UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM N-CSR

NOTE: This version of Form N-CSR is effective Jan. 24, 2023. More information about compliance dates may 

be found in Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in 

Investment Company Advertisements (Oct. 26, 2022) [87 FR 78770 (Dec. 22,2022)]. Until July 24, 2024, 

registrants may continue using the prior, and still effective, version of Form N-CSR. A reference copy of the 

currently effective version of Form N-CSR is available at https://www.sec.gov/files/formn-csr.pdf. 

This is a reference copy of Form N-CSR. You may not send a completed printout of this form to the SEC to 

satisfy a filing obligation. You can only satisfy an SEC filing obligation by submitting the information required 

by this form to the SEC in electronic format online at https://www.edgarfiling.sec.gov.
SEC 2569 (03/24) Persons who are to respond to the collection of information contained in this form are not 

required to respond unless the form displays a currently valid OMB control number.

1 

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM N-CSR

CERTIFIED SHAREHOLDER REPORT OF REGISTERED 

MANAGEMENT INVESTMENT COMPANIES

Investment Company Act file number

(Exact name of registrant as specified in charter)

(Address of principal executive offices) (Zip code)

(Name and address of agent for service)

Registrant’s telephone number, including area code: 

Date of fiscal year end: 

Date of reporting period: 

Form N-CSR is to be used by management investment companies to file reports with the Commission not later 

than 10 days after the transmission to stockholders of any report that is required to be transmitted to stockholders 

under Rule 30e-1 under the Investment Company Act of 1940 (17 CFR 270.30e-1). The Commission may use the 

information provided on Form N-CSR in its regulatory, disclosure review, inspection, and policymaking roles.

A registrant is required to disclose the information specified by Form N-CSR, and the Commission will make

this information public. A registrant is not required to respond to the collection of information contained in Form NCSR unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please

direct comments concerning the accuracy of the information collection burden estimate and any suggestions for

reducing the burden to Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-

1090. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507. 
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GENERAL INSTRUCTIONS

A. Rule as to Use of Form N-CSR.

Form N-CSR is a combined reporting form that is to be used for reports of registered management investment 

companies under Section 30(b)(2) of the Investment Company Act of 1940 (the “Act”) and Section 13(a) or 15(d) of 

the Securities Exchange Act of 1934 (the “Exchange Act”), filed pursuant to Rule 30b2-1(a) under the Act (17 CFR 

270.30b2-1(a)). A report on this Form shall be filed within 10 days after the transmission to stockholders of any 

annual or semi-annual report that is required to be transmitted to stockholders pursuant to Rule 30e-1 under the Act 

(17 CFR 270.30e-1). 

B. Application of General Rules and Regulations.

The General Rules and Regulations under the Act and the Exchange Act contain certain general requirements 

that are applicable to reporting on any form under those Acts. These general requirements should be carefully read 

and observed in the preparation and filing of reports on this form, except that any provision in the form or in these 

instructions shall be controlling. 

C. Preparation of Report.

1. This Form is not to be used as a blank form to be filled in, but only as a guide in preparing the report in 

accordance with Rules 8b-11 (17 CFR 270.8b-11) and 8b-12 (17 CFR 270.8b-12) under the Act and Rules 

12b-11 (17 CFR 240.12b-11) and 12b-12 (17 CFR 240.12b-12) under the Exchange Act. The Commission 

does not furnish blank copies of this Form to be filled in for filing. 

2. These general instructions are not to be filed with the report.

3. Attention is directed to Rule 12b-20 under the Exchange Act (17 CFR 240.12b-20), which states: “In 

addition to the information expressly required to be included in a statement or report, there shall be added 

such further material information, if any, as may be necessary to make the required statements, in the light of 

the circumstances under which they are made not misleading.”

4. Interactive Data File. An Interactive Data File as defined in Rule 11 of Regulation S-T [17 CFR 232.11] is 

required to be submitted to the Commission in the manner provided by Rule 405 of Regulation S-T [17 CFR 

232.405] by a management investment company registered under the Investment Company Act of 1940 (15 

U.S.C. 80a et seq.) to the extent required by Rule 405 of Regulation S-T.

D. Incorporation by Reference.

A registrant may incorporate by reference information required by Items 4, 5, 18, 19(a)(1), and 19(a)(2). No 

other Items of the Form shall be answered by incorporating any information by reference. The information required 

by Items 4, 5, and 18 may be incorporated by reference from the registrant’s definitive proxy statement (filed or 

required to be filed pursuant to Regulation 14A (17 CFR 240.14a-1 et seq.)) or definitive information statement (filed 

or to be filed pursuant to Regulation 14C (17 CFR 240.14c-1 et seq.)) involving the election of directors, if such 

definitive proxy statement or information statement is filed with the Commission not later than 120 days after the end 

of the fiscal year covered by an annual report on this Form. All incorporation by reference must comply with the 

requirements of this Form and the following rules on incorporation by reference: Rule 303 of Regulation S-T (17 

CFR 232.303) (specific requirements for electronically filed documents); Rule 12b-23 under the Exchange Act (17 

CFR 240.12b-23) (additional rules on incorporation by reference for reports filed pursuant to Sections 13 and 15(d) 

of the Exchange Act); and Rule 0-4 (17 CFR 270.0-4) (additional rules on incorporation by reference for investment 

companies).
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E. Definitions.

Unless the context clearly indicates the contrary, terms used in this Form N-CSR have meanings as defined in 

the Act and the rules and regulations thereunder. Unless otherwise indicated, all references in the Form to statutory 

sections or to rules are sections of the Act and the rules and regulations thereunder.

F. Signature and Filing of Report.

1. If the report is filed in paper pursuant to a hardship exemption from electronic filing (see Item 201 et seq. of 

Regulation S-T (17 CFR 232.201 et seq.)), eight complete copies of the report shall be filed with the 

Commission. At least one complete copy of the report shall be filed with each exchange on which any class 

of securities of the registrant is registered. At least one complete copy of the report filed with the 

Commission and one such copy filed with each exchange must be manually signed. Copies not manually 

signed must bear typed or printed signatures. 

2. (a) The report must be signed by the registrant, and on behalf of the registrant by its principal executive and 

principal financial officers.

(b) The name of each person who signs the report shall be typed or printed beneath his or her signature. Any 

person who occupies more than one of the specified positions shall indicate each capacity in which he or 

she signs the report. Attention is directed to Rule 12b-11 under the Exchange Act (17 CFR 240.12b-11) 

and Rule 8b-11 under the Act (17 CFR 270.8b-11) concerning manual signatures and signatures pursuant 

to powers of attorney. 

Item 1. Reports to Stockholders. 

(a) Include a copy of the report transmitted to stockholders pursuant to Rule 30e-1 under the Act (17 CFR 

270.30e-1). 

(b) Include a copy of each notice transmitted to stockholders in reliance on Rule 30e-3 under the Act (17 CFR 

270.30e-3) that contains disclosures specified by paragraph (c)(3) of that rule. 

Item 2. Code of Ethics. 

(a) Disclose whether, as of the end of the period covered by the report, the registrant has adopted a code of 

ethics that applies to the registrant’s principal executive officer, principal financial officer, principal 

accounting officer or controller, or persons performing similar functions, regardless of whether these 

individuals are employed by the registrant or a third party. If the registrant has not adopted such a code of 

ethics, explain why it has not done so. 

Instruction to paragraph (a). 

The information required by this Item is only required in an annual report on this Form N-CSR.

(b) For purposes of this Item, the term “code of ethics” means written standards that are reasonably designed to 

deter wrongdoing and to promote: 

(1) Honest and ethical conduct, including the ethical handling of actual or apparent conflicts of interest 

between personal and professional relationships; 
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(2) Full, fair, accurate, timely, and understandable disclosure in reports and documents that a registrant files 

with, or submits to, the Commission and in other public communications made by the registrant;

(3) Compliance with applicable governmental laws, rules, and regulations; 

(4) The prompt internal reporting of violations of the code to an appropriate person or persons identified in 

the code; and 

(5) Accountability for adherence to the code.

(c) The registrant must briefly describe the nature of any amendment, during the period covered by the report, to 

a provision of its code of ethics that applies to the registrant’s principal executive officer, principal financial

officer, principal accounting officer or controller, or persons performing similar functions, regardless of 

whether these individuals are employed by the registrant or a third party, and that relates to any element of 

the code of ethics definition enumerated in paragraph (b) of this Item. The registrant must file a copy of any 

such amendment as an exhibit pursuant to Item 18(a)(1), unless the registrant has elected to satisfy paragraph 

(f) of this Item by posting its code of ethics on its website pursuant to paragraph (f)(2) of this Item, or by 

undertaking to provide its code of ethics to any person without charge, upon request, pursuant to paragraph 

(f)(3) of this Item.

(d) If the registrant has, during the period covered by the report, granted a waiver, including an implicit waiver, 

from a provision of the code of ethics to the registrant’s principal executive officer, principal financial 

officer, principal accounting officer or controller, or persons performing similar functions, regardless of 

whether these individuals are employed by the registrant or a third party, that relates to one or more of the 

items set forth in paragraph (b) of this Item, the registrant must briefly describe the nature of the waiver, the 

name of the person to whom the waiver was granted, and the date of the waiver. 

(e) If the registrant intends to satisfy the disclosure requirement under paragraph (c) or (d) of this Item regarding 

an amendment to, or a waiver from, a provision of its code of ethics that applies to the registrant’s principal 

executive officer, principal financial officer, principal accounting officer or controller, or persons performing 

similar functions and that relates to any element of the code of ethics definition enumerated in paragraph (b) 

of this Item by posting such information on its Internet website, disclose the registrant’s Internet address and 

such intention.

(f) The registrant must:

(1) File with the Commission, pursuant to Item 18(a)(1), a copy of its code of ethics that applies to the 

registrant’s principal executive officer, principal financial officer, principal accounting officer or 

controller, or persons performing similar functions, as an exhibit to its annual report on this Form NCSR;

(2) Post the text of such code of ethics on its Internet website and disclose, in its most recent report on this 

Form N-CSR, its Internet address and the fact that it has posted such code of ethics on its Internet 

website; or

(3) Undertake in its most recent report on this Form N-CSR to provide to any person without charge, upon 

request, a copy of such code of ethics and explain the manner in which such request may be made.
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Instructions to Item 2. 

1. A registrant may have separate codes of ethics for different types of officers. Furthermore, a “code of ethics” 

within the meaning of paragraph (b) of this Item may be a portion of a broader document that addresses 

additional topics or that applies to more persons than those specified in paragraph (a). In satisfying the 

requirements of paragraph (f), a registrant need only file, post, or provide the portions of a broader document 

that constitutes a “code of ethics” as defined in paragraph (b) and that apply to the persons specified in 

paragraph (a).

2. If a registrant elects to satisfy paragraph (f) of this Item by posting its code of ethics on its website pursuant 

to paragraph (f)(2), the code of ethics must remain accessible on its website for as long as the registrant 

remains subject to the requirements of this Item and chooses to comply with this Item by posting its code on 

its website pursuant to paragraph (f)(2).

3. The registrant does not need to provide any information pursuant to paragraphs (c) and (d) of this Item if it 

discloses the required information on its Internet website within five business days following the date of the 

amendment or waiver and the registrant has disclosed in its most recently filed report on this Form N-CSR its 

Internet address and intention to provide disclosure in this manner. If the amendment or waiver occurs on a 

Saturday, Sunday, or holiday on which the Commission is not open for business, then the five business day 

period shall begin to run on and include the first business day thereafter. If the registrant elects to disclose 

this information through its website, such information must remain available on the website for at least a 12-

month period. The registrant must retain the information for a period of not less than six years following the 

end of the fiscal year in which the amendment or waiver occurred. Upon request, the registrant must furnish 

to the Commission or its staff a copy of any or all information retained pursuant to this requirement.

4. The registrant does not need to disclose technical, administrative, or other non-substantive amendments to its 

code of ethics.

5. For purposes of this Item: 

(a) The term “waiver” means the approval by the registrant of a material departure from a provision of the 

code of ethics; and

(b) The term “implicit waiver” means the registrant’s failure to take action within a reasonable period of 

time regarding a material departure from a provision of the code of ethics that has been made known to 

an executive officer, as defined in Rule 3b-7 under the Exchange Act (17 CFR 240.3b-7), of the 

registrant.

Item 3. Audit Committee Financial Expert.

(a) (1) Disclose that the registrant’s board of directors has determined that the registrant either:

(i) Has at least one audit committee financial expert serving on its audit committee; or

(ii) Does not have an audit committee financial expert serving on its audit committee.

(2) If the registrant provides the disclosure required by paragraph (a)(1)(i) of this Item, it must 

disclose the name of the audit committee financial expert and whether that person is 

“independent.” In order to be considered “independent” for purposes of this Item, a member of an 

audit committee may not, other than in his or her capacity as a member of the audit committee, the 

board of directors, or any other board committee: 
6 

(i) Accept directly or indirectly any consulting, advisory, or other compensatory fee from the issuer; 

or 

(ii) Be an “interested person” of the investment company as defined in Section 2(a)(19) of the Act 

(15 U.S.C. 80a-2(a)(19)).

(3) If the registrant provides the disclosure required by paragraph (a)(1)(ii) of this Item, it must 

explain why it does not have an audit committee financial expert. 

Instructions to paragraph (a). 

1. The information required by this Item is only required in an annual report on Form N-CSR.

2. If the registrant’s board of directors has determined that the registrant has more than one audit committee 

financial expert serving on its audit committee, the registrant may, but is not required to, disclose the names 

of those additional persons. A registrant choosing to identify such persons must indicate whether they are 

independent pursuant to paragraph (a)(2) of this Item.

(b) For purposes of this Item, an “audit committee financial expert” means a person who has the following 

attributes:

(1) An understanding of generally accepted accounting principles and financial statements; 

(2) The ability to assess the general application of such principles in connection with the accounting for 

estimates, accruals, and reserves;

(3) Experience preparing, auditing, analyzing, or evaluating financial statements that present a breadth 

and level of complexity of accounting issues that are generally comparable to the breadth and 

complexity of issues that can reasonably be expected to be raised by the registrant’s financial 

statements, or experience actively supervising one or more persons engaged in such activities;

(4) An understanding of internal control over financial reporting; and 

(5) An understanding of audit committee functions.

(c) A person shall have acquired such attributes through: 

(1) Education and experience as a principal financial officer, principal accounting officer, controller, 

public accountant, or auditor or experience in one or more positions that involve the performance of 

similar functions;

(2) Experience actively supervising a principal financial officer, principal accounting officer, 

controller, public accountant, auditor, or person performing similar functions; 

(3) Experience overseeing or assessing the performance of companies or public accountants with 

respect to the preparation, auditing, or evaluation of financial statements; or

(4) Other relevant experience.

(d) (1) A person who is determined to be an audit committee financial expert will not be deemed an 

“expert” for any purpose, including without limitation for purposes of Section 11 of the Securities 
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Act of 1933 (15 U.S.C. 77k), as a result of being designated or identified as an audit committee 

financial expert pursuant to this Item. 

(2) The designation or identification of a person as an audit committee financial expert pursuant to this 

Item does not impose on such person any duties, obligations, or liability that are greater than the 

duties, obligations, and liability imposed on such person as a member of the audit committee and 

board of directors in the absence of such designation or identification.

(3) The designation or identification of a person as an audit committee financial expert pursuant to this 

Item does not affect the duties, obligations, or liability of any other member of the audit committee 

or board of directors. 

Instruction to Item 3. 

If a person qualifies as an audit committee financial expert by means of having held a position described in paragraph 

(c)(4) of this Item, the registrant shall provide a brief listing of that person’s relevant experience.

Item 4. Principal Accountant Fees and Services.

(a) Disclose, under the caption Audit Fees, the aggregate fees billed for each of the last two fiscal years for 

professional services rendered by the principal accountant for the audit of the registrant’s annual 

financial statements or services that are normally provided by the accountant in connection with statutory 

and regulatory filings or engagements for those fiscal years.

(b) Disclose, under the caption Audit-Related Fees, the aggregate fees billed in each of the last two fiscal 

years for assurance and related services by the principal accountant that are reasonably related to the 

performance of the audit of the registrant’s financial statements and are not reported under paragraph (a) 

of this Item. Registrants shall describe the nature of the services comprising the fees disclosed under this 

category. 

(c) Disclose, under the caption Tax Fees, the aggregate fees billed in each of the last two fiscal years for 

professional services rendered by the principal accountant for tax compliance, tax advice, and tax 

planning. Registrants shall describe the nature of the services comprising the fees disclosed under this 

category. 

(d) Disclose, under the caption All Other Fees, the aggregate fees billed in each of the last two fiscal years 

for products and services provided by the principal accountant, other than the services reported in 

paragraphs (a) through (c) of this Item. Registrants shall describe the nature of the services comprising 

the fees disclosed under this category. 

(e) (1) Disclose the audit committee’s pre-approval policies and procedures described in paragraph (c)(7) 

of Rule 2-01 of Regulation S-X.

(2) Disclose the percentage of services described in each of paragraphs (b) through (d) of this Item that 

were approved by the audit committee pursuant to paragraph (c)(7)(i)(C) of Rule 2-01 of Regulation 

S-X.

(f) If greater than 50 percent, disclose the percentage of hours expended on the principal accountant’s 

engagement to audit the registrant’s financial statements for the most recent fiscal year that were 

attributed to work performed by persons other than the principal accountant’s full-time, permanent 

employees.
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(g) Disclose the aggregate non-audit fees billed by the registrant’s accountant for services rendered to the 

registrant, and rendered to the registrant’s investment adviser (not including any sub-adviser whose role 

is primarily portfolio management and is subcontracted with or overseen by another investment adviser), 

and any entity controlling, controlled by, or under common control with the adviser that provides 

ongoing services to the registrant for each of the last two fiscal years of the registrant.

(h) Disclose whether the registrant’s audit committee of the board of directors has considered whether the 

provision of non-audit services that were rendered to the registrant’s investment adviser (not including 

any subadviser whose role is primarily portfolio management and is subcontracted with or overseen by 

another investment adviser), and any entity controlling, controlled by, or under common control with the 

investment adviser that provides ongoing services to the registrant that were not pre-approved pursuant 

to paragraph (c)(7)(ii) of Rule 2-01 of Regulation S-X is compatible with maintaining the principal 

accountant’s independence.

(i) A registrant identified by the Commission pursuant to Section 104(i)(2)(A) of the Sarbanes-Oxley Act of 

2002 (15 U.S.C. 7214(i)(2)(A)), as having retained, for the preparation of the audit report on its financial 

statements included in the Form N-CSR, a registered public accounting firm that has a branch or office 

that is located in a foreign jurisdiction and that the Public Company Accounting Oversight Board has 

determined it is unable to inspect or investigate completely because of a position taken by an authority in 

the foreign jurisdiction must electronically submit to the Commission on a supplemental basis 

documentation that establishes that the registrant is not owned or controlled by a governmental entity in 

the foreign jurisdiction. The registrant must submit this documentation on or before the due date for this 

form. A registrant that is owned or controlled by a foreign governmental entity is not required to submit 

such documentation. 

(j) A registrant that is a foreign issuer, as defined in 17 CFR 240.3b-4, identified by the Commission 

pursuant to Section 104(i)(2)(A) of the Sarbanes-Oxley Act of 2002 (15 U.S.C. 7214(i)(2)(A)), as having 

retained, for the preparation of the audit report on its financial statements included in the Form N-CSR, a 

registered public accounting firm that has a branch or office that is located in a foreign jurisdiction and 

that the Public Company Accounting Oversight Board has determined it is unable to inspect or 

investigate completely because of a position taken by an authority in the foreign jurisdiction, for each 

year in which the registrant is so identified, must provide the below disclosures. Also, any such 

identified foreign issuer that uses a variable-interest entity or any similar structure that results in 

additional foreign entities being consolidated in the financial statements of the registrant is required to 

provide the below disclosures for itself and its consolidated foreign operating entity or entities. A 

registrant must disclose:

(1) That, for the immediately preceding annual financial statement period, a registered public accounting 

firm that the PCAOB was unable to inspect or investigate completely, because of a position taken by 

an authority in the foreign jurisdiction, issued an audit report for the registrant;

(2) The percentage of shares of the registrant owned by governmental entities in the foreign jurisdiction 

in which the registrant is incorporated or otherwise organized; 

(3) Whether governmental entities in the applicable foreign jurisdiction with respect to that registered 

public accounting firm have a controlling financial interest with respect to the registrant;

(4) The name of each official of the Chinese Communist Party who is a member of the board of 

directors of the registrant or the operating entity with respect to the registrant; and
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(5) Whether the articles of incorporation of the registrant (or equivalent organizing document) contains 

any charter of the Chinese Communist Party, including the text of any such charter. 

Instructions. 

1. The information required by this Item 4 is only required in an annual report on this Form N-CSR.

2. For purposes of paragraphs (b), (c), and (d), registrants that are investment companies must disclose fees 

billed for services rendered to the registrant and separately, disclose fees required to be approved pursuant to 

paragraph (c)(7)(ii) of Rule 2-01 of Regulation S-X. Registered investment companies must also disclose the 

fee percentages as required by Item 4(e)(2) for the registrant and separately, disclose the fee percentages as

required by Item 4(e)(2) for the fees required to be approved by the investment company registrant’s audit 

committee pursuant to paragraph (c)(7)(ii) of Rule 2-01 of Regulation S-X.

Item 5. Audit Committee of Listed Registrants

(a) If the registrant is a listed issuer as defined in Rule 10A-3 under the Exchange Act (17 CFR 240.10A-3), 

state whether or not the registrant has a separately-designated standing audit committee established in 

accordance with Section 3(a)(58)(A) of the Exchange Act (15 U.S.C. 78c(a)(58)(A)). If the registrant has

such a committee, however designated, identify each committee member. If the entire board of directors

is acting as the registrant’s audit committee as specified in Section 3(a)(58)(B) of the Exchange Act (15 

U.S.C. 78c(a)(58)(B)), so state. 

(b) If applicable, provide the disclosure required by Rule 10A-3(d) under the Exchange Act (17 CFR 

240.10A-3(d)) regarding an exemption from the listing standards for audit committees. 

Instruction. The information required by this Item is only required in an annual report on this Form N-CSR.

Item 6. Investments.

(a) File Schedule I – Investments in securities of unaffiliated issuers as of the close of the reporting period as 

set forth in § 210.1212 of Regulation S-X [17 CFR 210.12-12], unless the schedule is included as part of 

the report to shareholders filed under Item 1 of this Form or is included in the financial statements filed 

under Item 7 of this Form. 

Instruction to paragraph (a). 

Schedule I – Investments in securities of unaffiliated issuers filed under this Item must be audited, except that in 

the case of a report on this Form N-CSR as of the end of a fiscal half-year Schedule I– Investments in securities of 

unaffiliated issuers need not be audited. 

(b) If the registrant has divested itself of securities in accordance with Section 13(c) of the Investment 

Company Act of 1940 following the filing of its last report on Form N-CSR and before filing of the 

current report, disclose the following information for each such divested security: 

(1) Name of the issuer;

(2) Exchange ticker symbol; 

(3) Committee on Uniform Securities Identification Procedures (“CUSIP”) number;
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(4) Total number of shares or, for debt securities, principal amount divested; 

(5) Date(s) that the securities were divested;

(6) If the registrant holds any securities of the issuer on the date of filing, the exchange ticker symbol; 

CUSIP number; and the total number of shares or, for debt securities, principal amount held on the 

date of filing; and

(7) Name of the statue that added the provision of Section 13(c) in accordance with which the securities 

were divested.

This Item 6(b) shall terminate one year after the first date on which all statutory provisions that underlie 

Section 13(c) of the Investment Company Act of 1940 have terminated. 

Instructions to paragraph (b). 

1. This Item may be used by a registrant that divested itself of securities in accordance with Section 13(c) of the 

Investment Company Act. A registrant is not required to include disclosure under this Item; however, the 

limitation on civil, criminal, and administrative actions under Section 13(c) of the Investment Company Act 

does not apply with respect to a divestment that is not disclosed under this Item.

2. If a registrant divests itself of securities in accordance with Section 13(c) of the Act during the period that 

begins on the fifth business day before the date of filing a Form N-CSR and ends on the date of filing, it may 

disclose the divestment in either the Form N-CSR or an amendment thereto that is filed not later than five 

business days after the date of filing the Form N-CSR.

3. For purposes of determining when a divestment should be reported under this Item, if a registrant divests its 

holdings in a particular security in a related series of transactions, the registrant may deem the divestment to 

occur at the time of the final transaction in the series. In that case, the registrant should report each 

transaction in the series on a single Form N-CSR, but should separately state each date on which securities 

were divested and the total number of shares or, for debt securities, principal amount divested, on each such 

date.

Item 7. Financial Statements and Financial Highlights for Open-End Management Investment 

Companies. 

(a) An open-end management investment company registered on Form N-1A [17 CFR 239.15A and 17 CFR 

274.11A] must file its most recent annual or semi-annual financial statements required, and for the 

periods specified, by Regulation S-X.

(b) An open-end management investment company registered on Form N-1A [17 CFR 239.15A and 17 CFR 

274.11A] must file the information required by Item 13 of Form N-1A. 

Instructions to paragraph (a) and (b). 

1. The financial statements and financial highlights filed under this Item must be audited and be accompanied 

by any associated accountant’s report, as defined in rule 1-02(a) of Regulation S-X [17 CFR 210.1-02(a)], except that 

in the case of a report on this Form N-CSR as of the end of a fiscal half-year, the financial statements and financial 

highlights need not be audited.
11 

2. In the case of a Money Market Fund, Schedule I – Investments in securities of unaffiliated issuers [17 CFR 

210.12-12B] may be omitted from its financial statements, provided that: (a) the Fund states in the report that the 

Fund’s complete schedule of investments in securities of unaffiliated issuers is available (i) without charge, upon 

request, by calling a specified toll-free telephone number; (ii) on the Fund’s website, if applicable; and (iii) on the 

Commission’s website at http:// www.sec.gov; and (b) whenever the Fund (or financial intermediary through which 

shares of the Fund may be purchased or sold) receives a request for the Fund’s schedule of investments in securities 

of unaffiliated issuers, the Fund (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. 

Item 8. Changes in and Disagreements with Accountants for Open-End Management Investment 

Companies. 

An open-end management investment company registered on Form N-1A [17 CFR 239.15A and 17 CFR 

274.11A] must disclose the information concerning changes in and disagreements with accountants and on 

accounting and financial disclosure required by Item 304 of Regulation S-K [17 CFR 229.304]. 

Item 9. Proxy Disclosures for Open-End Management Investment Companies.

If any matter was submitted during the period covered by the report to a vote of shareholders of an open-end 

management investment company registered on Form N-1A [17 CFR 239.15A and 17 CFR 274.11A], through the 

solicitation of proxies or otherwise, the company must furnish the following information: 

(1) The date of the meeting and whether it was an annual or special meeting.

(2) If the meeting involved the election of directors, the name of each director elected at the meeting and the 

name of each other director whose term of office as a director continued after the meeting.

(3) A brief description of each matter voted upon at the meeting and the number of votes cast for, against or 

withheld, as well as the number of abstentions and broker non-votes as to each such matter, including a separate 

tabulation with respect to each matter or nominee for office. 

Instruction. 

The solicitation of any authorization or consent (other than a proxy to vote at a shareholders’ meeting) with respect to 

any matter shall be deemed a submission of such matter to a vote of shareholders within the meaning of this Item.

Item 10. Remuneration Paid to Directors, Officers, and Others of Open-End Management 

Investment Companies. 

Unless the following information is disclosed as part of the financial statements included in Item 7, an open-end 

management investment company registered on Form N-1A [17 CFR 239.15A and 17 CFR 274.11A] must disclose 

the aggregate remuneration paid by the company during the period covered by the report to: 

(1) All directors and all members of any advisory board for regular compensation; 

(2) Each director and each member of an advisory board for special compensation; 

(3) All officers; and

(4) Each person of whom any officer or director of the Fund is an affiliated person. 
12 

Item 11. Statement Regarding Basis for Approval of Investment Advisory Contract. 

If the board of directors approved any investment advisory contract during the Fund’s most recent fiscal halfyear, discuss in reasonable detail the material factors and the conclusions with respect thereto that formed the basis 

for the board’s approval. Include the following in the discussion: 

(1) Factors relating to both the board’s selection of the investment adviser and approval of the advisory fee and 

any other amounts to be paid by the Fund under the contract. These factors would include, but not be limited to, a 

discussion of the nature, extent, and quality of the services to be provided by the investment adviser; the investment 

performance of the Fund and the investment adviser; the costs of the services to be provided and profits to be realized 

by the investment adviser and its affiliates from the relationship with the Fund; the extent to which economies of 

scale would be realized as the Fund grows; and whether fee levels reflect these economies of scale for the benefit of 

Fund investors. Also indicate in the discussion whether the board relied upon comparisons of the services to be 

rendered and the amounts to be paid under the contract with those under other investment advisory contracts, such as 

contracts of the same and other investment advisers with other registered investment companies or other types of 

clients (e.g., pension funds and other institutional investors). If the board relied upon such comparisons, describe the 

comparisons and how they assisted the board in concluding that the contract should be approved; and 

(2) If applicable, any benefits derived or to be derived by the investment adviser from the relationship with the 

Fund such as soft dollar arrangements by which brokers provide research to the Fund or its investment adviser in 

return for allocating Fund brokerage.

Instructions. 

1. Board approvals covered by this Item include both approvals of new investment advisory contracts and 

approvals of contract renewals. Investment advisory contracts covered by this Item include subadvisory contracts. 

2. Conclusory statements or a list of factors will not be considered sufficient disclosure. Relate the factors to the 

specific circumstances of the Fund and the investment advisory contract and state how the board evaluated each 

factor. For example, it is not sufficient to state that the board considered the amount of the investment advisory fee 

without stating what the board concluded about the amount of the fee and how that conclusion affected its decision to 

approve the contract. 

3. If any factor enumerated in this Item is not relevant to the board’s evaluation of an investment advisory 

contract, explain the reasons why that factor is not relevant. 

Item 12. Disclosure of Proxy Voting Policies and Procedures for Closed-End Management 

Investment Companies.

A closed-end management investment company that is filing an annual report on this Form N-CSR must, unless 

it invests exclusively in non-voting securities, describe the policies and procedures that it uses to determine how to 

vote proxies relating to portfolio securities, including the procedures that the company uses when a vote presents a 

conflict between the interests of its shareholders, on the one hand, and those of the company’s investment adviser; 

principal underwriter; or any affiliated person (as defined in Section 2(a)(3) of the Investment Company Act of 1940 

(15 U.S.C. 80a-2(a)(3)) and the rules thereunder) of the company, its investment adviser, or its principal underwriter, 

on the other. Include any policies and procedures of the company’s investment adviser, or any other third party, that 

the company uses, or that are used on the company’s behalf, to determine how to vote proxies relating to portfolio 

securities.
13 

Instruction. A company may satisfy the requirement to provide a description of the policies and procedures that it 

uses to determine how to vote proxies relating to portfolio securities by including a copy of the policies and 

procedures themselves. 

Item 13. Portfolio Managers of Closed-End Management Investment Companies.

(a) If the registrant is a closed-end management investment company that is filing an annual report on this 

Form N-CSR, provide the following information: 

(1) State the name, title, and length of service of the person or persons employed by or associated with 

the registrant or an investment adviser of the registrant who are primarily responsible for the dayto-day management of the registrant’s portfolio (“Portfolio Manager”). Also state each Portfolio 

Manager’s business experience during the past 5 years.

Instructions to paragraph (a)(1). 

1. Provide the information required by this paragraph as of the date of filing of the report. Disclose 

the date as of which the information is provided. 

2. If a committee, team, or other group of persons associated with the registrant or an investment 

adviser of the registrant is jointly and primarily responsible for the day-to-day management of the 

registrant’s portfolio, information in response to this Item is required for each member of such 

committee, team, or other group. For each such member, provide a brief description of the 

person’s role on the committee, team, or other group (e.g., lead member), including a description 

of any limitations on the person’s role and the relationship between the person’s role and the roles 

of other persons who have responsibility for the day-to-day management of the registrant’s 

portfolio. If more than five persons are jointly and primarily responsible for the day-to-day 

management of the registrant’s portfolio, the registrant need only provide information for the five 

persons with the most significant responsibility for the day-to-day management of the registrant’s 

portfolio. 

(2) If a Portfolio Manager required to be identified in response to paragraph (a)(1) of this Item is 

primarily responsible for the day-to-day management of the portfolio of any other account, provide 

the following information:

(i) The Portfolio Manager’s name; 

(ii) 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.

(iii)For each of the categories in paragraph (a)(2)(ii) 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 
14 

(iv) A description of any material conflicts of interest that may arise in connection with the 

Portfolio Manager’s management of the registrant’s investments, on the one hand, and the 

investments of the other accounts included in response to paragraph (a)(2)(ii) of this Item, on 

the other. This description would include, for example, material conflicts between the 

investment strategy of the registrant and the investment strategy of other accounts managed by 

the Portfolio Manager and material conflicts in allocation of investment opportunities between 

the registrant and other accounts managed by the Portfolio Manager.

Instructions to paragraph (a)(2).

1. Provide the information required by this paragraph as of the end of the registrant’s most 

recently completed fiscal year, except that, in the case of any newly identified Portfolio

Manager, information must be provided as of the most recent practicable date. Disclose the 

date as of which the information is provided. 

2. If a committee, team, or other group of persons that includes the Portfolio Manager is jointly 

and primarily responsible for the day-to-day management of the portfolio of an account, 

include the account in responding to paragraph (a)(2) of this Item.

(3) Describe the structure of, and the method used to determine, the compensation of each Portfolio 

Manager required to be identified in response to paragraph (a)(1) of this Item. For each type of 

compensation (e.g., salary, bonus, deferred compensation, retirement plans and arrangements), 

describe with specificity the criteria on which that type of compensation is based, for example, 

whether compensation is fixed, whether (and, if so, how) compensation is based on the registrant’s 

pre- or after-tax performance over a certain time period, and whether (and, if so, how) 

compensation is based on the value of assets held in the registrant’s portfolio. For example, if 

compensation is based solely or in part on performance, identify any benchmark used to measure 

performance and state the length of the period over which performance is measured.

Instructions to paragraph (a)(3).

1. Provide the information required by this paragraph as of the end of the registrant’s most 

recently completed fiscal year, except that, in the case of any newly identified Portfolio 

Manager, information must be provided as of the most recent practicable date. Disclose the 

date as of which the information is provided. 

2. Compensation includes, without limitation, salary, bonus, deferred compensation, and 

pension and retirement plans and arrangements, whether the compensation is cash or noncash. Group life, health, hospitalization, medical reimbursement, relocation, and pension and 

retirement plans and arrangements may be omitted, provided that they do not discriminate in 

scope, terms, or operation in favor of the Portfolio Manager or a group of employees that 

includes the Portfolio Manager and are available generally to all salaried employees. The 

value of compensation is not required to be disclosed under this Item. 

3. Include a description of the structure of, and the method used to determine, any compensation 

received by the Portfolio Manager from the registrant, the registrant’s investment adviser, or 

any other source with respect to management of the registrant and any other accounts 

included in the response to paragraph (a)(2)(ii) of this Item. This description must clearly 

disclose any differences between the method used to determine the Portfolio Manager’s 

compensation with respect to the registrant and other accounts, e.g., if the Portfolio Manager 
15 

receives part of an advisory fee that is based on performance with respect to some accounts 

but not the registrant, this must be disclosed. 

(4) For each Portfolio Manager required to be identified in response to paragraph (a)(1) of this Item, 

state the dollar range of equity securities in the registrant beneficially owned by the Portfolio 

Manager using the following ranges: none, $1-$10,000, $10,001-$50,000, $50,001-$100,000, 

$100,001-$500,000, $500,001-$1,000,000, or over $1,000,000. 

Instructions to paragraph (a)(4).

1. Provide the information required by this paragraph as of the end of the registrant’s most 

recently completed fiscal year, except that, in the case of any newly identified Portfolio 

Manager, information must be provided as of the most recent practicable date. Specify the 

valuation date. 

2. Determine “beneficial ownership” in accordance with rule 16a-1(a)(2) under the Exchange 

Act (17 CFR 240.16a-1(a)(2)).

(b) If the registrant is a closed-end management investment company that is filing a report on this Form NCSR other than an annual report, disclose any change, as of the date of filing, in any of the Portfolio 

Managers identified in response to paragraph (a)(1) of this Item in the registrant’s most recent annual 

report on Form N-CSR. In addition, for any newly identified Portfolio Manager, provide the information 

required by paragraph (a)(1) of this Item as of the date of filing of the report and the information required 

by paragraphs (a)(2), (a)(3), and (a)(4) of this Item as of the most recent practicable date.

Item 14. Purchases of Equity Securities by Closed-End Management Investment Company and 

Affiliated Purchasers.

(a) If the registrant is a closed-end management investment company, in the following tabular format, 

provide the information specified in paragraph (b) of this Item with respect to any purchase made by or 

on behalf of the registrant or any “affiliated purchaser,” as defined in Rule 10b-18(a)(3) under the 

Exchange Act (17 CFR 240.10b-18(a)(3)), of shares or other units of any class of the registrant’s equity 

securities that is registered by the registrant pursuant to Section 12 of the Exchange Act (15 U.S.C. 

781). 

Instruction to paragraph (a). 

Disclose all purchases covered by this Item, including purchases that do not satisfy the conditions of the 

safe harbor of Rule 10b-18 under the Exchange Act (17 CFR 240.10b-18), made in the period covered by 

the report. Provide disclosures covering repurchases made on a monthly basis. For example, if the reporting 

period began on January 16 and ended on July 15, the chart would show repurchases for the months from 

January 16 through February 15, February 16 through March 15, March 16 through April 15, April 16 

through May 15, May 16 through June 15, and June 16 through July 15. 
16 

REGISTRANT PURCHASES OF EQUITY SECURITIES

Period (a) Total Number of 

Shares (or Units) 

Purchased

(b) Average

Price Paid per 

Share (or Unit)

(c) Total Number of 

Shares (or Units) 

Purchased as Part of 

Publicly Announced 

Plans or Programs

(d) Maximum Number (or 

Approximate Dollar Value) of 

Shares (or Units) that May Yet 

Be Purchased Under the Plans or 

Programs

Month #1(identify 

beginning and 

ending dates)

Month #2 (identify 

beginning and 

ending dates)

Month #3 (identify 

beginning and 

ending dates)

Month #4 (identify 

beginning and 

ending dates)

Month #5 (identify 

beginning and 

ending dates)

Month #6 (identify 

beginning and 

ending dates)

Total

(b) The table shall include the following information for each class or series of securities for each month 

included in the period covered by the report: 

(1) The total number of shares (or units) purchased (column (a)); 

Instruction to paragraph (b)(1). 

Include in this column all repurchases by the registrant, including those made pursuant to publicly 

announced plans or programs and those not made pursuant to publicly announced plans or programs. 

Briefly disclose, by footnote to the table, the number of shares purchased other than through a publicly 

announced plan or program and the nature of the transaction (e.g., whether the purchases were made in 

open-market transactions, tender offers, in satisfaction of the registrant’s obligations upon exercise of 

outstanding put options issued by the registrant, or other transactions). 

(2) The average price paid per share (or unit) (column (b)); 
17 

(3) The number of shares (or units) purchased as part of publicly announced repurchase plans or 

programs (column (c)); and 

(4) The maximum number (or approximate dollar value) of shares (or units) that may yet be purchased 

under the plans or programs (column (d)). 

Instructions to paragraphs (b)(3) and (b)(4).

1. In the table, disclose this information in the aggregate for all plans or programs publicly announced. 

2. By footnote to the table, indicate: 

a. The date each plan or program was announced; 

b. The dollar amount (or share or unit amount) approved; 

c. The expiration date (if any) of each plan or program; 

d. Each plan or program that has expired during the period covered by the table; and 

e. Each plan or program the registrant has determined to terminate prior to expiration, or under 

which the registrant does not intend to make further purchases.

Item 15. Submission of Matters to a Vote of Security Holders. 

Describe any material changes to the procedures by which shareholders may recommend nominees to the 

registrant’s board of directors, where those changes were implemented after the registrant last provided disclosure in 

response to the requirements of Item 407(c)(2)(iv) of Regulation S-K (17 CFR 229.407) (as required by Item 

22(b)(15) of Schedule 14A (17 CFR 240.14a-101)), or this Item. 

Instruction: For purposes of this Item, adoption of procedures by which shareholders may recommend nominees to 

the registrant’s board of directors, where the registrant’s most recent disclosure in response to the requirements of 

Item 407(c)(2)(iv) of Regulation S-K (17 CFR 229.407) (as required by Item 22(b)(15) of Schedule 14A (17 CFR 

240.14a-101)), or this Item, indicated that the registrant did not have in place such procedures, will constitute a 

material change.

Item 16. Controls and Procedures.

(a) Disclose the conclusions of the registrant’s principal executive and principal financial officers, or 

persons performing similar functions, regarding the effectiveness of the registrant’s disclosure controls 

and procedures (as defined in Rule 30a-3(c) under the Act (17 CFR 270.30a-3(c))) as of a date within 

90 days of the filing date of the report that includes the disclosure required by this paragraph, based on 

the evaluation of these controls and procedures required by Rule 30a-3(b) under the Act (17 CFR 

270.30a-3(b)) and Rules 13a-15(b) or 15d-15(b) under the Exchange Act (17 CFR 240.13a-15(b) or 

240.15d-15(b)). 

(b) Disclose any change in the registrant’s internal control over financial reporting (as defined in Rule 30a3(d) under the Act (17 CFR 270.30a-3(d)) that occurred during the period covered by this report that 

has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over 

financial reporting.
18 

Instruction to paragraph (b). 

Until the date that the registrant has filed its first report on Form N-PORT (17 CFR 270.150), the registrant’s 

disclosures required by this Item are limited to any change in the registrant’s internal control over financial 

reporting that occurred during the registrant’s last fiscal quarter that has materially affected, or is reasonably 

likely to materially affect, the registrant’s internal control over financial reporting. 

Item 17. Disclosure of Securities Lending Activities for Closed-End Management Investment 

Companies. 

(a) If the registrant is a closed-end management investment company, provide the following dollar amounts 

of income and fees/compensation related to the securities lending activities of the registrant during its 

most recent fiscal year:

(1) Gross income from securities lending activities;

(2) All fees and/or compensation for each of the following securities lending activities and related 

services: any share of revenue generated by the securities lending program paid to the securities 

lending agent(s) (“revenue split”); fees paid for cash collateral management services (including 

fees deducted from a pooled cash collateral reinvestment vehicle) that are not included in the 

revenue split; administrative fees that are not included in the revenue split; fees for 

indemnification that are not included in the revenue split; rebates paid to borrowers; and any other 

fees relating to the securities lending program that are not included in the revenue split, including a 

description of those other fees;

(3) The aggregate fees/compensation disclosed pursuant to paragraph (2); and 

(4) Net income from securities lending activities (i.e., the dollar amount in paragraph (1) minus the 

dollar amount in paragraph (3)).

Instruction to paragraph (a).

If a fee for a service is included in the revenue split, state that the fee is “included in the revenue split.”

(b) If the registrant is a closed-end management investment company, describe the services provided to the 

registrant by the securities lending agent in the registrant’s most recent fiscal year.

Item 18. Recovery of Erroneously Awarded Compensation. 

(a) If at any time during or after the last completed fiscal year the registrant was required to prepare an 

accounting restatement that required recovery of erroneously awarded compensation pursuant to the 

registrant’s compensation recovery policy required by the listing standards adopted pursuant to 17 CFR 

240.10D-1, or there was an outstanding balance as of the end of the last completed fiscal year of 

erroneously awarded compensation to be recovered from the application of the policy to a prior 

restatement, the registrant must provide the following information: 

(1) For each restatement:

(i) The date on which the registrant was required to prepare an accounting restatement; 
19 

(ii) The aggregate dollar amount of erroneously awarded compensation attributable to such 

accounting restatement, including an analysis of how the amount was calculated; 

(iii) If the financial reporting measure defined in 17 CFR 10D-1(d) related to a stock price or total 

shareholder return metric, the estimates that were used in determining the erroneously awarded 

compensation attributable to such accounting restatement and an explanation of the 

methodology used for such estimates; 

(iv) The aggregate dollar amount of erroneously awarded compensation that remains outstanding at 

the end of the last completed fiscal year; and

(v) If the aggregate dollar amount of erroneously awarded compensation has not yet been 

determined, disclose this fact, explain the reason(s) and disclose the information required in 

(ii) through (iv) in the next annual report that the registrant files on this Form N-CSR; 

(2) If recovery would be impracticable pursuant to 17 CFR 10D-1(b)(1)(iv), for each named executive 

officer and for all other executive officers as a group, disclose the amount of recovery forgone and 

a brief description of the reason the registrant decided in each case not to pursue recovery; and 

(3) For each named executive officer from whom, as of the end of the last completed fiscal year, 

erroneously awarded compensation had been outstanding for 180 days or longer since the date the 

registrant determined the amount the individual owed, disclose the dollar amount of outstanding 

erroneously awarded compensation due from each such individual.

(b) If at any time during or after its last completed fiscal year the registrant was required to prepare an 

accounting restatement, and the registrant concluded that recovery of erroneously awarded compensation 

was not required pursuant to the registrant’s compensation recovery policy required by the listing 

standards adopted pursuant to 17 CFR 240.10D-1, briefly explain why application of the recovery policy 

resulted in this conclusion. 

Item 19. Exhibits. 

(a) File the exhibits listed below as part of this Form. 

(1) Any code of ethics, or amendment thereto, that is the subject of the disclosure required by Item 2, 

to the extent that the registrant intends to satisfy the Item 2 requirements through filing of an 

exhibit.

(2) Any policy required by the listing standards adopted pursuant to Rule 10D-1 under the Exchange 

Act (17 CFR 240.10D-1) by the registered national securities exchange or registered national 

securities association upon which the registrant’s securities are listed.

Instruction to paragraph (a)(2). 

The exhibit required by this paragraph (a)(2) is only required in an annual report on Form N-CSR.

(3) A separate certification for each principal executive and principal financial officer of the registrant 

as required by Rule 30a-2(a) under the Act (17 CFR 270.30a-2(a)), exactly as set forth below: 
20 

CERTIFICATIONS

I, [identify the certifying individual], certify that:

1. I have reviewed this report on Form N-CSR of [identify registrant]; 

2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a 

material fact necessary to make the statements made, in light of the circumstances under which such 

statements were made, not misleading with respect to the period covered by this report;

3. Based on my knowledge, the financial statements, and other financial information included in this report, 

fairly present in all material respects the financial condition, results of operations, changes in net assets, and 

cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as 

of, and for, the periods presented in this report; 

4. The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure 

controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and 

internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 

1940) for the registrant and have:

(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to 

be designed under our supervision, to ensure that material information relating to the registrant, including 

its consolidated subsidiaries, is made known to us by others within those entities, particularly during the 

period in which this report is being prepared; 

(b) Designed such internal control over financial reporting, or caused such internal control over financial 

reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability 

of financial reporting and the preparation of financial statements for external purposes in accordance

with generally accepted accounting principles; 

(c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this 

report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date 

within 90 days prior to the filing date of this report based on such evaluation; and 

(d) Disclosed in this report any change in the registrant’s internal control over financial reporting that 

occurred during the period covered by this report that has materially affected, or is reasonably likely to 

materially affect, the registrant’s internal control over financial reporting; and 

5. The registrant’s other certifying officer(s) and I have disclosed to the registrant’s auditors and the audit 

committee of the registrant’s board of directors (or persons performing the equivalent functions): 

(a) All significant deficiencies and material weaknesses in the design or operation of internal control over 

financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, 

process, summarize, and report financial information; and

(b) Any fraud, whether or not material, that involves management or other employees who have a significant 

role in the registrant’s internal control over financial reporting.

Date: 

[Signature]

[Title]
21 

Instruction to paragraph (a)(3).

Until the date that the registrant has filed its first report on Form N-PORT (17 CFR 270.150), in the 

certification required by Item 19(a)(3), the registrant’s certifying officers must certify that they have 

disclosed in the report any change in the registrant’s internal control over financial reporting that 

occurred during the registrant’s most recent fiscal quarter that has materially affected, or is reasonably 

likely to materially affect, the registrant’s internal control over financial reporting. 

(1) Any written solicitation to purchase securities under Rule 23c-1 under the Act (17 CFR 270.23c1) sent or given during the period covered by the report by or on behalf of the registrant to 10 or 

more persons. 

(2) Change in the registrant’s independent public accountant. Provide the information called for by 

Item 4 of Form 8-K under the Exchange Act (17 CFR 249.308). Unless otherwise specified by 

Item 4, or related to and necessary for a complete understanding of information not previously 

disclosed, the information should relate to events occurring during the reporting period.

(b) If the report is filed under Section 13(a) or 15(d) of the Exchange Act, provide the certifications required 

by Rule 30a-2(b) under the Act (17 CFR 270.30a-2(b)), Rule 13a-14(b) or Rule 15d-14(b) under the 

Exchange Act (17 CFR 240.13a-14(b) or 240.15d-14(b)), and Section 1350 of Chapter 63 of Title 18 of 

the United States Code (18 U.S.C. 1350) as an exhibit. A certification furnished pursuant to this 

paragraph will not be deemed “filed” for purposes of Section 18 of the Exchange Act (15 U.S.C. 78r), or 

otherwise subject to the liability of that section. Such certification will not be deemed to be incorporated 

by reference into any filing under the Securities Act of 1933 or the Exchange Act, except to the extent 

that the registrant specifically incorporates it by reference.

Instructions to Item 19. 

1. Letter or number the exhibits in the sequence that they appear in this item. Each exhibit identified in the 

exhibit index (other than an exhibit filed in eXtensible Business Reporting Language) must include an active 

link to an exhibit that is filed with the registration statement or, if the exhibit is incorporated by reference, an 

active hyperlink to the exhibit separately filed on EDGAR. If the registration statement is amended, each 

amendment must include active hyperlinks to the exhibits required with the amendment.

2. Schedules (or similar attachments) to the exhibits required by this Item are not required to be filed provided 

that they do not contain information material to an investment or voting decision and that information is not 

otherwise disclosed in the exhibit or the disclosure document. Each exhibit filed must contain a list briefly 

identifying the contents of all omitted schedules. Registrants need not prepare a separate list of omitted 

information if such information is already included within the exhibit in a manner that conveys the subject 

matter of the omitted schedules and attachments. In addition, the registrant must provide a copy of any 

omitted schedule to the Commission or its staff upon request. 

3. The registrant may redact information from exhibits required to be filed by this Item if disclosure of such 

information would constitute a clearly unwarranted invasion of personal privacy (e.g., disclosure of bank 

account numbers, social security numbers, home addresses and similar information). 
22 

SIGNATURES

[See General Instruction F]

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, 

the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. 

(Registrant)

By (Signature and Title)*

Date

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, 

this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the 

dates indicated. 

By (Signature and Title)* 

Date

By (Signature and Title)* 

Date

*Print the name and title of each signing officer under his or her signature.