Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (n-q)
24 10월 2013 - 2:47AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number
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811-4871
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General California Municipal Money Market Fund
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(Exact name of Registrant as specified in charter)
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c/o The Dreyfus Corporation
200 Park Avenue
New York, New York 10166
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(Address of principal executive offices) (Zip code)
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Janette E. Farragher, Esq.
200 Park Avenue
New York, New York 10166
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(Name and address of agent for service)
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Registrant's telephone number, including area code:
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(212) 922-6000
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Date of fiscal year end:
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11/30
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Date of reporting period:
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8/31/13
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FORM N-Q
Item 1. Schedule of Investments.
STATEMENT OF INVESTMENTS
General California Municipal Money Market Fund
August 31, 2013 (Unaudited)
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Coupon
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Maturity
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Principal
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Short-Term Investments--99.0%
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Rate (%)
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Date
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Amount ($)
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Value ($)
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California
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ABAG Finance Authority for
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Nonprofit Corporations,
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Revenue (California Alumni
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Association Project) (LOC;
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Bank of America)
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0.11
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9/7/13
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3,030,000
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a
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3,030,000
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Alameda County Industrial
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Development Authority, Revenue
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(Plastikon Industries, Inc.
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Project) (LOC; California
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State Teachers Retirement
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System)
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0.19
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9/7/13
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2,700,000
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a
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2,700,000
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Branch Banking and Trust Co.
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Municipal Trust (Series 2000)
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(California, GO Notes,
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Refunding) (Liquidity
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Facility; Branch Banking and
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Trust Co. and LOC; Branch
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Banking and Trust Co.)
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0.10
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9/7/13
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6,000,000 a,b,c
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6,000,000
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California Community College
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Financing Authority, TRAN
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(Note Participations)
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2.00
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12/31/13
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4,200,000
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4,223,670
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California Economic Development
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Financing Authority, IDR (Volk
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Enterprises, Inc. Project)
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(LOC; JPMorgan Chase Bank)
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0.13
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9/7/13
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835,000
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a
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835,000
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California Enterprise Development
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Authority, IDR (Le Chef Bakery
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Project) (LOC; U.S. Bank NA)
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0.14
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9/7/13
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3,655,000
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a
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3,655,000
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California Health Facilities
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Financing Authority, Revenue,
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CP (Kaiser Permanente)
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0.18
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11/19/13
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10,500,000
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10,500,000
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California Infrastructure and
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Economic Development Bank, IDR
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(Bay Photo, Inc. Project)
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(LOC; Comerica Bank)
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0.16
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9/7/13
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4,400,000
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a
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4,400,000
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California Infrastructure and
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Economic Development Bank, IDR
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(Bonny Doon Winery, Inc.
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Project) (LOC; Comerica Bank)
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0.16
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9/7/13
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2,650,000
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a
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2,650,000
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California Infrastructure and
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Economic Development Bank, IDR
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(Chaparral Property Project)
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(LOC; Comerica Bank)
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0.16
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9/7/13
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1,000,000
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a
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1,000,000
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California Infrastructure and
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Economic Development Bank, IDR
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(G&G Specialty Foods, Inc.
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Project) (LOC; Comerica Bank)
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0.16
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9/7/13
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1,097,050
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a
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1,097,050
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California Infrastructure and
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Economic Development Bank, IDR
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(International Raisins, Inc.
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Project) (LOC; M&T Trust)
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0.31
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9/7/13
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3,750,000
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a
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3,750,000
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California Infrastructure and
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Economic Development Bank, IDR
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(Starter and Alternator
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Exchange, Inc. Project) (LOC;
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U.S. Bank NA)
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0.11
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9/7/13
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5,000,000
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a
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5,000,000
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California Infrastructure and
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Economic Development Bank, IDR
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(Studio Moulding, Inc.
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Project) (LOC; Comerica Bank)
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0.16
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9/7/13
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2,370,000
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a
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2,370,000
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California Infrastructure and
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Economic Development Bank, IDR
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(Surtec, Inc. Project) (LOC;
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Wells Fargo Bank)
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0.16
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9/7/13
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1,650,000
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a
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1,650,000
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California Infrastructure and
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Economic Development Bank,
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Revenue, Refunding (Pacific
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Gas and Electric Company)
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(LOC; Sumitomo Mitsui Bank
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Corporation)
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0.03
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9/3/13
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2,210,000
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a
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2,210,000
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California Municipal Finance
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Authority, Recovery Zone
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Facility Revenue (Chevron
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U.S.A. Inc. Project)
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0.03
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9/3/13
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1,200,000
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a
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1,200,000
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California Pollution Control
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Financing Authority, PCR,
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Refunding (Pacific Gas and
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Electric Company) (LOC;
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JPMorgan Chase Bank)
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0.03
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9/3/13
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7,000,000
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a
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7,000,000
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California Pollution Control
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Financing Authority, SWDR (Ag
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Resources, III LLC Project)
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(LOC; CoBank ACB)
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0.13
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9/7/13
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2,780,000
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a
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2,780,000
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California Pollution Control
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Financing Authority, SWDR
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(Amador Valley Industries, LLC
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Project) (LOC; Wells Fargo
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Bank)
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0.11
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9/7/13
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1,695,000
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a
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1,695,000
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California Pollution Control
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Financing Authority, SWDR (Bay
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Counties Waste Services, Inc.
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Project) (LOC; Comerica Bank)
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0.13
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9/7/13
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4,000,000
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a
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4,000,000
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California Pollution Control
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Financing Authority, SWDR
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(Blue Line Transfer, Inc.
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Project) (LOC; Union Bank NA)
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0.12
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9/7/13
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3,280,000
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a
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3,280,000
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California Pollution Control
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Financing Authority, SWDR
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(Blue Line Transfer, Inc.
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Project) (LOC; Union Bank NA)
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0.12
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9/7/13
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1,600,000
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a
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1,600,000
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California Pollution Control
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Financing Authority, SWDR
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(Desert Properties, LLC
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Project) (LOC; Union Bank NA)
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0.12
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9/7/13
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3,100,000
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a
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3,100,000
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California Pollution Control
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Financing Authority, SWDR
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(GreenWaste Recovery, Inc.
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Project) (LOC; Comerica Bank)
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0.13
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9/7/13
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2,930,000
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a
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2,930,000
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California Pollution Control
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Financing Authority, SWDR
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(GreenWaste Recovery, Inc.
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Project) (LOC; Comerica Bank)
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0.13
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9/7/13
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270,000
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a
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270,000
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California Pollution Control
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Financing Authority, SWDR
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(Mid-Valley Disposal Project)
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(LOC; Union Bank NA)
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0.12
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9/7/13
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2,490,000
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a
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2,490,000
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California Pollution Control
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Financing Authority, SWDR
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(Mottra Corporation Project)
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(LOC; Union Bank NA)
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0.12
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9/7/13
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445,000
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a
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445,000
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California Pollution Control
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Financing Authority, SWDR
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(Northern Recycling and Waste
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Services, LLC Project) (LOC;
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Union Bank NA)
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0.12
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9/7/13
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1,630,000
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a
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1,630,000
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California Pollution Control
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Financing Authority, SWDR
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(Solid Wastes of Willits, Inc.
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Project) (LOC; Union Bank NA)
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0.12
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9/7/13
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1,110,000
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a
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1,110,000
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California Pollution Control
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Financing Authority, SWDR
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(Solid Wastes of Willits, Inc.
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Project) (LOC; Union Bank NA)
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0.12
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9/7/13
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3,285,000
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a
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3,285,000
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California Pollution Control
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Financing Authority, SWDR
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(South Lake Refuse Company,
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LLC Project) (LOC; Union Bank
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NA)
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0.12
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9/7/13
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1,525,000
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a
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1,525,000
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California Pollution Control
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Financing Authority, SWDR
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(Upper Valley Disposal Service
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Project) (LOC; Union Bank NA)
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0.12
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9/7/13
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1,405,000
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a
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1,405,000
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California Pollution Control
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Financing Authority, SWDR
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(Valley Vista Services, Inc.
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Project) (LOC; Comerica Bank)
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0.13
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9/7/13
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3,800,000
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a
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3,800,000
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California School Cash Reserve
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Program Authority, Revenue
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2.00
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10/1/13
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4,000,000
|
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4,005,917
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California School Cash Reserve
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Program Authority, Revenue
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2.00
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10/1/13
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1,000,000
|
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1,001,437
|
California School Cash Reserve
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Program Authority, Revenue
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2.00
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10/1/13
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8,300,000
|
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8,312,104
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California School Cash Reserve
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Program Authority, Revenue
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2.00
|
12/31/13
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1,400,000
|
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1,408,183
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California School Cash Reserve
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Program Authority, Revenue
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2.00
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4/1/14
|
3,700,000
|
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3,738,556
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California Statewide Communities
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Development Authority, MFHR
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(Foxwood Apartments Project)
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(LOC; Wells Fargo Bank)
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0.08
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9/7/13
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4,150,000
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a
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4,150,000
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California Statewide Communities
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Development Authority, MFHR
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(Olen Jones Senior Apartments
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Project) (LOC; Citibank NA)
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0.14
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9/7/13
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760,000
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a
|
760,000
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Concord,
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MFHR, Refunding (Maplewood and
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Golden Glen Apartments
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Project) (LOC; Citibank NA)
|
0.11
|
9/7/13
|
2,925,000
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a
|
2,925,000
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Contra Costa County,
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MFHR (Camara Circle
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Apartments) (LOC; Citibank NA)
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0.11
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9/7/13
|
1,675,000
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a
|
1,675,000
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Contra Costa County,
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MFHR (Pinecrest Apartments)
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(LOC; Citibank NA)
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0.11
|
9/7/13
|
100,000
|
a
|
100,000
|
Desert Sands Unified School
|
|
|
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|
|
District, GO Notes, TRAN
|
1.50
|
1/31/14
|
1,750,000
|
|
1,759,041
|
Deutsche Bank Spears/Lifers Trust
|
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(Series DBE-1013) (Fontana
|
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Public Financing Authority,
|
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Tax Allocation Revenue (North
|
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Fontana Redevelopment
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Project)) (Liquidity Facility;
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Deutsche Bank AG and LOC;
|
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Deutsche Bank AG)
|
0.19
|
9/7/13
|
3,800,000
|
a,b,c
|
3,800,000
|
Deutsche Bank Spears/Lifers Trust
|
|
|
|
|
|
(Series DBE-1083) (California
|
|
|
|
|
|
Health Facilities Financing
|
|
|
|
|
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Authority, Revenue (Catholic
|
|
|
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|
|
Healthcare West)) (Liquidity
|
|
|
|
|
|
Facility; Deutsche Bank AG and
|
|
|
|
|
|
LOC; Deutsche Bank AG)
|
0.12
|
9/7/13
|
10,000,000
|
a,b,c
|
10,000,000
|
East Bay Municipal Utility
|
|
|
|
|
|
District, Water System
|
|
|
|
|
|
Revenue, Refunding (Liquidity
|
|
|
|
|
|
Facility; Bank of America)
|
0.06
|
9/7/13
|
7,175,000
|
a
|
7,175,000
|
Galt Joint Union High School
|
|
|
|
|
|
District, GO Notes, TRAN
|
2.00
|
9/3/13
|
1,350,000
|
|
1,350,121
|
Indio,
|
|
|
|
|
|
Multifamily Housing
|
|
|
|
|
|
Subordinate Revenue (Olive
|
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|
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|
|
Court Apartments) (LOC;
|
|
|
|
|
|
Citibank NA)
|
0.19
|
9/7/13
|
500,000
|
a
|
500,000
|
Los Angeles County Schools Pooled
|
|
|
|
|
|
Financing Program, Pooled
|
|
|
|
|
|
TRAN, Participation
|
|
|
|
|
|
Certificates (Evidencing and
|
|
|
|
|
|
Representing Proportionate and
|
|
|
|
|
|
Undivided Interests of the
|
|
|
|
|
|
Owners of Certain Los Angeles
|
|
|
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|
County School and Community
|
|
|
|
|
|
College Districts)
|
2.00
|
11/29/13
|
1,000,000
|
|
1,004,294
|
Los Angeles County Schools Pooled
|
|
|
|
|
|
Financing Program, Pooled
|
|
|
|
|
|
TRAN, Participation
|
|
|
|
|
|
Certificates (Evidencing and
|
|
|
|
|
|
Representing Proportionate and
|
|
|
|
|
|
Undivided Interests of the
|
|
|
|
|
|
Owners of Certain Los Angeles
|
|
|
|
|
|
County School and Community
|
|
|
|
|
|
College Districts)
|
2.00
|
12/31/13
|
2,800,000
|
|
2,815,047
|
Los Angeles County Schools Pooled
|
|
|
|
|
|
Financing Program, Pooled
|
|
|
|
|
|
TRAN, Participation
|
|
|
|
|
|
Certificates (Evidencing and
|
|
|
|
|
|
Representing Proportionate and
|
|
|
|
|
|
Undivided Interests of the
|
|
|
|
|
|
Owners of Certain Los Angeles
|
|
|
|
|
|
County School and Community
|
|
|
|
|
|
College Districts)
|
2.00
|
12/31/13
|
2,200,000
|
|
2,212,710
|
Manteca Redevelopment Agency,
|
|
|
|
|
|
Subordinate Tax Allocation
|
|
|
|
|
|
Revenue, Refunding (Amended
|
|
|
|
|
|
Merged Project Area) (LOC;
|
|
|
|
|
|
State Street Bank and Trust
|
|
|
|
|
|
Co.)
|
0.05
|
9/3/13
|
7,750,000
|
a
|
7,750,000
|
Panama-Buena Vista Union School
|
|
|
|
|
|
District, GO Notes, TRAN
|
1.00
|
10/1/13
|
2,900,000
|
|
2,901,770
|
Pittsburg Redevelopment Agency,
|
|
|
|
|
|
Subordinate Tax Allocation
|
|
|
|
|
|
Revenue (Los Medanos Community
|
|
|
|
|
|
Development Project)
|
|
|
|
|
|
|
|
|
|
|
|
(Liquidity Facility:
|
|
|
|
|
|
California State Teachers
|
|
|
|
|
|
Retirement System and State
|
|
|
|
|
|
Street Bank and Trust Co.)
|
0.05
|
9/3/13
|
20,000,000
|
a
|
20,000,000
|
Ravenswood City School District,
|
|
|
|
|
|
GO Notes, TRAN
|
1.00
|
3/3/14
|
1,000,000
|
|
1,002,238
|
San Bernardino County Housing
|
|
|
|
|
|
Authority, MFHR (Indian Knoll
|
|
|
|
|
|
Apartments Project) (LOC; Bank
|
|
|
|
|
|
of America)
|
0.29
|
9/7/13
|
3,310,000
|
a
|
3,310,000
|
San Bernardino County Housing
|
|
|
|
|
|
Authority, MFHR (Reche Canyon
|
|
|
|
|
|
Apartments Project) (LOC; Bank
|
|
|
|
|
|
of America)
|
0.29
|
9/7/13
|
2,965,000
|
a
|
2,965,000
|
San Diego County and San Diego
|
|
|
|
|
|
County School Districts, GO
|
|
|
|
|
|
Notes, Tax and Revenue
|
|
|
|
|
|
Anticipation Note Program
|
|
|
|
|
|
(Note Participations)
|
2.00
|
4/30/14
|
2,025,000
|
|
2,048,757
|
San Diego Water Authority,
|
|
|
|
|
|
CP (Liquidity Facility;
|
|
|
|
|
|
JPMorgan Chase Bank)
|
0.14
|
10/3/13
|
2,000,000
|
|
2,000,000
|
San Francisco City and County
|
|
|
|
|
|
Redevelopment Agency, MFHR
|
|
|
|
|
|
(Namiki Apartments) (LOC;
|
|
|
|
|
|
Citibank NA)
|
0.13
|
9/7/13
|
1,500,000
|
a
|
1,500,000
|
Westminster Redevelopment Agency,
|
|
|
|
|
|
MFHR (Brookhurst Royale Senior
|
|
|
|
|
|
Assisted Living Project) (LOC;
|
|
|
|
|
|
Union Bank NA)
|
0.20
|
9/7/13
|
235,000
|
a
|
235,000
|
|
Total Investments
(cost $201,020,895)
|
|
|
99.0
|
%
|
201,020,895
|
Cash and Receivables (Net)
|
|
|
1.0
|
%
|
2,106,355
|
Net Assets
|
|
|
100.0
|
%
|
203,127,250
|
a
|
Variable rate demand note - rate shown is the interest rate in effect at August 31, 2013. Maturity date represents the next demand date, or the ultimate maturity date if earlier.
|
b
|
Securities exempt from registration pursuant to Rule 144A under the Securities Act of 1933. These securities may be resold in transactions exempt from registration, normally to qualified institutional buyers. At August 31, 2013, these securities amounted to $19,800,000 or 9.7% of net assets.
|
c
|
The fund does not directly own the municipal security indicated; the fund owns an interest in a special purpose entity that, in turn, owns the underlying municipal security. The special purpose entity permits the fund to own interests in underlying assets, but in a manner structured to provide certain advantages not inherent in the underlying bonds (e.g., enhanced liquidity, yields linked to short-term rates).
|
At August 31, 2013, the cost of investments for federal income tax purposes was substantially the same as the cost for financial reporting purposes.
|
|
|
|
Summary of Abbreviations
|
|
|
ABAG
|
Association of Bay Area Governments
|
ACA
|
American Capital Access
|
AGC
|
ACE Guaranty Corporation
|
AGIC
|
Asset Guaranty Insurance Company
|
AMBAC
|
American Municipal Bond Assurance Corporation
|
ARRN
|
Adjustable Rate Receipt Notes
|
BAN
|
Bond Anticipation Notes
|
BPA
|
Bond Purchase Agreement
|
CIFG
|
CDC Ixis Financial Guaranty
|
COP
|
Certificate of Participation
|
CP
|
Commercial Paper
|
DRIVERS
|
Derivative Inverse Tax-Exempt Receipts
|
EDR
|
Economic Development Revenue
|
EIR
|
Environmental Improvement Revenue
|
FGIC
|
Financial Guaranty Insurance Company
|
FHA
|
Federal Housing Administration
|
FHLB
|
Federal Home Loan Bank
|
FHLMC
|
Federal Home Loan Mortgage Corporation
|
FNMA
|
Federal National Mortgage Association
|
GAN
|
Grant Anticipation Notes
|
|
|
|
|
GIC
|
Guaranteed Investment Contract
|
GNMA
|
Government National Mortgage Association
|
GO
|
General Obligation
|
HR
|
Hospital Revenue
|
IDB
|
Industrial Development Board
|
IDC
|
Industrial Development Corporation
|
IDR
|
Industrial Development Revenue
|
LIFERS
|
Long Inverse Floating Exempt Receipts
|
LOC
|
Letter of Credit
|
LOR
|
Limited Obligation Revenue
|
LR
|
Lease Revenue
|
MERLOTS
|
Municipal Exempt Receipts Liquidity Option Tender
|
MFHR
|
Multi-Family Housing Revenue
|
MFMR
|
Multi-Family Mortgage Revenue
|
PCR
|
Pollution Control Revenue
|
P-FLOATS
|
Puttable Floating Option Tax-Exempts Receipts
|
PILOT
|
Payment in Lieu of Taxes
|
PUTTERS
|
Puttable Tax-Exempt Receipts
|
RAC
|
Revenue Anticipation Certificates
|
RAN
|
Revenue Anticipation Notes
|
RAW
|
Revenue Anticipation Warrants
|
ROCS
|
Reset Option Certificates
|
RRR
|
Resources Recovery Revenue
|
SAAN
|
State Aid Anticipation Notes
|
SBPA
|
Standby Bond Purchase Agreement
|
SFHR
|
Single Family Housing Revenue
|
SFMR
|
Single Family Mortgage Revenue
|
SONYMA
|
State of New York Mortgage Agency
|
SPEARS
|
Short Puttable Exempt Adjustable Receipts
|
SWDR
|
Solid Waste Disposal Revenue
|
TAN
|
Tax Anticipation Notes
|
TAW
|
Tax Anticipation Warrants
|
TRAN
|
Tax and Revenue Anticipation Notes
|
XLCA
|
XL Capital Assurance
|
The following is a summary of the inputs used as of August 31, 2013 in valuing the fund's investments:
|
|
Valuation Inputs
|
Short-Term Investments ($)+
|
Level 1 - Unadjusted Quoted Prices
|
-
|
Level 2 - Other Significant Observable Inputs
|
201,020,895
|
Level 3 - Significant Unobservable Inputs
|
-
|
Total
|
201,020,895
|
+ See Statement of Investments for additional detailed categorizations.
The Financial Accounting Standards Board (“FASB”) Accounting Standards Codification (“ASC”) is the exclusive reference of authoritative U.S. generally accepted accounting principles (“GAAP”)
recognized by the FASB to be applied by nongovernmental entities. Rules and interpretive releases of the Securities and Exchange
Commission (“SEC”) under authority of federal laws are also sources
of authoritative GAAP for SEC registrants. The fund's financial statements are prepared in accordance with GAAP, which may require the use of management estimates and assumptions. Actual results could differ from those estimates.
Portfolio valuation: Investments in securities are valued at amortized cost in accordance with Rule 2a-7 under the Act. If amortized cost is determined not to approximate market value, the fair value of the portfolio securities will be determined by procedures established by and under the general supervision of the Board of Trustees.
The fair value of a financial instrument is the amount that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date (i.e. the exit price). GAAP establishes a fair value hierarchy that prioritizes the inputs of valuation techniques used to measure fair value. This hierarchy gives the highest priority to unadjusted quoted prices in active markets for identical assets or liabilities (Level 1 measurements) and the lowest priority to unobservable inputs (Level 3 measurements).
Additionally, GAAP provides guidance on determining whether the volume and activity in a market has decreased significantly and whether such a decrease in activity results in transactions that are not orderly. GAAP requires enhanced disclosures around valuation inputs and techniques used during annual and interim periods.
Various inputs are used in determining the value of the fund’s investments
relating to fair value measurements. These inputs are summarized in the three broad levels listed below:
Level 1—unadjusted quoted prices in active markets for
identical investments.
Level 2—other significant observable inputs (including quoted
prices for similar investments, interest rates, prepayment speeds, credit risk, etc.).
Level 3—significant unobservable inputs (including the fund’s
own assumptions in determining the fair value of investments).
The inputs or methodology used for valuing securities are not necessarily an indication of the risk associated with investing in those securities. For example, money market securities are valued using amortized cost, in accordance with rules under the Act. Generally, amortized cost approximates the current fair value of a security, but since the value is not obtained from a quoted price in an active market, such securities are reflected as Level 2.
Additional investment related disclosures are hereby incorporated by reference to the annual and semi-annual reports previously filed with the Securities and Exchange Commission on Form N-CSR.
Item 2. Controls and Procedures.
(a) The Registrant's principal executive and principal financial officers have concluded, based on their evaluation of the Registrant's disclosure controls and procedures as of a date within 90 days of the filing date of this report, that the Registrant's disclosure controls and procedures are reasonably designed to ensure that information required to be disclosed by the Registrant on Form N-Q is recorded, processed, summarized and reported within the required time periods and that information required to be disclosed by the Registrant in the reports that it files or submits on Form N-Q is accumulated and communicated to the Registrant's management, including its principal executive and principal financial officers, as appropriate to allow timely decisions regarding required disclosure.
(b) There were no changes to the Registrant's internal control over financial reporting that occurred during the Registrant's most recently ended fiscal quarter that have materially affected, or are reasonably likely to materially affect, the Registrant's internal control over financial reporting.
Item 3. Exhibits.
(a) Certifications of principal executive and principal financial officers as required by Rule 30a-2(a) under the Investment Company Act of 1940.
FORM N-Q
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the Registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized.
General California Municipal Money Market Fund
By:
/s/ Bradley J. Skapyak
|
Bradley J. Skapyak
President
|
Date:
|
October 22, 2013
|
|
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this Report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.
|
|
By:
/s/ Bradley J. Skapyak
|
Bradley J. Skapyak
President
|
Date:
|
October 22, 2013
|
|
By:
/s/ James Windels
|
James Windels
Treasurer
|
Date:
|
October 22, 2013
|
|
EXHIBIT INDEX
(a) Certifications of principal executive and principal financial officers as required by Rule 30a-2(a) under the Investment Company Act of 1940. (EX-99.CERT)
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