# EDGAR Filing Document

**Accession Number:** 0001586009
**File Stem:** 0001398344-23-004464
**Filing Date:** 2023-2
**Character Count:** 19146
**Document Hash:** 8fbabd2affb954245ed80fb91af6938b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-004464.hdr.sgml**: 20230224

**ACCESSION NUMBER**: 0001398344-23-004464

**CONFORMED SUBMISSION TYPE**: 40-17G

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230224

**DATE AS OF CHANGE**: 20230224

**EFFECTIVENESS DATE**: 20230224

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Wildermuth Fund
- **CENTRAL INDEX KEY:** 0001586009
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 40-17G
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-22888
- **FILM NUMBER:** 23665548

**BUSINESS ADDRESS:**
- **STREET 1:** 818 A1A HWY N
- **STREET 2:** SUITE 301
- **CITY:** PONTE VEDRA BEACH
- **STATE:** FL
- **ZIP:** 32082
- **BUSINESS PHONE:** (678) 222-1100

**MAIL ADDRESS:**
- **STREET 1:** 818 A1A HWY N
- **STREET 2:** SUITE 301
- **CITY:** PONTE VEDRA BEACH
- **STATE:** FL
- **ZIP:** 32082

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Wildermuth Endowment Fund
- **DATE OF NAME CHANGE:** 20180905

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Wildermuth Endowment Strategy Fund
- **DATE OF NAME CHANGE:** 20130905

### Attached PDF Documents

**Attachment 1:** `fp0082417-1_4017g.pdf`

ENDORSEMENT/RIDER

Effective date of
this endorsement/rider: December 16, 2022

FEDERAL INSURANCE COMPANY

Endorsement/Rider No. 1

To be attached to and
form a part of Policy No. 82413983

Issued to: WILDERMUTH FUND

# COMPLIANCE WITH APPLICABLE TRADE SANCTION LAWS

It is agreed that this insurance does not apply to the extent that trade or economic sanctions or other similar laws or regulations prohibit the coverage provided by this insurance.

The title and any headings in this endorsement/rider are solely for convenience and form no part of the terms and conditions of coverage.

All other terms, conditions and limitations of this Policy shall remain unchanged.

Authorized Representative

14-02-9228 (2/2010)

Page 1

ENDORSEMENT/RIDER

Effective date of
this endorsement/rider: December 16, 2022

FEDERAL INSURANCE COMPANY

Endorsement/Rider No. 2

To be attached to and
form a part of Bond No. 82413983

Issued to: Wildermuth Fund

# AUTOMATIC INCREASE IN LIMITS ENDORSEMENT

In consideration of the premium charged, it is agreed that GENERAL AGREEMENTS, Section C. Additional Offices Or Employees-Consolidation, Merger Or Purchase Or Acquisition Of Assets Or Liabilities-Notice To Company, is amended by adding the following subsection:

Automatic Increase in Limits for Investment Companies

If an increase in bonding limits is required pursuant to rule 17g-1 of the Investment Company Act of 1940 ("the Act"), due to:

(i) the creation of a new Investment Company, other than by consolidation or merger with, or purchase or acquisition of assets or liabilities of, another institution; or
(ii) an increase in asset size of current Investment Companies covered under this Bond,
then the minimum required increase in limits shall take place automatically without payment of additional premium for the remainder of the BOND PERIOD.

The title and any headings in this endorsement/rider are solely for convenience and form no part of the terms and conditions of coverage.

All other terms, conditions and limitations of this Bond shall remain unchanged.

Authorized Representative

14-02-14098 (04/2008)

Page 1

ENDORSEMENT/RIDER

Effective date of
this endorsement/rider: December 16, 2022

FEDERAL INSURANCE COMPANY

Endorsement/Rider No. 3

To be attached to and
form a part of Bond No. 82413983

Issued to: WILDERMUTH FUND

# SOCIAL ENGINEERING FRAUD (EMPLOYEE/VENDOR) ENDORSEMENT
(For Use with the ICAP form)

In consideration of the premium charged, it is agreed that this Bond is amended as follows:

(1) By adding the following INSURING CLAUSE:

Social Engineering Fraud

Loss resulting directly from the ASSURED having, transferred, paid or delivered **Money** or **Securities, documents or other written instruments** as the direct result of a **Social Engineering Fraud Instruction**.

(2) Solely with respect to the coverage afforded by this endorsement, the following terms shall have the following meanings:

**Social Engineering Fraud Instruction** means any instruction which intentionally misleads an **Employee**, through misrepresentation of a material fact which is relied upon by an **Employee**, believing it to be genuine, for the purpose of directing or transferring the ASSURED's **Money** or **Securities, documents or other written instruments** that were communicated by a natural person purporting to be:

a. a director, officer, partner, member or sole proprietor of the ASSURED or other **Employee** who is authorized by the ASSURED to instruct another **Employee** to transfer funds, or an individual acting in collusion with such person purporting to be a director, officer, partner, member or sole proprietor or other **Employee** who is authorized by the ASSURED to instruct another **Employee** to transfer funds; or
b. an employee of a **Vendor** who is authorized by the ASSURED to instruct an **Employee** to transfer funds or change bank account information of a **Vendor**; provided, however, **Social Engineering Fraud Instruction** shall not include any such instruction transmitted by an employee of a **Vendor** who was acting in collusion with any third party in submitting such instruction,

but which instructions were not actually made by such director, officer, partner, member or sole proprietor, **Employee**, or employee of a **Vendor**.

**Vendor** means any entity or natural person that has provided goods or services to the ASSURED under a legitimate pre-existing arrangement or written agreement. However, **Vendor** does not include any customer, automated clearing house, custodian, financial institution, administrator, counter party or any similar entity.

14-02-21962 (03/2016)

Page 1

(3) Solely with respect to the coverage afforded by this endorsement:

A. This bond does not directly or indirectly cover loss occurring prior to 12/16/2022.

B. Exclusion a. of Section 3., Specific Exclusions-Applicable To All Insuring Clauses Except Insuring Clause 1., is deleted and replaced with the following:

a. loss caused by an **Employee** provided, however, this Section 3.a. shall not apply to loss: (i) covered under INSURING CLAUSE 2. or 3. which results directly from misplacement, mysterious unexplainable disappearance, or damage or destruction of **Property**, or (ii) covered under Social Engineering Fraud INSURING CLAUSE;

C. This bond does not directly or indirectly cover loss due to any investment in **Securities, documents or other written instruments** or ownership in any corporation, partnership, real property, commodity or similar instrument, whether or not such investment is genuine.

(4) The total liability of the COMPANY under the Social Engineering Fraud INSURING CLAUSE shall be $250,000 for any Single Loss, subject to a BOND PERIOD Aggregate Limit of Liability of $525,000.

(5) A Deductible Amount of $25,000 shall apply with respect to coverage afforded under the Social Engineering Fraud INSURING CLAUSE:

The title and any headings in this endorsement/rider are solely for convenience and form no part of the terms and conditions of coverage.

All other terms, conditions and limitations of this Bond shall remain unchanged.

Authorized Representative

14-02-21962 (03/2016)

Page 2

**FEDERAL INSURANCE COMPANY**

Endorsement No: 4

Bond Number: 82413983

NAME OF ASSURED: WILDERMUTH FUND

**PREMIUM ENDORSEMENT**

It is agreed that:

1. The premium for this Bond for the period December 16, 2022 to December 16, 2023 is:

Premium: Four thousand eight hundred dollars 00/100 ($4,800.00)

2. It is further agreed that this premium is subject to change during this period if amendments are made to this Bond at the request of the ASSURED.

This Endorsement applies to loss discovered after 12:01 a.m. on December 16, 2022.

ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED.

Date: January 30, 2023

By

Authorized Representative

ICAP Bond
Form 17-02-0735 (Rev. 1-97)

# **FEDERAL INSURANCE COMPANY**

Endorsement No: 5

Bond Number: 82413983

NAME OF ASSURED: WILDERMUTH FUND

# ---**TERMINATION-NONRENEWAL-NOTICE ENDORSEMENT**

It is agreed that this Bond is amended as follows:

1. By adding to Section 13., Termination, the following:

'Termination By The Company

Bonds In Effect For More Than Sixty (60) Days

If this Bond has been in effect for more than sixty (60) days, or, if this Bond is a renewal, the COMPANY may terminate by providing written notice of cancellation at least sixty (60) days before the effective date of termination for at least one of the following reasons:

1. 1. Nonpayment of premium;
2. 2. Discovery of fraud or material misrepresentation in obtaining this Bond or in the presentation of a claim thereunder;
3. 3. Discovery of willful or reckless acts or omissions or violation of any provision of this Bond on the part of the ASSURED which substantially and materially increases any hazard insured against, and which occurred subsequent to the inception of the current BOND PERIOD;
4. 4. Conviction of the ASSURED of a crime arising out of acts increasing the hazard insured against;
5. 5. Material change in the risk which increases the risk of loss after insurance coverage has been issued or renewed, except to the extent that the COMPANY should reasonably have foreseen the change, or contemplated the risk when the contract was written;
6. 6. Determination by the Commissioner that the continuation of the Bond would jeopardize a COMPANY'S solvency or would place the COMPANY in violation of the insurance laws of any state;
7. 7. Determination by the Commissioner that continuation of the present premium volume of the COMPANY would jeopardize the COMPANY'S policyholders, creditors or the public;
8. 8. Such other reasons that are approved by the Commissioner;
9. 9. Determination by the Commissioner that the COMPANY no longer has adequate reinsurance to meet the ASSURED'S needs;
10. 10. Substantial breaches of contractual duties, conditions or warranties; or
11. 11. Unfavorable underwriting facts, specific to the ASSURED, existing that were not present at the inception of the Bond.

ICAP Bond  
Form 17-02-1360 (Rev. 10-99)

Page 1

#### Bonds In Effect Sixty (60) Days Or Less

If this Bond has been in effect for sixty (60) days or less, and it is not a renewal Bond, the COMPANY may terminate for any reason by providing written notice of termination at least sixty (60) days before the effective date of termination.

#### Notice Of Termination

Notice of termination under this Section shall be mailed or delivered, by certified mail, return receipt provided by the United States Postal Service, to the ASSURED and to the authorized agent or broker, if any, at least sixty (60) days prior to the effective date of cancellation at the address shown on the DECLARATIONS of this Bond.

If this Bond is cancelled for nonpayment of premium, the COMPANY will mail or deliver, by certified mail, return receipt provided by the United States Postal Service, a written notice at least thirty (30) days before the effective date of cancellation. The cancellation notice shall contain information regarding the amount of premium due and the due date, and shall state the effect of nonpayment by the due date. Cancellation shall not be effective if payment of the amount due is made prior to the effective date of cancellation.

All notice of cancellation shall state the reason(s) for cancellation.

There is no liability on the part of, and no cause of action of any nature shall arise against, the COMPANY, its authorized representatives, its employees, or any firm, person or corporation furnishing to the COMPANY, information relating to the reasons for cancellation or nonrenewal, for any statement made by them in complying or enabling the COMPANY to comply with this Section, for the provision of information pertaining thereto, or for statements made or evidence submitted at any hearings conducted in connection therewith, if such information was provided in good faith and without malice.

#### Notice Of Nonrenewal

If the COMPANY elects not to renew this Bond, the COMPANY shall mail or deliver written notice, by certified mail, return receipt, provided by the United States Postal Service, to the ASSURED, at his last known address, at least sixty (60) days before the expiration date or before the anniversary date, if this Bond has been written for a term of more than one (1) year. Such notice shall also be mailed to the ASSURED'S agent or broker, if any.

Such notice shall contain all of the following:

a. Bond Number;
b. Date of Notice;
c. Reason for Cancellation;
d. Expiration Date of the Bond;
e. Effective Date and Hour of Cancellation.

Notice of nonrenewal shall not be required if the COMPANY or a COMPANY within the same insurance group has offered to issue a renewal Bond, the ASSURED has obtained replacement coverage or has agreed in writing to obtain replacement coverage, the ASSURED has requested or agreed to nonrenewal, or the Bond is expressly designated as nonrenewable.

ICAP Bond
Form 17-02-1360 (Rev. 10-99)

Page 2

# Return Premium Calculations

Any unearned premiums which have been paid by the ASSURED shall be refunded to the ASSURED on a pro rata basis if terminated by the COMPANY or the ASSURED. The unearned premiums shall be refunded to the ASSURED within forty-five (45) days of receipt of the request for cancellation or the effective date of cancellation, whichever is later.

# Conditional Renewal

If the COMPANY offers or purports to renew the Bond, but on less favorable terms or at higher rates, the new terms or higher premiums may take effect on the renewal date, if the COMPANY mails or delivers by certified mail, return receipt provided by the United States Postal Service, to the ASSURED, notice of the new terms or premiums at least sixty (60) days prior to the renewal date. If the COMPANY notifies the ASSURED within sixty (60) days prior to the renewal date, the new terms or premiums do not take effect until sixty (60) days after the notice is mailed or delivered, in which case, the ASSURED may elect to cancel the renewal Bond within the sixty (60) day period. If the COMPANY does not notify the ASSURED of the new terms or premiums, the COMPANY shall continue the Bond at the expiring terms and premiums until notice is given or until the effective date of replacement coverage is obtained by the ASSURED, whichever occurs first."

2. It is further understood and agreed that for the purposes of Section 13., Termination, any occurrence listed in this Section shall be considered to be a request by the ASSURED to immediately terminate this Bond.

This Endorsement applies to loss discovered after 12:01 a.m. on December 16, 2022.

ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED.

Date: January 30, 2023

By

Authorized Representative

ICAP Bond
Form 17-02-1360 (Rev. 10-99)

Page 3

**FEDERAL INSURANCE COMPANY**

Endorsement No. 6

Bond Number: 82413983

NAME OF ASSURED: WILDERMUTH FUND

**REVISE ITEM 2. ENDORSEMENT**

It is agreed that this Bond is amended by deleting ITEM 2. in its entirety on the DECLARATIONS and substituting the following:

**ITEM 2. LIMITS OF LIABILITY-DEDUCTIBLE AMOUNTS:**

If "Not Covered" is inserted below opposite any specified INSURING CLAUSE, such INSURING CLAUSE and any other reference to such INSURING CLAUSE in this Bond shall be deemed to be deleted. **There shall be no deductible applicable to any loss under INSURING CLAUSE 1 sustained by any Investment Company.**

| INSURING CLAUSE | SINGLE LOSS LIMIT OF LIABILITY | DEDUCTIBLE AMOUNT |
| --- | --- | --- |
| 1. Employee | $525,000 | $0.00 |
| 2. On Premises | $525,000 | $25,000 |
| 3. In Transit | $525,000 | $25,000 |
| 4. Forgery or Alteration | $525,000 | $25,000 |
| 5. Extended Forgery | $525,000 | $25,000 |
| 6. Counterfeit Money | $525,000 | $25,000 |
| 7. Threats to Person | $525,000 | $25,000 |
| 8. Computer System | $525,000 | $25,000 |
| 9. Voice Initiated Funds Transfer Instruction | $525,000 | $25,000 |
| 10. Uncollectible Items of Deposit | $525,000 | $25,000 |
| 11. Audit Expense | $525,000 | $25,000 |
| 12. Social Engineering Fraud | $250,000 | $25,000 |

This Endorsement applies to loss discovered after 12:01 a.m. on December 16, 2022.

ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED.

Date: January 30, 2023

By

Authorized Representative

ICAP Bond
Form 17-02-1582 (Ed. 5-98)

Page 1

ENDORSEMENT/RIDER

Effective date of
this endorsement/rider: December 16, 2022

FEDERAL INSURANCE COMPANY

Endorsement/Rider No. 7

To be attached to and
form a part of Bond No. 82413983

Issued to: WILDERMUTH FUND

# DELETING VALUATION-OTHER PROPERTY AND AMENDING CHANGE OR MODIFICATION
ENDORSEMENT

In consideration of the premium charged, it is agreed that this Bond is amended as follows:

1. The paragraph titled Other Property in Section 9, Valuation, is deleted in its entirety.
2. The third paragraph in Section 16, Change or Modification, is deleted in its entirety and replaced with the following:

If this Bond is for a joint ASSURED, no change or modification which would adversely affect the rights of the ASSURED shall be effective prior to sixty (60) days after written notice has been furnished to all insured Investment Companies and the Securities and Exchange Commission, Washington, D.C., by the COMPANY.

The title and any headings in this endorsement/rider are solely for convenience and form no part of the terms and conditions of coverage.

All other terms, conditions and limitations of this Bond shall remain unchanged.

Authorized Representative

17-02-2437 (12/2006) rev.

Page 1

# WILDERMUTH FUND  
APPROVAL OF FIDELITY BOND  
DECEMBER 8, 2022 BOARD OF TRUSTEES MEETING

# *Authorization and Approval of Fidelity Bond*

**WHEREAS**, the Fund is required to and in fact currently maintains a Fidelity Bond in the minimum amount specified by Rule 17g-1 under the Investment Company Act; and

**WHEREAS**, in order to continue to maintain the required bond the Fund must apply for continuing fidelity bond coverage.

**IT IS THEREFORE RESOLVED**, that the appropriate officers of the Fund be and they hereby are authorized to apply for fidelity coverage for the Fund in the amount required by Rule 17g-1; and it is

**FURTHER RESOLVED**, that the appropriate officers of the Fund be, and each of them hereby is, authorized to obtain fidelity coverage for the Fund as required by the Rule and, upon receipt thereof, to file a copy of said fidelity bond with the SEC in accordance with the requirements of Rule 17g-1 under the 1940 Act; and it is

**FURTHER RESOLVED**, that the President of the Fund is designated as the person who shall execute the fidelity bond on behalf of the Fund and make, or cause to be made, the filings and give the notices required by Paragraph (h) of Rule 17g-1.

A premium of $4,800 has been paid for the $525,000 bond for the period of December 16, 2022 through December 16, 2023.