Form N-1a - United States Securities And Exchange Commission Page 26
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54Part B – INFORMATION REQUIRED IN A STATEMENT OF ADDITIONAL INFORMATION
Item 14. Cover Page and Table of Contents
(a) Front Cover Page. Include the following information on the outside front cover page of the SAI:
(1)
The Fund’s name and the Class or Classes, if any, to which the SAI relates. If the Fund is a Series, also provide the
Registrant’s name.
(2)
The exchange ticker symbol of the Fund’s securities or, if the SAI relates to one or more Classes of the Fund’s securities,
adjacent to each such class, the exchange ticker symbol of such Class of the Fund’s securities. If the Fund is an Exchange-
Traded Fund, also identify the principal U.S. market or markets on which the Fund shares are traded.
(3)
A statement or statements:
(i)
That the SAI is not a prospectus;
(ii)
How the prospectus may be obtained; and
(iii) Whether and from where information is incorporated by reference into the SAI, as permitted by General Instruction D.
Instruction. Any information incorporated by reference into the SAI must be delivered with the SAI unless the information has
been previously delivered in a shareholder report (e.g., to a current shareholder), and the Fund states that the shareholder report is
available, without charge, upon request. Provide a toll-free (or collect) telephone number to call to request the report.
(4)
The date of the SAI and of the prospectus to which the SAI relates.
(b) Table of Contents. Include under appropriate captions (and subcaptions) a list of the contents of the SAI and, when useful, provide
cross-references to related disclosure in the prospectus.
Item 15. Fund History
(a) Provide the date and form of organization of the Fund and the name of the state or other jurisdiction in which the Fund is
organized.
(b) If the Fund has engaged in a business other than that of an investment company during the past 5 years, state the nature of the
other business and give the approximate date on which the Fund commenced business as an investment company. If the Fund’s
name was changed during that period, state its former name and the approximate date on which it was changed. Briefly describe
the nature and results of any change in the Fund’s business or name that occurred in connection with any bankruptcy, receivership,
or similar proceeding, or any other material reorganization, readjustment or succession.
Item 16. Description of the Fund and Its Investments and Risks
(a) Classification. State that the Fund is an open-end, management investment company and indicate, if applicable, that the Fund is
diversified.
(b) Investment Strategies and Risks. Describe any investment strategies, including a strategy to invest in a particular type of security,
used by an investment adviser of the Fund in managing the Fund that are not principal strategies and the risks of those strategies.
(c) Fund Policies.
(1)
Describe the Fund’s policy with respect to each of the following:
(i)
Issuing senior securities;
(ii)
Borrowing money, including the purpose for which the proceeds will be used;
(iii) Underwriting securities of other issuers;
(iv) Concentrating investments in a particular industry or group of industries;
(v)
Purchasing or selling real estate or commodities;
(vi) Making loans; and
(vii) Any other policy that the Fund deems fundamental or that may not be changed without shareholder approval,
including, if applicable, the Fund’s investment objectives.
Instruction. If the Fund reserves freedom of action with respect to any practice specified in paragraph (c)(1), state the maximum
percentage of assets to be devoted to the practice and disclose the risks of the practice.
(2)
State whether shareholder approval is necessary to change any policy specified in paragraph (c)(1). If so, describe the
vote required to obtain this approval.
(d) Temporary Defensive Position. Disclose, if applicable, the types of investments that a Fund may make while assuming a
temporary defensive position described in response to Item 9(b).
19
SEC 2052 (10/16)
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