Form N-1a - United States Securities And Exchange Commission Page 36
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54(b) Principal Underwriter. State the name and principal business address of any principal underwriter for the Fund. Disclose, if
applicable, that an affiliated person of the Fund is an affiliated person of the principal underwriter and identify the affiliated person.
(c) Services Provided by Each Investment Adviser and Fund Expenses Paid by Third Parties.
(1)
Describe all services performed for or on behalf of the Fund supplied or paid for wholly or in substantial part by each
investment adviser.
(2)
Describe all fees, expenses, and costs of the Fund that are to be paid by persons other than an investment adviser or the
Fund, and identify those persons.
(d) Service Agreements. Summarize the substantive provisions of any other management-related service contract that may be of
interest to a purchaser of the Fund’s shares, under which services are provided to the Fund, indicating the parties to the contract,
and the total dollars paid and by whom for the past three years.
Instructions
1.
The term “management-related service contract” includes any contract with the Fund to keep, prepare, or file accounts,
books, records, or other documents required under federal or state law, or to provide any similar services with respect to the
daily administration of the Fund, but does not include the following:
(a)
Any contract with the Fund to provide investment advice;
(b)
Any agreement with the Fund to perform as custodian, transfer agent, or dividend-paying agent for the Fund; and
(c)
Any contract with the Fund for outside legal or auditing services, or contract for personal employment entered into
with the Fund in the ordinary course of business.
2.
No information need be given in response to this paragraph with respect to the service of mailing proxies or periodic
reports to the Fund’s shareholders.
3.
In summarizing the substantive provisions of any management-related service contract, include the following:
(a)
The name of the person providing the service;
(b)
The direct or indirect relationships, if any, of the person with the Fund, an investment adviser of the Fund or the
Fund’s principal underwriter; and
(c)
The nature of the services provided, and the basis of the compensation paid for the services for the last three fiscal
years.
(e) Other Investment Advice. If any person (other than a director, officer, member of an advisory board, employee, or investment
adviser of the Fund), through any understanding, whether formal or informal, regularly advises the Fund or the Fund’s investment
adviser with respect to the Fund’s investing in, purchasing, or selling securities or other property, or has the authority to determine
what securities or other property should be purchased or sold by the Fund, and receives direct or indirect remuneration, provide the
following information:
(1)
The person’s name;
(2)
A description of the nature of the arrangement, and the advice or information provided; and
(3)
Any remuneration (including, for example, participation, directly or indirectly, in commissions or other compensation paid
in connection with transactions in the Fund’s portfolio securities) paid for the advice or information, and a statement as to
how the remuneration was paid and by whom it was paid for the last three fiscal years.
Instruction. Do not include information for the following:
1.
Persons who advised the investment adviser or the Fund solely through uniform publications distributed to subscribers;
2.
Persons who provided the investment adviser or the Fund with only statistical and other factual information, advice about
economic factors and trends, or advice as to occasional transactions in specific securities, but without generally
advising about the purchase or sale of securities by the Fund;
3.
A company that is excluded from the definition of “investment adviser” of an investment company under section 2(a)(20)
(iii) [15 U.S.C. 80a-2(a)(20)(iii)];
4.
Any person the character and amount of whose compensation for these services must be approved by a court; or
5.
Other persons as the Commission has by rule or order determined not to be an “investment adviser” of an investment
company.
(f) Dealer Reallowances. Disclose any front-end sales load reallowed to dealers as a percentage of the offering price of the Fund’s
shares.
(g) Rule 12b-1 Plans. If the Fund has adopted a plan under rule 12b-1, describe the material aspects of the plan, and any agreements
relating to the implementation of the plan, including:
29
SEC 2052 (10/16)
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