Form N-1a - United States Securities And Exchange Commission Page 37
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54(1)
A list of the principal types of activities for which payments are or will be made, including the dollar amount and the
manner in which amounts paid by the Fund under the plan during the last fiscal year were spent on:
(i)
Advertising;
(ii)
Printing and mailing of prospectuses to other than current shareholders;
(iii) Compensation to underwriters;
(iv) Compensation to broker-dealers;
(v)
Compensation to sales personnel;
(vi) Interest, carrying, or other financing charges; and
(vii) Other (specify).
(2)
The relationship between amounts paid to the distributor and the expenses that it incurs (e.g., whether the plan reimburses
the distributor only for expenses incurred or compensates the distributor regardless of its expenses).
(3)
The amount of any unreimbursed expenses incurred under the plan in a previous year and carried over to future years, in
dollars and as a percentage of the Fund’s net assets on the last day of the previous year.
(4)
Whether the Fund participates in any joint distribution activities with another Series or investment company. If so, disclose,
if applicable, that fees paid under the Fund’s rule 12b-1 plan may be used to finance the distribution of the shares of
another Series or investment company, and state the method of allocating distribution costs (e.g., relative net asset size,
number of shareholder accounts).
(5)
Whether any of the following persons had a direct or indirect financial interest in the operation of the plan or related
agreements:
(i)
Any interested person of the Fund; or
(ii)
Any director of the Fund who is not an interested person of the Fund.
(6)
The anticipated benefits to the Fund that may result from the plan.
(h) Other Service Providers.
(1)
Unless disclosed in response to paragraph (d), identify any person who provides significant administrative or business
affairs management services for the Fund (e.g., an “administrator”), describe the services provided, and the compensation
paid for the services.
(2)
State the name and principal business address of the Fund’s transfer agent and the dividend-paying agent.
(3)
State the name and principal business address of the Fund’s custodian and independent public accountant and describe
generally the services performed by each. If the Fund’s portfolio securities are held by a person other than a commercial
bank, trust company, or depository registered with the Commission as custodian, state the nature of the business of that
person or persons.
(4)
If an affiliated person of the Fund, or an affiliated person of the affiliated person, acts as custodian, transfer agent, or
dividend-paying agent for the Fund, describe the services that the person performs and the basis for remuneration.
Item 20. Portfolio Managers
(a) Other Accounts Managed. If a Portfolio Manager required to be identified in response to Item 5(b) is primarily responsible for
the day-to-day management of the portfolio of any other account, provide the following information:
(1)
The Portfolio Manager’s name;
(2)
The number of other accounts managed within each of the following categories and the total assets in the accounts
managed within each category:
(A)
Registered investment companies;
(B)
Other pooled investment vehicles; and
(C)
Other accounts.
(3)
For each of the categories in paragraph (a)(2) of this Item, the number of accounts and the total assets in the accounts with
respect to which the advisory fee is based on the performance of the account; and
(4)
A description of any material conflicts of interest that may arise in connection with the Portfolio Manager’s management of
the Fund’s investments, on the one hand, and the investments of the other accounts included in response to paragraph (a)(2)
of this Item, on the other. This description would include, for example, material conflicts between the investment strategy of
the Fund and the investment strategy of other accounts managed by the Portfolio Manager and material conflicts in
allocation of investment opportunities between the Fund and other accounts managed by the Portfolio Manager.
30
SEC 2052 (10/16)
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