Form N-1a - United States Securities And Exchange Commission Page 34
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54Instructions
1.
For column (1), indicate, as necessary, the capacity in which the remuneration is received. For Compensated Persons
who are directors of the Fund, compensation is amounts received for service as a director.
2.
If the Registrant has not completed its first full year since its organization, furnish the information for the current fiscal
year, estimating future payments that would be made pursuant to an existing agreement or understanding. Disclose in a
footnote to the Compensation Table the period for which the information is furnished.
3.
Include in column (2) amounts deferred at the election of the Compensated Person, whether pursuant to a plan
established under Section 401(k) of the Internal Revenue Code [26 U.S.C. 401(k)] or otherwise for the fiscal year in
which earned. Disclose in a footnote to the Compensation Table the total amount of deferred compensation (including
interest) payable to or accrued for any Compensated Person.
4.
Include in columns (3) and (4) all pension or retirement benefits proposed to be paid under any existing plan in the
event of retirement at normal retirement date, directly or indirectly, by the Registrant, any of its subsidiaries, or other
companies in the Fund Complex. Omit column (4) where retirement benefits are not determinable.
5.
For any defined benefit or actuarial plan under which benefits are determined primarily by final compensation (or
average final compensation) and years of service, provide the information required in column (4) in a separate
table showing estimated annual benefits payable upon retirement (including amounts attributable to any defined
benefit supplementary or excess pension award plans) in specified compensation and years of service
classifications. Also provide the estimated credited years of service for each Compensated Person.
6.
Include in column (5) only aggregate compensation paid to a director for service on the board and all other boards
of investment companies in a Fund Complex specifying the number of such other investment companies.
(2)
Describe briefly the material provisions of any pension, retirement, or other plan or any arrangement, other than fee
arrangements disclosed in paragraph (c)(1), under which the Compensated Persons are or may be compensated for services
provided, including amounts paid, if any, to the compensated Person under these arrangements during the most recently
completed fiscal year. Specifically include the criteria used to determine amounts payable under the plan, the length of
service or vesting period required by the plan, the retirement age or other event that gives rise to payment under the plan,
and whether the payment of benefits is secured or funded by the Fund.
(d) Sales Loads. Disclose any arrangements that result in breakpoints in, or elimination of, sales loads for directors and other affiliated
persons of the Fund. Identify each class of individuals and transactions to which the arrangements apply and state each different
breakpoint as a percentage of both the offering price and the net amount invested of the Fund’s shares. Explain, as applicable, the
reasons for the difference in the price at which securities are offered generally to the public, and the prices at which securities are
offered to directors and other affiliated persons of the Fund.
(e) Codes of Ethics. Provide a brief statement disclosing whether the Fund and its investment adviser and principal underwriter have
adopted codes of ethics under rule 17j-1 of the Investment Company Act [17 CFR 270.17j-1] and whether these codes of ethics
permit personnel subject to the codes to invest in securities, including securities that may be purchased or held by the Fund.
Instruction: A Fund that is not required to adopt a code of ethics under rule 17j-1 of the Investment Company Act is not required to
respond to this item
(f) Proxy Voting Policies. Unless the Fund invests exclusively in non-voting securities, describe the policies and procedures that the
Fund uses to determine how to vote proxies relating to portfolio securities, including the procedures that the Fund uses when a vote
presents a conflict between the interests of Fund shareholders, on the one hand, and those of the Fund’s investment adviser; principal
underwriter; or any affiliated person of the Fund, its investment adviser, or its principal underwriter, on the other. Include any
policies and procedures of the Fund’s investment adviser, or any other third party, that the Fund uses, or that are used on the Fund’s
behalf, to determine how to vote proxies relating to portfolio securities. Also, state that information regarding how the Fund voted
proxies relating to portfolio securities during the most recent 12-month period ended June 30 is available (1) without charge, upon
request, by calling a specified toll-free (or collect) telephone number; or on or through the Fund’s website at a specified Internet
address; or both; and (2) on the Commission’s website at
Instructions
1.
A Fund may satisfy the requirement to provide a description of the policies and procedures that it uses to determine how to vote
proxies relating to portfolio securities by including a copy of the policies and procedures themselves.
2.
If a Fund discloses that the Fund’s proxy voting record is available by calling a toll-free (or collect) telephone number, and
the Fund (or financial intermediary through which shares of the Fund may be purchased or sold) receives a request for this
information, the Fund (or financial intermediary) must send the information disclosed in the Fund’s most recently filed
report on Form N-PX, within three business days of receipt of the request, by first-class mail or other means designed to ensure
equally prompt delivery.
27
SEC 2052 (10/16)
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