Form N2 (United States Securities And Exchange Commission) Page 39
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41Item 29. Number of Holders of Securities
State in substantially the tabular form indicated, as of a specified date within 90 days prior to the date of filing, the number of record
holders of each class of securities of the Registrant.
(1)
(2)
Number of
Title of Class
Record Holders
Item 30. Indemnification
State the general effect of any contract, arrangement, or statute under which any director, officer, underwriter, or affiliated person of the
Registrant is insured or indemnified in any manner against any liability that may be incurred in such capacity, other than insurance
provided by any member of the board of directors, officer, underwriter, or affiliated person for his or her own protection.
Instruction
In responding to this item, the Registrant should note the requirements of Rules 461(c) and 484 under the 1933 Act [17 CFR 230.461
and 230.484] and Section 17 of the 1940 Act [15 U.S.C. 80a-17]. (See Investment Company Act Rel. No. 11330 (Sept. 4, 1980) [45 FR
62423 (Sept. 19, 1980)] and Investment Company Act Rel. No. 7221 (June 9, 1972) [37 FR 12790 (June 29, 1972)].)
Item 31. Business and Other Connections of Investment Adviser
Describe briefly any other business, profession, vocation, or employment of a substantial nature in which each investment adviser of
the Registrant, and each director, executive officer, or partner of any such investment adviser, is or has been, at any time during the
past two fiscal years, engaged for his or her own account or in the capacity of director, officer, employee, partner, or trustee.
Instructions
1. State the name and principal business address of any company with which any person specified above is connected in the
capacity of director, officer, employee, partner, or trustee and the nature of the connection.
2. The names of investment advisory clients need not be provided.
3. For purposes of this item, the term “executive officer” means the investment adviser’s president, any other officer who performs
a policy-making function for the investment adviser in connection with its management of the closed-end fund, or any other
person who performs a similar policy-making function for the investment adviser. Executive officers of subsidiaries of the
investment adviser may be deemed executive officers of the investment adviser, if they perform such policy-making functions
for the investment adviser.
Item 32. Location of Accounts and Records
Furnish 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) of the 1940 Act [15 U.S.C. 80a-30(a)] and the rules thereunder [17 CFR 270.31a-1 through 31a-3].
Item 33. Management Services
Furnish a summary of the substantive provisions of any management-related service contract not discussed in Part A or B of the
registration statement (because the contract was not believed to be of interest to a purchaser of the Registrant’s securities), indicating the
parties to the contract, the total dollars paid, and by whom, for the last three fiscal years.
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. Undertakings
Furnish the following undertakings in substantially the following form in all registration statements filed under the 1933 Act:
1. An undertaking to suspend the offering of shares until the prospectus is amended if (1) subsequent to the effective date of its
registration statement, the net asset value declines more than ten percent from its net asset value as of the effective date of the
registration statement or (2) the net asset value increases to an amount greater than its net proceeds as stated in the prospectus.
2. An undertaking to file a post-effective amendment with certified financial statements showing the initial capital received before
accepting subscriptions from more than 25 persons, if the Registrant proposes to raise its initial capital under Section 14(a)(3) of the
1940 Act [15 U.S.C. 80a-14(a)(3)].
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SEC 1716 (4/15)
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