# EDGAR Filing Document

**Accession Number:** 0000790166
**File Stem:** 0000790166-23-000008
**Filing Date:** 2023-2
**Character Count:** 23603
**Document Hash:** ac11088ebd6c2056a3ba76c2b128f8b4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000790166-23-000008.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0000790166-23-000008

**CONFORMED SUBMISSION TYPE**: N-CSR

**PUBLIC DOCUMENT COUNT**: 8

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230227

**DATE AS OF CHANGE**: 20230227

**EFFECTIVENESS DATE**: 20230227

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** THRIVENT SERIES FUND INC
- **CENTRAL INDEX KEY:** 0000790166
- **IRS NUMBER:** 000000000
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** N-CSR
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-04603
- **FILM NUMBER:** 23670143

**BUSINESS ADDRESS:**
- **STREET 1:** 901 MARQUETTE AVENUE, SUITE 2500
- **CITY:** MINNEAPOLIS
- **STATE:** MN
- **ZIP:** 55402-3211
- **BUSINESS PHONE:** 612-844-7190

**MAIL ADDRESS:**
- **STREET 1:** 901 MARQUETTE AVENUE, SUITE 2500
- **CITY:** MINNEAPOLIS
- **STATE:** MN
- **ZIP:** 55402-3211

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** LB SERIES FUND INC
- **DATE OF NAME CHANGE:** 19950428

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** LBVIP SERIES FUND INC/
- **DATE OF NAME CHANGE:** 19940824

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** LBVIP SERIES FUND INC
- **DATE OF NAME CHANGE:** 19920703

## Series and Classes Contracts Data

### Thrivent Aggressive Allocation Portfolio (Series ID: S000001416)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003823 | Class A      |  |

### Thrivent Mid Cap Stock Portfolio (Series ID: S000001420)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003827 | Class A      |  |

### Thrivent Mid Cap Index Portfolio (Series ID: S000001421)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003828 | Class A      |  |

### Thrivent All Cap Portfolio (Series ID: S000001423)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003830 | Class A      |  |

### Thrivent Large Cap Growth Portfolio (Series ID: S000001424)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003831 | Class A      |  |

### Thrivent Moderately Aggressive Allocation Portfolio (Series ID: S000001427)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003834 | Class A      |  |

### Thrivent Large Cap Value Portfolio (Series ID: S000001428)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003835 | Class A      |  |

### Thrivent Global Stock Portfolio (Series ID: S000001429)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003836 | Class A      |  |

### Thrivent Large Cap Index Portfolio (Series ID: S000001430)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003837 | Class A      |  |

### Thrivent Real Estate Securities Portfolio (Series ID: S000001431)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003838 | Class A      |  |

### Thrivent Balanced Income Plus Portfolio (Series ID: S000001432)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003839 | Class A      |  |

### Thrivent High Yield Portfolio (Series ID: S000001433)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003840 | Class A      |  |

### Thrivent Diversified Income Plus Portfolio (Series ID: S000001434)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003841 | Class A      |  |

### Thrivent Income Portfolio (Series ID: S000001435)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003842 | Class A      |  |

### Thrivent Government Bond Portfolio (Series ID: S000001436)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003843 | Class A      |  |

### Thrivent Limited Maturity Bond Portfolio (Series ID: S000001437)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003844 | Class A      |  |

### Thrivent Moderate Allocation Portfolio (Series ID: S000001438)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003845 | Class A      |  |

### Thrivent Opportunity Income Plus Portfolio (Series ID: S000001439)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003846 | Class A      |  |

### Thrivent Money Market Portfolio (Series ID: S000001440)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003847 | Class A      |  |

### Thrivent Moderately Conservative Allocation Portfolio (Series ID: S000001441)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003848 | Class A      |  |

### Thrivent Small Cap Stock Portfolio (Series ID: S000001445)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003852 | Class A      |  |

### Thrivent Small Cap Index Portfolio (Series ID: S000001446)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000003853 | Class A      |  |

### Thrivent International Allocation Portfolio (Series ID: S000021859)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000062728 | Class A      |  |

### Thrivent Partner Emerging Markets Equity Portfolio (Series ID: S000021862)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000062731 | Class A      |  |

### Thrivent Partner Healthcare Portfolio (Series ID: S000021867)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000062736 | Class A      |  |

### Thrivent Low Volatility Equity Portfolio (Series ID: S000057370)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000183144 | Class A      |  |

### Thrivent Multidimensional Income Portfolio (Series ID: S000057371)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000183145 | Class A      |  |

### Thrivent Small Cap Growth Portfolio (Series ID: S000061813)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000200170 | Class A      |  |

### Thrivent ESG Index Portfolio (Series ID: S000068343)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000218692 | Class A      |  |

### Thrivent International Index Portfolio (Series ID: S000068344)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000218693 | Class A      |  |

### Thrivent Mid Cap Growth Portfolio (Series ID: S000068345)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000218694 | Class A      |  |

### Thrivent Mid Cap Value Portfolio (Series ID: S000068346)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000218695 | Class A      |  |

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## Ex-99.Cert

**Certification**

I, David S. Royal, certify that:

1. I have reviewed this report on Form N-CSR of Thrivent Series Fund, Inc.;

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. &nbsp;&nbsp;&nbsp;&nbsp;

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 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: February 27, 2023

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>/s/ David S. Royal&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</u> 

David S. Royal

President and Chief Investment Officer

(principal executive officer)

**Certification**

I, Sarah L. Bergstrom, certify that:

1. I have reviewed this report on Form N-CSR of Thrivent Series Fund, Inc.;

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. &nbsp;&nbsp;&nbsp;&nbsp;

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 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: February 27, 2023

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>/s/ Sarah L. Bergstrom&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</u> 

Sarah L. Bergstrom

Treasurer and Principal Accounting Officer

(principal financial officer)

## Exhibit 99.906

# Certification Under Section 906 of Sarbanes-Oxley Act of 2002
Name of Registrant: Thrivent Series Fund, Inc.

In connection with the Report on Form N-CSR for the above-named issuer, the undersigned hereby certify, to the best of their knowledge, that:

1. &nbsp;&nbsp;&nbsp;&nbsp;

The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and

2. &nbsp;&nbsp;&nbsp;&nbsp;

The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Issuer.

Date: February 27, 2023

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>/s/ David S. Royal&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</u> 

David S. Royal

President and Chief Investment Officer

(principal executive officer)

Date: February 27, 2023

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>/s/ Sarah L. Bergstrom&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</u> 

Sarah L. Bergstrom

Treasurer and Principal Accounting Officer

(principal financial officer)

## Ex-99.Code

## CODE OF ETHICS
(Sarbanes-Oxley Act of 2002, Section 406)

for

PRINCIPAL EXECUTIVE OFFICER

PRINCIPAL FINANCIAL OFFICER

AND

PRINCIPAL ACCOUNTING OFFICER

OF

THRIVENT MUTUAL FUNDS

THRIVENT CASH MANAGEMENT TRUST

THRIVENT SERIES FUND, INC.

THRIVENT CORE FUNDS

AND

THRIVENT CHURCH LOAN AND INCOME FUND

**November 14, 2018**

**I.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; CODE OF ETHICS**

It is the policy of the Thrivent Mutual Funds, Thrivent Cash Management Trust, Thrivent Series Fund, Inc., Thrivent Core Funds and Thrivent Church Loan and Income Fund (collectively, the "**Funds**") that the President, as chief executive officer, and the Treasurer, as chief financial officer and chief accounting officer (or persons performing similar functions), of each Fund adhere to and advocate the following principles governing their professional and ethical conduct in the fulfillment of their responsibilities:

A. Act with honesty and integrity, and ethically handle actual or apparent conflicts between his or her personal, private interests and the interests of the Funds, including receiving improper personal benefits as a result of his or her position.

B. &nbsp;&nbsp;&nbsp;&nbsp; Take such actions as are necessary as to ensure that periodic reports filed with the Securities and Exchange Commission and other public communications contain information which provides full, fair, accurate, timely and understandable disclosure. Such actions shall include adoption and maintenance of adequate disclosure controls and procedures.

C. &nbsp;&nbsp;&nbsp;&nbsp; Comply with laws of federal, state, and local governments applicable to the Funds, and the rules and regulations of private and public regulatory agencies having jurisdiction over the Funds.

D. Act in good faith, responsibly, with due care and diligence, without misrepresenting or omitting material facts or allowing independent judgment to be compromised.

E. &nbsp;&nbsp;&nbsp;&nbsp; Respect the confidentiality of information acquired in the course of the performance of his or her responsibilities except when authorized or otherwise legally obligated to disclose such information. Do not use confidential information acquired in the course of the performance of his or her responsibilities for personal advantage.

F. &nbsp;&nbsp;&nbsp;&nbsp; Proactively promote ethical behavior among subordinates and peers.

G. Use Fund assets and resources employed or entrusted in a responsible manner.

H. Do not use Fund information, assets, opportunities or one's position with the Funds for personal gain. Do not compete directly or indirectly with the Funds.

I. &nbsp;&nbsp;&nbsp;&nbsp; Promptly report any violation of this Code to the Chief Compliance Officer.

J. &nbsp;&nbsp;&nbsp;&nbsp; Comply in all respects with (a) the Funds' Code of Ethics; (b) Thrivent Financial for Lutheran's Code of Conduct, and (c) Thrivent Financial for Lutherans' and Thrivent Asset Management, LLC's Policy on Insider Trading.

K. Acknowledge and certify compliance with the foregoing annually and file a copy of such certification with the Audit Committee of each Fund's Board of Directors/Trustees ("Fund Board").

II.&nbsp;&nbsp;&nbsp;&nbsp; ADMINISTRATION OF CODE

A.&nbsp;&nbsp;&nbsp;&nbsp; <u>Chief Compliance Officer.</u>

The Independent Directors of each Fund Board shall appoint a Chief Compliance Officer, who shall have overall responsibility for ensuring this Code is adhered to. In such capacity, the Chief Compliance Officer shall report to each Fund Board's Audit Committee. The Chief Compliance Officer shall be a person who has sufficient status within Thrivent Financial for Lutherans to engender respect for the Code and the authority adequately to deal with the persons subject to the Code regardless of their stature in the company.

B.&nbsp;&nbsp;&nbsp;&nbsp; <u>Amendments</u>

Any material amendment to this Code shall be disclosed in accordance with the requirements of Rule 30b2-1(a) under the Investment Company Act of 1940, as amended (the "1940 Act"), and form N-CSR. Form N-CSR does not require disclosure of technical, administrative or other non-substantive amendments.

C.&nbsp;&nbsp;&nbsp;&nbsp; <u>Waivers</u>

A waiver of a provision of this Code must be requested whenever there is a reasonable likelihood that a contemplated action will violate the Code. Requests for waivers must be in writing and submitted to the Chief Compliance Officer, who shall make a recommendation to the Audit Committee for final determination. Any waiver or implicit waiver shall be disclosed in accordance with the requirements of Rule 30b2-1(a) under the 1940 Act and Form N-CSR.

As used herein, "waiver" means any approval by the Audit Committee of a material departure from a provision of this Code. "Implicit waiver" means failure by the Chief Compliance Officer or the Audit Committee to take action within a reasonable period of time regarding a material departure from a provision of the Code that has been made known to an executive officer (as defined by Rule 3b-7 under the Securities Exchange Act of 1934, as amended) of the Funds.

D.&nbsp;&nbsp;&nbsp;&nbsp; <u>Violations</u>

Upon learning of a violation or potential violation of this Code, the Chief Compliance Officer shall prepare a written report to Audit Committee providing full details and recommendations for further action.

The Audit Committee will, in consultation with the Chief Compliance Officer and/or such legal counsel as the Audit Committee deems appropriate, make the final determination of whether a violation has occurred and the action, if any, to be taken in response thereto. The Audit Committee may take into account the qualitative and quantitative materiality of the violation from the perspective of either the determent to the Fund or the benefit to the violating officer, the policy behind the provision violated and such other facts and circumstances as it deems advisable under all of the facts and circumstances.

Any material violation shall be reported in accordance with the requirements of Rule 30b2-1 of the 1940 Act and Form N-CSR.

E.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>Regulatory Filing</u>

A copy of this Code of Ethics shall be filed as an exhibit to each Fund's annual report on Form N-CSR.

F.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>Records</u>

The Chief Compliance Officer or Chief Legal Officer shall retain copies of all records required by Form N-CSR and/or rules and regulations promulgated under the 1940 Act.