Form N-1a - United States Securities And Exchange Commission Page 35
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543.
If a Fund discloses that the Fund’s proxy voting record is available on or through its website, the Fund must make available
free of charge the information disclosed in the Fund’s most recently filed report on Form N-PX on or through its website as
soon as reasonably practicable after filing the report with the Commission. The information disclosed in the Fund’s most
recently filed report on Form N-PX must remain available on or through the Fund’s website for as long as the Fund remains
subject to the requirements of Rule 30b1-4 (17 CFR 270.30b1-4) and discloses that the Fund’s proxy voting record is
available on or through its website.
Item 18. Control Persons and Principal Holders of Securities
Provide the following information as of a specified date no more than 30 days prior to the date of filing the registration statement or
an amendment.
(a) Control Persons. State the name and address of each person who controls the Fund and explain the effect of that control on the
voting rights of other security holders. For each control person, state the percentage of the Fund’s voting securities owned or any
other basis of control. If the control person is a company, give the jurisdiction under the laws of which it is organized. List all
parents of the control person.
Instruction. For purposes of this paragraph, “control” means (i) the beneficial ownership, either directly or through one or more
controlled companies, of more than 25% of the voting securities of a company; (ii) the acknowledgment or assertion by either the
controlled or controlling party of the existence of control; or (iii) an adjudication under section 2(a)(9), which has become final,
that control exists.
(b) Principal Holders. State the name, address, and percentage of ownership of each person who owns of record or is known by the
Fund to own beneficially 5% or more of any Class of the Fund’s outstanding equity securities.
Instructions
1.
Calculate the percentages based on the amount of securities outstanding.
2.
If securities are being registered under or in connection with a plan of acquisition, reorganization, readjustment or
succession, indicate, as far as practicable, the ownership that would result from consummation of the plan based on present
holdings and commitments.
3.
Indicate whether the securities are owned of record, beneficially, or both. Show the respective percentage owned in each
manner.
(c) Management Ownership. State the percentage of the Fund’s equity securities owned by all officers, directors, and members of
any advisory board of the Fund as a group. If the amount owned by directors and officers as a group is less than 1% of the
Class, provide a statement to that effect.
Item 19. Investment Advisory and Other Services
(a) Investment Advisers. Disclose the following information with respect to each investment adviser:
(1)
The name of any person who controls the adviser, the basis of the person’s control, and the general nature of the person’s
business. Also disclose, if material, the business history of any organization that controls the adviser.
(2)
The name of any affiliated person of the Fund who also is an affiliated person of the adviser, and a list of all capacities in
which the person is affiliated with the Fund and with the adviser.
Instruction. If an affiliated person of the Fund alone or together with others controls the adviser, state that fact. It is not necessary
to provide the amount or percentage of the outstanding voting securities owned by the controlling person.
(3)
The method of calculating the advisory fee payable by the Fund including:
(i)
The total dollar amounts that the Fund paid to the adviser (aggregated with amounts paid to affiliated advisers, if any),
and any advisers who are not affiliated persons of the adviser, under the investment advisory contract for
the last three fiscal years;
(ii)
If applicable, any credits that reduced the advisory fee for any of the last three fiscal years; and
(iii) Any expense limitation provision.
Instructions
1.
If the advisory fee payable by the Fund varies depending on the Fund’s investment performance in relation to a
standard, describe the standard along with a fee schedule in tabular form. The Fund may include examples showing
the fees that the adviser would earn at various levels of performance as long as the examples include calculations
showing the maximum and minimum fee percentages that could be earned under the contract.
2.
State separately each type of credit or offset.
3.
When a Fund is subject to more than one expense limitation provision, describe only the most restrictive provision.
4.
For a Registrant with more than one Series, or a Multiple Class Fund, describe the methods of allocation and payment
of advisory fees for each Series or Class.
28
SEC 2052 (10/16)
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