Form N-1a - United States Securities And Exchange Commission Page 53
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54Item 30. Indemnification
State the general effect of any contract, arrangements or statute under which any director, officer, underwriter or affiliated person
of the Fund is insured or indemnified against any liability incurred in their official capacity, other than insurance provided by any
director, officer, affiliated person, or underwriter for their own protection.
Item 31. Business and Other Connections of Investment Adviser
Describe any other business, profession, vocation or employment of a substantial nature that each investment adviser, and each
director, officer or partner of the adviser, is or has been engaged within the last two fiscal years for his or her own account or
in the capacity of director, officer, employee, partner, or trustee.
Instructions
1.
Disclose the name and principal business address of any company for which a person listed above serves in the
capacity of director, officer, employee, partner, or trustee, and the nature of the relationship.
2.
The names of investment advisory clients need not be given in answering this Item.
Item 32. Principal Underwriters
(a) State the name of each investment company (other than the Fund) for which each principal underwriter currently distributing the
Fund’s securities also acts as a principal underwriter, depositor, or investment adviser.
(b) Provide the information required by the following table for each director, officer, or partner of each principal underwriter named
in the response to Item 25:
(1)
(2)
(3)
Name and
Positions and
Positions and
Principal Business
Offices with
Offices with
Address
Underwriter
Fund
(c) Provide the information required by the following table for all commissions and other compensation received, directly or
indirectly, from the Fund during the last fiscal year by each principal underwriter who is not an affiliated person of the Fund or
any affiliated person of an affiliated person:
(1)
(2)
(3)
(4)
(5)
Name of
N et U n d e r w ri ti ng
C om pen s ati on on
Other
Brokerage
Principal Underwriter
Discounts and
Redemption and
Compensation
Commissions
Repurchases
Commissions
Instructions
1.
Disclose the type of services rendered in consideration for the compensation listed under column (5).
2.
Instruction 1 to Item 25(c) also applies to this Item.
Item 33. Location of Accounts and Records
State the name and address of each person maintaining physical possession of each account, book, or other document required to be
maintained by section 31(a) [15 U.S.C. 80a-30(a)] and the rules under that section.
Instructions
1.
The instructions to Item 20.4 of this form shall also apply to this item.
2.
Information need not be provided for any service for which total payments of less than $5,000 were made during each of the
last three fiscal years.
Item 34. Management Services
Provide a summary of the substantive provisions of any management-related service contract not discussed in Part A or B, disclosing
the parties to the contract and the total amount paid and by whom for the Fund’s last three fiscal years.
Instructions
1.
The instructions to Item 19 also apply to this Item.
2.
Exclude information about any service provided for payments totaling less than $5,000 during each of the last three fiscal years.
Item 35. Undertakings
In initial registration statements filed under the Securities Act, provide an undertaking to file an amendment to the registration
statement with certified financial statements showing the initial capital received before accepting subscriptions from more than
25 persons if the Fund intends to raise its initial capital under section 14(a)(3) [15 U.S.C. 80a-14(a)(3)].
46
SEC 2052 (10/16)
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