided or about the manner in which particular
information must be provided, contact the CFTC for clarification.

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TEMPLATE: DO NOT SEND TO NFA
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Instructions for Using the Form CTA-PR Template
REPORTING INSTRUCTIONS
1. All CTAs Are Required to Complete and File the Form CTA-PR Quarterly
All CTAs are required to complete and file a Form CTA-PR for each Reporting Period during which they satisfy the
definition of CTA and offered at least one Trading Program.
2. Schedule B of this Form CTA-PR Is Only Required of Certain CTAs
Schedule B must be completed and filed by each CTA for every Reporting Period during which they satisfy the
definition of CTA and direct in excess of $150 million of Pool assets. Part 1 of Schedule B surveys basic
information about the reporting CTA. Part 2 of Schedule B asks for more specific information about Pool assets
that were directed by the CTA under the CTA’s Trading Program.
Any CTA that (i) is registered with the SEC as an Investment Adviser, and (ii) advised only Pools that satisfy the
definition of Private Fund during the Reporting Period will be deemed to have satisfied its Schedule B filing
requirements by completing and filing the applicable Sections 1 and 2 of Form PF for the Reporting Period in
question.
Limited Schedule B Filing Requirements
However, any CTA that is (i) registered with the SEC as an Investment Adviser, and (ii) advised any Pools that do
not satisfy the definition of Private Fund during the Reporting Period will be required to complete Part 2 of Schedule
B with respect to the Pool(s) that it advised during the Reporting Period that did not satisfy the definition of Private
Fund.
3. The Form CTA-PR Must Be Filed Electronically with NFA
All CTAs must file their Forms CTA-PR electronically using NFA’s EasyFile System. NFA’s EasyFile System can
be accessed through NFA’s website at www.nfa.futures.org. You will use the same logon and password for filing
your Form CTA-PR as you would for any other EasyFile filings. Questions regarding your NFA ID# or your use of
NFA’s EasyFile system should be directed to the NFA. The NFA’s contact information is available on its website.
4. All Figures Reported in U.S. Dollars
All questions asking for amounts or investments must be reported in U.S. dollars. Any amounts converted to U.S.
dollars must use the conversion rate in effect on the Reporting Date.
5. Use of U.S. GAAP
All financial information in this Report must be presented and computed in accordance with Generally Accepted
Accounting Principles consistently applied.

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TEMPLATE: DO NOT SEND TO NFA
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Instructions for Using the Form CTA-PR Template
REPORTING INSTRUCTIONS (cont’d)
6. Oath and Affirmation
This Form CTA-PR will not be accepted unless it is complete and contains an oath or affirmation that, to the best of
the knowledge and belief of the individual making the oath or affirmation, the information contained in the document
is accurate and complete; provided however, that is shall be unlawful for the individual to make such oath or
affirmation if the individual knows or should know that any of the information in this Form CTA-PR is not accurate
and complete.

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TEMPLATE: DO NOT SEND TO NFA
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Definitions of Terms for the Form CTA-PR Template
DEFINITIONS OF TERMS
Commodity Futures Trading Commission or CFTC: The term “Commodity Futures Trading Commission” or
“CFTC” refers to the United States Commodity Futures Trading Commission.
Commodity Pool or Pool: The term “Commodity Pool” or “Pool” has the same meaning as “commodity pool” as
defined in section 1a(10) of the Commodity Exchange Act.
Commodity Trading Advisor: The term “commodity trading advisor” or “CTA” has the same meaning as
“commodity trading adviser” as defined in section 1a(12) of the Commodity Exchange Act.
Direct: The term “Direct” as used in the context of trading commodity interest accounts, has the same meaning as
“direct” as defined in CFTC Rule 4.10(f).
Financial Institutions: The term “financial institution” means any of the following: (i) a bank or savings association,
in each case as defined in the Federal Deposit Insurance Act; (ii) a bank holding company or financial holding
company, in each case as defined in the Bank Holding Company Act of 1956; (iii) a savings and loan holding
company, as defined in the Home Owners’ Loan Act; (iv) a Federal credit union, State credit union or State-chartered
credit union, as those terms are defined in section 101 of the Federal Credit Union Act; or (v) a Farm Credit System
institution chartered and subject to the provisions of the Farm Credit Act of 1971; or (vi) an entity chartered or
otherwise organized outside the United States that engages in banking activities.
Form CTA-PR: The term “Form CTA-PR” refers to this Form CTA-PR.
GAAP: The term “Generally Accepted Accounting Principles” refers to U.S. GAAP.
Net Asset Value: The term “net asset value” or “NAV” has the same meaning as “net asset value” as defined in
Commission Rule 4.10(b).
National Futures Association or NFA: The term “National Futures Association” or “NFA” refers to the National
Futures Association, a registered futures association under Section 17 of the Commodity Exchange Act.
Negative OTE: The term “Negative OTE” means negative open trade equity.
Positive OTE: The term “Positive OTE” means positive open trade equity.
Reporting Date: The term “Reporting Date” means the last calendar day of the Reporting Period for which this Form
CTA-PR is required to be completed and filed. For example, the Reporting Date for the first calendar quarter of a
year is March 31; the Reporting Date for the second calendar quarter is June 30.
Reporting Period: The term “Reporting Period” means any of the individual calendar quarters (ending March 31,
June 30, September 30, and December 31).
Trading Program: The term “Trading Program has the same meaning as “trading program” as defined in CFTC Rule
4.10(g).
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TEMPLATE: DO NOT SEND TO NFA
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Form CTA-PR Template · Schedule A
INSTRUCTIONS FOR COMPLETING SCHEDULE A
All CTAs are required to complete and file a Form CTA-PR for each Reporting Period during which they satisfy the
definition of CTA and offered at least one Trading Program. Schedule A asks only for general survey information
about the CTA.
All information provided in this Schedule A should be accurate as of the Reporting Date.
PART 1 · INFORMATION ABOUT THE CTA
1. CTA INFORMATION
Provide the following general information concerning the CTA:
a. CTA’s Name:
b. CTA’s NFA ID#:
c. Person to contact concerning this Form CTA-PR:
d. Total number of Trading Programs offered by the CTA:
e. Total number of Trading Programs offered by the CTA under
which the CTA Directs Pool assets:
2. POOL ASSETS DIRECTED BY THE CTA
Provide the following information concerning the amount of assets Directed by the CTA:
a. Total assets Directed by CTA:
b. Total Pool assets Directed by CTA:

– This Completes Schedule A of Form CTA-PR –

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TEMPLATE: DO NOT SEND TO NFA
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Form CTA-PR Template · Schedule B
INSTRUCTIONS FOR COMPLETING SCHEDULE B
Schedule B must be completed and filed by each CTA for every Reporting Period during which they satisfy the
definition of CTA and direct in excess of $150 million of Pool assets. Schedule B surveys basic information about the
CTA’s Trading Program(s) and asks for more specific position information concerning the Pool assets that were
directed by the CTA under its Trading Program(s).
Any CTA that (i) is registered with the SEC as an Investment Adviser, and (ii) advised only Pools that satisfy the
definition of Private Fund during the Reporting Period will be deemed to have satisfied its Schedule B filing
requirements by completing and filing the applicable Sections 1 and 2 of Form PF for the Reporting Period in
question.
Limited Schedule B Filing Requirements
However, any CTA that is (i) registered with the SEC as an Investment Adviser, and (ii) advised any Pools that do not
satisfy the definition of Private Fund during the Reporting Period will be required to complete Part 2 of Schedule B
with respect to the Pool(s) that it advised during the Reporting Period that did not satisfy the definition of Private
Fund.
All information provided in this Schedule B should be accurate as of the Reporting Date.
REMINDER: The CTA must complete and file a separate Schedule B for each Trading Program under which the CTA
Directed Pool assets during the most recent Reporting Period.

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TEMPLATE: DO NOT SEND TO NFA
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Form CTA-PR Template · Schedule B
INFORMATION ABOUT THE CTA’S TRADING PROGRAM
1. TRADING PROGRAM INFORMATION
Provide the following general information concerning the Trading Program:
a. Name of the Trading Program:
b. Date of inception of Trading Program:
c. Total assets Directed by CTA under the Trading Program:
d. Total Pool assets Directed by CTA under the Trading Program:
e. Provide the approximate percentage of the total assets Directed by the CTA under the Trading Program that
has been allocated to the CTA from other CTAs:
† 0%
† 51-75%
† 1-10%
† 76-99%
† 10-25%
† 100%
† 26-50%
f. Provide the approximate percentage of the total assets Directed by the CTA under the Trading Program that the
CTA allocates to other CTAs:
†
†
†
†

0%
1-10%
10-25%
26-50%

† 51-75%
† 76-99%
† 100%

2. POOL INFORMATION
Provide the following general information for each Pool whose assets are Directed by the CTA under the Trading
Program:
a. Name of the Pool:
b. NFA ID# of the Pool:
c. Address of the Pool:
d. Telephone number of the Pool
e. Starting date of the relationship with the Pool:
f. Do you invest client funds in the Pool:

Yes †

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No †

TEMPLATE: DO NOT SEND TO NFA
U.S. COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Form CTA-PR Template · Schedule B
INFORMATION ABOUT THE CTA’S TRADING PROGRAM (cont’d)
2. POOL INFORMATION (cont’d)
g. Approximate percent of the Pool’s funds that are Directed by the CTA under the Trading Program:
†
†
†
†

0%
1-10%
10-25%
26-50%

† 51-75%
† 76-99%
† 100%

3. THIRD PARTY ADMINISTRATORS
Provide the following information concerning any third party administrator(s) used by the CTA for the Trading
Program:
a. Does the CTA use third party administrators for the Trading Program?

Yes †

No †

If “Yes,” provide the following information for each third party administrator:
i. Name of the administrator:
ii. NFA ID# of administrator:
iii. Address of the administrator:
iv. Telephone number of the administrator:
v. Starting date of the relationship with the administrator:
vi. Services performed by the administrator:
Calculation of Trading Program performance †

Other ______________________________: †

Maintenance of the CTA’s books and records: †
4. STATEMENT OF CHANGES CONCERNING
Provide the following information concerning the Trading Program’s activity during the Reporting Period:
a. Assets Directed under Trading Program at the beginning of the Reporting Period:
b. Additions to the Trading Program during the Reporting Period:
c. Withdrawals from the Trading Program during the Reporting Period:
d. Gains (Losses) during the Reporting Period:
e. Fees deducted or earned during the Reporting Period:
f. Assets Directed under Trading Program at the end of the Reporting Period:
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TEMPLATE: DO NOT SEND TO NFA
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Form CTA-PR Template · Schedule B
INFORMATION ABOUT THE CTA’S TRADING PROGRAM (cont’d)
5. TRADING PROGRAM’S MONTHLY RATES OR RETURN
Provide the Trading Program’s monthly rate of return for each month that the Trading Program has operated.
Enter “NT” to indicate that the Trading Program did not trade during a particular month. Provide the Trading
Program’s annual rate of return for the appropriate year in the row marked “Annual.”
2011

2010

2009

2008

Jan.
Feb.
March
June
July
August
Sept.
Oct.
Nov.
Dec.
ANNUAL

9

2007

2006

2005

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COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Form CTA-PR Template · Schedule B
INFORMATION ABOUT THE CTA’S TRADING PROGRAM (cont’d)
6. TRADING PROGRAM SCHEDULE OF INVESTMENTS
Provide the Trading Program’s investments for the total Pool assets Directed by the CTA under the Trading
Program in each of the subcategories listed under the following seven headings: (1) Cash; (2) Equities; (3)
Alternative Investments; (4) Fixed Income; (5) Derivatives; (6) Options; and (7) Funds. First, determine how the
Trading Program’s investments should be allocated among each of these seven categories. Once you have
determined how the Trading Program’s investments should be allocated, enter the dollar value of the Trading
Program’s total investment in each applicable category on the top, boldfaced line. For example, under the
“Cash” heading, the Trading Program’s total investment should be listed on the line reading “Total Cash.” After
the top, boldfaced line is completed, proceed to the subcategories. For each subcategory, determine whether
the Trading Program has investments that equal or exceed 5% of the total Pool assets Directed by the CTA
under the Trading Program. If so, provide the dollar value of each such investment in the appropriate
subcategory. . If the dollar value of any investment in a subcategory equals or exceeds 5% of the total Pool
assets Directed by the CTA under the Trading Program, you must itemize the investments in that subcategory.
CASH
Total Cash
At Carrying Broker
EQUITIES
Total Listed Equities

Long

Stocks
a. Energy and Utilities
b. Technology
c. Media
d. Telecommunication
e. Healthcare
f.

Consumer Services

g. Business Services
h. Issued by Financial Institutions
i.

Consumer Goods

j.

Industrial Materials

Exchange Traded Funds
American Deposit Receipts
10

Short

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COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Form CTA-PR Template · Schedule B
INFORMATION ABOUT THE CTA’S TRADING PROGRAM (cont’d)
EQUITIES
Other

Long

Short

Long

Short

Total Unlisted Equities
Unlisted Equities Issued by Financial Institutions
ALTERNATIVE INVESTMENTS
Total Alternative Investments
Real Estate
a. Commercial
b. Residential
Private Equity
Venture Capital
Forex
Spot
a. Total Metals
a. Gold
b. Total Energy
a. Crude oil
b. Natural gas
c. Power
c. Other
Loans to Affiliates
Promissory Notes
Physicals
a. Total Metals
a. Gold
b. Agriculture
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COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Form CTA-PR Template · Schedule B
INFORMATION ABOUT THE CTA’S TRADING PROGRAM (cont’d)
ALTERNATIVE INVESTMENTS
c. Total Energy

Long

Short

Long

Short

a. Crude oil
b. Natural gas
c. Power
Other
FIXED INCOME
Total Fixed Income
Notes, Bonds and Bills
a. Corporate
I.

Investment grade

II.

Non-investment grade

b. Municipal
c. Government
I.

U.S. Treasury securities

II.

Agency securities

III.

Foreign (G10 countries)

IV.

Foreign (all other)

d. Govn’t Sponsored
e. Convertible
I.

Investment grade

II.

Non-investment grade

Certificates of Deposit
a. U.S.
b. Foreign

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COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Form CTA-PR Template · Schedule B
INFORMATION ABOUT THE CTA’S TRADING PROGRAM (cont’d)
FIXED INCOME
Asset Backed Securities

Long

a. Mortgage Backed Securities
I.

Commercial Securitizations
Senior or higher
Mezzanine
Junior/Equity

II.

Commercial Resecuritizations
Senior or higher
Mezzanine
Junior/Equity

III.

Residential Securitizations
Senior or higher
Mezzanine
Junior/Equity

IV.

Residential Resecuritizations
Senior or higher
Mezzanine
Junior/Equity

V.

Agency Securitizations
Senior or higher
Mezzanine
Junior/Equity

VI.

Agency Resecuritizations
Senior or higher
Mezzanine
Junior/Equity

b. CDO Securitizations
Senior or higher
Mezzanine
Junior/Equity

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Short

TEMPLATE: DO NOT SEND TO NFA
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Form CTA-PR Template · Schedule B
INFORMATION ABOUT THE CTA’S TRADING PROGRAM (cont’d)
FIXED INCOME
Asset Backed Securities (cont’d)
c. CDO Securitizations
Senior or higher
Mezzanine
Junior/Equity

Long

d. CDO Resecuritizations
Senior or higher
Mezzanine
Junior/Equity
e. CLOs Securitizations
Senior or higher
Mezzanine
Junior/Equity
f.

CLO Resecuritizations
Senior or higher
Mezzanine
Junior/Equity

g. Credit Card Securitizations
Senior or higher
Mezzanine
Junior/Equity
h. Credit Card Resecuritizations
Senior or higher
Mezzanine
Junior/Equity
i.

Auto-Loan Securitizations
Senior or higher
Mezzanine
Junior/Equity

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Short

TEMPLATE: DO NOT SEND TO NFA
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Form CTA-PR Template · Schedule B
INFORMATION ABOUT THE CTA’S TRADING PROGRAM (cont’d)
FIXED INCOME
Asset Backed Securities (cont’d)
j. Auto-Loan Resecuritizations
Senior or higher
Mezzanine
Junior/Equity

Long

Short

k. Other
Senior or higher
Mezzanine
Junior/Equity
Repos
Reverse Repos
DERIVATIVES

Positive OTE

Total Derivatives
Futures
a. Indices
I.

Equity

II.

Commodity

b. Metals
I.

Gold

c. Agriculture
d. Energy
I.

Crude oil

II.

Natural gas

III.

Power

e. Interest Rate
f.

Currency

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Negative OTE

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COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Form CTA-PR Template · Schedule B
INFORMATION ABOUT THE CTA’S TRADING PROGRAM (cont’d)
DERIVATIVES
Futures
g. Related to Financial Institutions

Positive OTE

Negative OTE

h. Other
Forwards
Swaps
a. Interest Rate Swap
b. Equity/Index Swap
c. Dividend Swap
d. Currency Swap
e. Variance Swap
f.

Credit Default Swap
a. Single name CDS
i. Related to Financial Institutions
b. Index CDS
c. Exotic CDS

g. OTC Swap
a. Related to Financial Institutions
h. Total Return Swap
i.

Other

OPTIONS

Long Option Value

Total Options
Futures
a. Indices
I.

Equity

II.

Commodity
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Short Option Value

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COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
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Form CTA-PR Template · Schedule B
INFORMATION ABOUT THE CTA’S TRADING PROGRAM (cont’d)
OPTIONS
Futures

Long Option Value

Short Option Value

b. Metals
c. Agriculture
d. Energy
e. Interest Rate
f.

Currency

g. Related to Financial Institutions
h. Other
Stocks
a. Related to Financial Institutions
Customized/OTC
Physicals
a. Metals
a. Gold
b. Agriculture
c. Currency
d. Energy
a. Crude oil
b. Natural gas
c. Power
e. Other
FUNDS

Long

Total Funds
Mutual Fund

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COMMODITY FUTURES TRADING COMMISSION
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Form CTA-PR Template · Schedule B
INFORMATION ABOUT THE CTA’S TRADING PROGRAM (cont’d)
FUNDS

Long

a. U.S.
b. Foreign
Hedge Fund
Equity Fund
Money Market Fund
Private Equity Fund
REIT
Other

ITEMIZATION
a. If the dollar value of any investment in any subcategory under the heading “Equities,” “Alternative
Investments” or “Fixed Income” equals or exceeds 5% of the total Pool assets Directed by the CTA under the
Trading Program, itemize the investment(s) in the table below.
Subheading

Description of
Investment

Long/
Short

Cost

Fair Value

Year-to-Date
Gain (Loss)

b. If the dollar value of any investment in any subcategory under the heading “Derivatives” or “Options” equals or
exceeds 5% of the total Pool assets Directed by the CTA under the Trading Program, itemize the
investment(s) in the table below.
Subheading

Description of
Investment

Long/
Short

OTE

Counterparty

Year-to-Date
Gain (Loss)

c. If the dollar value of any investment in any subcategory under the heading “Funds” equals or exceeds 5% of
the total Pool assets Directed by the CTA under the Trading Program, itemize the investment(s) in the table
below.
Subheading

Fund Name

Fund Type

Fair Value

– This Completes Schedule B of Form CTA-PR –
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Year-to-Date
Gain (Loss)

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COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION
QUARTERLY PROGRAM REPORT FOR COMMODITY TRADING ADVISORS

Form CTA-PR Template · Oath
OATH
BY FILING THIS Form CTA-PR, THE UNDERSIGNED AGREES THAT THE ANSWERS AND INFORMATION
PROVIDED HEREIN are complete and accurate, and are not misleading in any material respect to the best of the
undersigned’s knowledge and belief. Furthermore, by filing this Form CTA-PR, the undersigned agrees that he or
she knows that it is unlawful to sign this Form CTA-PR if he or she knows or should know that any of the answers
and information provided herein is not accurate and complete.
Name of the individual signing this Form CTA-PR on behalf of the CTA:
Capacity in which the above is signing on behalf of the CTA:

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