Form N-1a - United States Securities And Exchange Commission Page 7
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54(iii) A Fund may omit the information required by Items 4(b)(2)(iii)(B) and (C) and 4(b)(2)(iv) if the Fund’s prospectus
will be used exclusively to offer Fund shares as investment options for one or more of the following:
(A) a defined contribution plan that meets the requirements for qualification under section 401(k) of the Internal
Revenue Code (26 U.S.C. 401(k)), a tax-deferred arrangement under section 403(b) or 457 of the Internal
Revenue Code (26 U.S.C. 403(b) or 457), a variable contract as defined in section 817(d) of the Internal Revenue
Code (26 U.S.C. 817(d)), or a similar plan or arrangement pursuant to which an investor is not taxed on his or
her investment in the Fund until the investment is sold; or
(B) persons that are not subject to the federal income tax imposed under section 1 of the Internal Revenue Code (26
U.S.C. 1), or any successor to that section.
(iv) A Fund that omits information under Instruction (d)(iii) may alter the legend required on the back cover page by Item
1(b)(1) to state, as applicable, that the prospectus is intended for use in connection with a defined contribution plan, tax-
deferred arrangement, variable contract, or similar plan or arrangement, or persons described in Instruction (d)(iii)(B).
(e) Dates. Rule 423 under the Securities Act [17 CFR 230.423] applies to the dates of the prospectus and the SAI. The SAI
should be made available at the same time that the prospectus becomes available for purposes of rules 430 and 460 under
the Securities Act [17 CFR 230.430 and 230.460].
(f) Sales Literature. A Fund may include sales literature in the prospectus so long as the amount of this information does not
add substantial length to the prospectus and its placement does not obscure essential disclosure.
(g) Interactive Data File.
(i) An Interactive Data File (§ 232.11 of this chapter) is required to be submitted to the Commission and posted on
the Fund’s Web site, if any, in the manner provided by Rule 405 of Regulation S-T (§ 232.405 of this chapter) for
any registration statement or post-effective amendment thereto on Form N-1A that includes or amends information
provided in response to Items 2, 3, or 4. The Interactive Data File must be submitted as an amendment to the
registration statement to which the Interactive Data File relates. The amendment must be submitted after the
registration statement or post-effective amendment that contains the related information becomes effective but not
later than 15 business days after the effective date of that registration statement or post-effective amendment.
(ii) An Interactive Data File is required to be submitted to the Commission and posted on the Fund’s Web site, if any, in
the manner provided by Rule 405 of Regulation S-T for any form of prospectus filed pursuant to rule 497(c) or (e)
under the Securities Act [17 CFR 230.497(c) or (e)] that includes information provided in response to Items 2, 3, or 4
that varies from the registration statement. The Interactive Data File may be submitted with or up to 15 business days
subsequent to the filing made pursuant to rule 497.
(iii) An Interactive Data File is required to be posted on the Fund’s Web site for as long as the registration statement or
post-effective amendment to which the Interactive Data File relates remains current.
(iv) An Interactive Data File must be submitted as an exhibit to Form N-1A, under paragraph (i) of this Instruction, or as
an exhibit to the filing made pursuant to rule 497, under paragraph (ii) of this Instruction. The Interactive Data File
must be submitted in such a manner that will permit the information for each Series and, for any information that
does not relate to all of the Classes in a filing, each Class of the Fund to be separately identified.
D. Incorporation by Reference
1. Specific rules for incorporation by reference in Form N-1A
(a) A Fund may not incorporate by reference into a prospectus information that Part A of this Form requires to be included in a
prospectus, except as specifically permitted by Part A of the Form.
(b) A Fund may incorporate by reference any or all of the SAI into the prospectus (but not to provide any information required
by Part A to be included in the prospectus) without delivering the SAI with the prospectus.
(c) A Fund may incorporate by reference into the SAI or its response to Part C, information that Parts B and C require to be
included in the Fund’s registration statement.
2. General Requirements
All incorporation by reference must comply with the requirements of this Form and the following rules on incorporation by
reference: rule 10(d) of Regulation S-K under the Securities Act [17 CFR 229.10(d)] (general rules on incorporation by reference,
which, among other things, prohibit, unless specifically required by this Form, incorporating by reference a document that includes
incorporation by reference to another document, and limits incorporation to documents filed within the last 5 years, with certain
exceptions); rule 411 under the Securities Act [17 CFR 230.411] (general rules on incorporation by reference in a prospectus); rule
303 of Regulation S-T [17 CFR 232.303] (specific requirements for electronically filed documents); and rules 0-4, 8b-23 and 8b-32
[17 CFR 270.0-4, 270.8b- 23 and 270.8b-32] (additional rules on incorporation by reference for Funds).
vii
SEC 2052 (10/16)
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