Form N-1a - United States Securities And Exchange Commission Page 31
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54Instructions
1.
Information should be provided as of the end of the most recently completed calendar year. Specify the valuation date
by footnote or otherwise.
2.
Determine “beneficial ownership” in accordance with rule 16a-1(a)(2) under the Exchange Act (17 CFR 240.16a-1(a)(2)).
3.
If the SAI covers more than one Fund or Series, disclose in column (2) the dollar range of equity securities beneficially
owned by a director in each Fund or Series overseen by the director.
4.
In disclosing the dollar range of equity securities beneficially owned by a director in columns (2) and (3), use the
following ranges: none, $1–$10,000, $10,001–$50,000, $50,001–$100,000, or over $100,000.
(5) For each director who is not an interested person of the Fund, and his immediate family members, furnish the information required
by the following table as to each class of securities owned beneficially or of record in:
(i)
An investment adviser or principal underwriter of the Fund; or
(ii)
A person (other than a registered investment company) directly or indirectly controlling, controlled by, or under common
control with an investment adviser or principal underwriter of the Fund:
(1)
(2)
(3)
(4)
(5)
(6)
Name of
Company
Title of Class
Name of
Value of
Percent
Owners and
Director
Securities
of Class
Relationships
to Director
Instructions
1.
Information should be provided as of the end of the most recently completed calendar year. Specify the valuation date
by footnote or otherwise.
2.
An individual is a “beneficial owner” of a security if he is a “beneficial owner” under either rule 13d-3 or rule 16a-1(a)(2)
under the Exchange Act (17 CFR 240.13d-3 or 240.16a-1(a)(2)).
3.
Identify the company in which the director or immediate family member of the director owns securities in column (3). When
the company is a person directly or indirectly controlling, controlled by, or under common control with an investment
adviser or principal underwriter, describe the company’s relationship with the investment adviser or principal underwriter.
4.
Provide the information required by columns (5) and (6) on an aggregate basis for each director and his immediate
family members.
(6) Unless disclosed in response to paragraph (b)(5) of this Item 17, describe any direct or indirect interest, the value of which exceeds
$120,000, of each director who is not an interested person of the Fund, or immediate family member of the director, during the two
most recently completed calendar years, in:
(i)
An investment adviser or principal underwriter of the Fund; or
(ii)
A person (other than a registered investment company) directly or indirectly controlling, controlled by, or under common
control with an investment adviser or principal underwriter of the Fund.
Instructions
1.
A director or immediate family member has an interest in a company if he is a party to a contract, arrangement, or
understanding with respect to any securities of, or interest in, the company.
2.
The interest of the director and the interests of his immediate family members should be aggregated in determining whether
the value exceeds $120,000.
(7) Describe briefly any material interest, direct or indirect, of any director who is not an interested person of the Fund, or immediate
family member of the director, in any transaction, or series of similar transactions, during the two most recently completed
calendar years, in which the amount involved exceeds $120,000 and to which any of the following persons was a party:
(i)
The Fund;
(ii)
An officer of the Fund;
(iii) An investment company, or a person that would be an investment company but for the exclusions provided by sections 3(c)
(1) and 3(c)(7) (15 U.S.C. 80a-3(c)(1) and (c)(7)), having the same investment adviser or principal underwriter as the Fund
or having an investment adviser or principal underwriter that directly or indirectly controls, is controlled by, or is under
common control with an investment adviser or principal underwriter of the Fund;
24
SEC 2052 (10/16)
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