Form N2 (United States Securities And Exchange Commission) Page 36
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417. Schedule VI – Summary schedule of investments in securities of unaffiliated issuers [17 CFR 210.12-12C] may be included in
the financial statements required under Instructions 4.a. and 5.a. of this Item in lieu of Schedule I – Investments in securities of
unaffiliated issuers [17 CFR 210.12-12] if: (a) the Registrant states in the report that the Registrant’s complete schedule of
investments in securities of unaffiliated issuers is available (i) without charge, upon request, by calling a specified toll-free (or
collect) telephone number; (ii) on the Registrant’s website, if applicable; and (iii) on the Commission’s Website at
http://
and (b) whenever the Registrant (or financial intermediary through which shares of the Registrant may be purchased
or sold) receives a request for the Registrant’s schedule of investments in securities of unaffiliated issuers, the Registrant (or
financial intermediary) sends a copy of Schedule I – Investments in securities of unaffiliated issuers within 3 business days of
receipt by first-class mail or other means designed to ensure equally prompt delivery.
8. a.
When a Registrant (or financial intermediary through which shares of the Registrant may be purchased or sold) receives a
request for a description of the policies and procedures that the Registrant uses to determine how to vote proxies, the
Registrant (or financial intermediary) must send the information most recently disclosed in response to Item 18.16 of this
Form or Item 7 of Form N-CSR within three business days of receipt of the request, by first-class mail or other means
designed to ensure equally prompt delivery.
b. If a Registrant discloses that the Registrant’s proxy voting record is available by calling a toll-free (or collect) telephone
number, and the Registrant (or financial intermediary through which shares of the Registrant may be purchased or sold)
receives a request for this information, the Registrant (or financial intermediary) must send the information disclosed in the
Registrant’s most recently filed report on Form N-PX, within three business days of receipt of the request, by first-class mail
or other means designed to ensure equally prompt delivery.
c. If a Registrant discloses that the Registrant’s proxy voting record is available on or through its website, the Registrant must
make available free of charge the information disclosed in the Registrant’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 Registrant’s most recently filed report on Form N-PX must remain available on or through the Registrant’s website for
as long as the Registrant remains subject to the requirements of Rule 30b1-4 under the 1940 Act (17 CFR 270.30b1-4) and
discloses that the Registrant’s proxy voting record is available on or through its website.
9. See General Instruction F regarding incorporation by reference.
33
SEC 1716 (4/15)
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