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Form N-8B-2 Registration Statement Of Unit Investment Trusts Which Are Currently Issuing Securities (SEC977) Form. This is a Official Federal Forms form and can be use in Securities And Exchange Commission.
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SEC0977 (3 10 ) Persons who 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. SEC 0977 (5-19) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-8B-2 REGISTRATION STATEMENT OF UNIT INVESTMENT TRUSTS WHICH ARE CURRENTLY ISSUING SECURITIES Pursuant to Section 8(b) of the Investment Company Act of 1940 Name of Unit Investment Trust Not the issuer of periodic payment plan certificates. Issuer of periodic payment plan certificates. CONTENTS Items INSTRUCTIONS I 1-9 ORGANIZATION AND GENERAL INFORMATION II GENERAL DESCRIPTION OF TRUST AND SECURITIES OF THE TRUST 10 General Information Concerning the Securities of the Trust and the Rights of Holders 11-12 Information Concerning the Securities Underlying the Trust222s Securities 13 Information Concerning Loads, Fees, Charges and Expenses 14-24 Information Concerning the Operations of the Trust 14 Issuance of Securities 15 Receipt of Payments 16 Purchase and Sale of Underlying Securities 17 Redemption of Securities 18 Distributions and Reinvestment 19 Records and Accounts 20 Indenture Provisions Regarding Depositor, Trustee or Indenture Changes 21 Loans to Security Holders 22 Limitations on Liability 23 Bonding of Officers and Employees 24 Other Material Provisions 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. NOTE: This version of Form N-8B-2 includes certain amendments that the Commission recently adopted, as indicated in bracketed text throughout this document. More information about these amendments222 compliance dates may be found in the Commission releases cited in the bracketed text. hours per response ......................... 10 Estimated avera g e burden OMB Number: 3235-0186 Expires: March 31, 2022 OMB APPROVAL American LegalNet, Inc. www.FormsWorkFlow.com 2 III ORGANIZATION, PERSONNEL AND AFFILIATED PERSONS OF DEPOSITOR 25-27 Organization and Operations of Depositor 28 Officials and Affiliated Persons of Depositor 29 Companies Owning Securities of Depositor 30 Controlling Persons Compensation of Officers and Directors of Depositor: 31 Compensation of Officers of Depositor 32 Compensation of Directors 33 Compensation to Employees 34 Compensation to Other Persons IV DISTRIBUTIONAND REDEMPTION OF SECURITIES 35-38 Distribution of Securities 39-43 Information Concerning Principal Underwriter 44 Offering Price or Acquisition Valuation of Securities of the Trust 45 Suspension of Redemption Rights 46 Redemption Valuation of Securities of the Trust 47 Purchase and Sale of Interests in Underlying Securities from and to Security Holders V INFORMATION CONCERNING THE TRUSTEE OR CUSTODIAN 48 General Information 49 Fees Paid 50 Lien on Assets VI 51 Information Concerning Insurance of Holders of Securities VII 52 Policy of Registrant 53 Regulated Investment Company VIII FINANCIAL AND STATISTICAL INFORMATION 54 Asset Value and Dividends 55-58 Certain Information Regarding Periodic Payment Plan Certificates 59 Instructions as to Financial Statements IX EXHIBITS SIGNATURE American LegalNet, Inc. www.FormsWorkFlow.com 3 GENERAL INSTRUCTIONS FOR FORM N-8B-2 READ INSTRUCTIONS CAREFULLY BEFORE PREPARING THE REGISTRATION STATEMENT. THE REGISTRATION STATEMENT WILL NOT BE DEEMED ACCEPTABLE UNLESS IT IS PREPARED, EXECUTED AND FILED SUBSTANTIALLY IN ACCORDANCE WITH THESE INSTRUCTIONS: 1. Rule as to Use of Form This form shall be used as the form for registration statements to be filed, pursuant to Section 8(b) of the Investment Company Act of 1940, by unit investment trusts other than separate accounts that are currently issuing securities, including unit investment trusts that are issuers of periodic payment plan certificates and unit investment trusts of which a management investment company is the sponsor or depositor. 2. Preparation and Filing of Registration Statement (a) Every item is to be answered as of the date of execution of the registration statement unless the context clearly indicates the contrary. All answers are to be printed, mimeographed or typewritten in black ink, and prepared on good quality white paper, 8275224 x 13224 in size, leaving a back or stitching margin of at least 1275224. Tables, financial statements and schedules, however, may be on larger paper if folded to such size. Documents submitted as exhibits may differ from such size. All copies of the registration statement shall be unbound except by clips or removable staples. (b) The answer to each item shall contain the full text of such item (but not necessarily any notes or instructions accompanying the item) and the full heading of each table. However, the tabular form may be dispensed with, provided all of the information called for by the table is furnished. Every item and subdivision thereof is to be answered fully and accurately and if the answer is in the negative or if the item or subdivision is not applicable, it is to be answered in appropriate negative form, such as 223none224 or 223not applicable.224 If an item or subdivision which calls for the preparation of information in tabular form is not applicable, it is not necessary to retype the table called for under that particular item. However, the answer must indicate that such item or subdivision thereof is 223not applicable.224 (c) Provisions of Indentures or Agreements: Reference to indenture provisions should be succinct and condensed and should not quote such provisions verbatim unless necessary to do so. The answer may be qualified, however, by reference to particular provisions of any indenture set forth as an exhibit. (d) Incorporation by Reference: The answer to any of the Items 1 to 54 in the registration statement may be incorporated by reference as answer, or partial answer, to any of such items, provided that the item referred to is specifically designated. However, none of the financial statements, nor any of the exhibits, required by the registration statement may be incorporated by reference as all or part of the answer to any of such items. (e) Names shall be given in full. Initials will not suffice. (f) Information Unknown or Not Available: Information required need be given only insofar as known or reasonably available to the depositor or the trustee or custodian. If any required information is unknown and not reasonably available either because the obtaining thereof would involve unreasonable effort or expense, or because it rests peculiarly within the knowledge of another person neither controlling, controlled by, nor under common control with the trust, depositor or trustee or custodian, such information may be omitted subject to the following conditions: (1) Such information as is known or can be acquired without unreasonable effort or expense shall be given together with the sources thereof. A disclaimer of responsibility for the accuracy or completeness of all or part of such information may be included. (2) As to all information omitted, a statement shall be included either showing that unreasonable effort or expense would be involved or indicating the absence of either any relationship with, or any control over, the person within whose knowledge the information rests and stating the result of a request made to such person for such information. (g) It is recommended that to the extent the preparation of the registration statement requires data pertaining to persons other than the person filing the statement on behalf of the trust, such data should be obtained under the signature of the person to whom it pertains. These signed statements should be kept by the depositor or trustee or custodian for future reference, and the information therein contained should constitute the basis for preparing the answers to such items of the registration statement. (h) Signature: The original copy of the registration statement shall be filed on behalf of the trust by an officer, director or partner of its depositor or