Form N-1a - United States Securities And Exchange Commission Page 17
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54(B) Selects a Class described in paragraph (c)(ii)(A) of this Instruction with 10 or more years of annual returns
if other Classes described in paragraph (c)(ii)(A) of this Instruction have fewer than 10 years of annual returns;
(C) Selects the Class described in paragraph (c)(ii)(A) of this Instruction with the longest period of annual
returns if the Classes described in paragraph (c)(ii)(A) of this Instruction all have fewer than 10 years of
returns; and
(D) If the Fund provides the returns required by paragraphs 4(b)(2)(iii)(B) and (C) of this Item for a Class that
is different from the Class selected for the most immediately preceding period, explain in a footnote to the
table the reasons for the selection of a different Class;
(iii) The returns required by paragraphs 4(b)(2)(iii)(A), (B), and (C) of this Item for the Class described in paragraph
(c)(ii) of this Instruction should be adjacent and should not be interspersed with the returns of other Classes; and
(iv) All returns shown should be identified by Class.
(d)
If a Multiple Class Fund offers a Class in the prospectus that converts into another Class after a stated period, compute
average annual total returns in the table by using the returns of the other Class for the period after conversion.
4.
Change in Investment Adviser. If the Fund has not had the same investment adviser during the last 10 calendar years, the
Fund may begin the bar chart and the performance information in the table on the date that the current adviser began to
provide advisory services to the Fund subject to the conditions in Instruction 11 of Item 27(b)(7).
Item 5.
Management
(a) Investment Adviser(s). Provide the name of each investment adviser of the Fund, including sub-advisers.
Instructions
1.
A Fund need not identify a sub-adviser whose sole responsibility for the Fund is limited to day-to-day management of the
Fund’s holdings of cash and cash equivalent instruments, unless the Fund is a Money Market Fund or other Fund with a
principal investment strategy of regularly holding cash and cash equivalent instruments.
2.
A Fund having three or more sub-advisers, each of which manages a portion of the Fund’s portfolio, need not identify each
such sub-adviser, except that the Fund must identify any sub-adviser that is (or is reasonably expected to be) responsible for
the management of a significant portion of the Fund’s net assets. For purposes of this paragraph, a significant portion of a
Fund’s net assets generally will be deemed to be 30% or more of the Fund’s net assets.
(b) Portfolio Manager(s). State the name, title, and length of service of the person or persons employed by or associated with the
Fund or an investment adviser of the Fund who are primarily responsible for the day-to-day management of the Fund’s portfolio
(“Portfolio Manager”).
Instructions
1.
This requirement does not apply to a Money Market Fund.
2.
If a committee, team, or other group of persons associated with the Fund or an investment adviser of the Fund is jointly
and primarily responsible for the day-to-day management of the Fund’s portfolio, information in response to this Item is
required for each member of such committee, team, or other group. If more than five persons are jointly and primarily
responsible for the day-to-day management of the Fund’s portfolio, the Fund need only provide information for the five
persons with the most significant responsibility for the day-to-day management of the Fund’s portfolio.
Item 6.
Purchase and Sale of Fund Shares
(a) Purchase of Fund Shares. Disclose the Fund’s minimum initial or subsequent investment requirements.
(b) Sale of Fund Shares. Also disclose that the Fund’s shares are redeemable and briefly identify the procedures for redeeming
shares (e.g., on any business day by written request, telephone, or wire transfer).
(c) Exchange-Traded Funds. If the Fund is an Exchange-Traded Fund,
(i)
Specify the number of shares that the Fund will issue (or redeem) in exchange for the deposit or delivery of basket
assets (i.e., the securities or other assets the Fund specifies each day in name and number as the securities or assets in
exchange for which it will issue or in return for which it will redeem Fund shares) and explain that:
(A) Individual Fund shares may only be purchased and sold on a national securities exchange through a broker-
dealer; and
(B) The price of Fund shares is based on Market Price, and because Exchange-Traded Fund shares trade at Market
Prices rather than net asset value, shares may trade at a price greater than net asset value (premium) or less than
net asset value (discount); and
(ii)
If the Fund issues shares in creation units of not less than 25,000 shares each, the Fund may omit the information
required by Items 6(a) and 6(b).
10
SEC 2052 (10/16)
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