Uniform Investment Company Notice Filing Form. This is a Virginia form and can be use in Blue Sky Secretary Of State.
Tags: Uniform Investment Company Notice Filing, NF, Virginia Secretary Of State, Blue Sky
UNIFORM INVESTMENT COMPANY NOTICE FILING Please Read Instructions Prior To Filling Out Form State File No. Notice to the State/Commonwealth of 1. Name of Issuer 2. Address 3. Type of Filing: (check all that apply) Open-end Mutual Fund Unit Investment Trust Closed-end Mutual Fund Initial Filing Renewal Filing Amendments Exemption Filing Termination Withdrawal Sales Report Increase Dollar Amount Other (specify) For name changes, provide former name: For amendments, specify nature of the change(s): 4. Description of Securities: Name of Fund Portfolio(s) Class(es) Fiscal Year End of the issuer (if applicable) Are all of the securities described on this form offered in one prospect us? Yes No 5. Contact Person: Name Firm Address City State ZIP Telephone FAX: E-Mail 6. CIK# (EDGAR) Federal ID# (if applicable) Broker-Dealer: SEC Registration No. (if applicable) Broker-Dealers CRD No.[: ] State of Incorporation/Charter 7. Notice Period: Beginning Date: ___/___/___ Ending Date: ___/___/___ The issuer elects to have its notice filing made effective upon filing. The issuer elects to have its notice filing period begin with SEC effec tiveness and thereby agrees to provide the above state prompt notice of such effectiveness. FORM NF (4/97) American LegalNet, Inc. www.USCourtForms.com>>>> 28. Notice Fee: $ _________________________ No Filing Fee Required Sales Report Fee (if applicable) $ ___________________ Other Fee $ _______________________________ Explain 9. To determine the basis used for calculating the filing fee, provide the following: Indefinite Amount Definite Amount $ Exemption Filing Net Assets: $ 10. For filings to increase the dollar amount of securities reported during the notice period, provide the following: (1) Previous Amount of Securities (2) Amount of Increase (3) Cumulative Amount of Securities 11. SALES REPORT To the extent not applicable, place N/A in the blank(s) Period Covered: Beginning date: ___/___/___ Ending: ___/___/___ Balance at beginning of period $ Increases during period $ Amount available for sale $ Sales during the period $ Unsold balance at end of period $ 12. UNIFORM CONSENT TO SERVICE OF PROCESS (select one) 1. Was previously filed with this state with respect to the issuer of the s ecurities covered by this notice and is incorporated by reference. 2. Is attached. 3. Not applicable (explain): 13. SIGNATURES The undersigned under penalties of perjury certifies that s/he has execu ted this Uniform Investment Company notice on behalf of, and with the authority of the issuer. The undersig ned and the issuer represent that the information and statements contained in the notice filed, are current, t rue and complete to the best of his or herknowledge, information and belief and that any documents submitted with the notice are true copies of the originals, and that the securities covered by this Notice are Covered Se curities as defined by Section 18(b)(2) of theSecurities Act of 1933. Dated this ____ day of _______________, _______ Month Year For: ______________________________________ By: Name of Issuer Signature of Authorized Agent of Issuer Print Name Title of Agent for Issuer The filing of this notice constitutes a binding agreement by the above-n amed issuer and under the laws of the jurisdiction in which this Form is filed, that upon receipt of a request from such jurisdiction, the issuer will promptlyprovide a copy of its current prospectus, and/or statement of additional information, and/or any other document, if any,as filed with the Securities and Exchange Commission. FORM NF American LegalNet, Inc. www.USCourtForms.com>>>> 3INSTRUCTIONS TO FORM NF Form NF should be used for investment company initial filings, renewals, amendments and sales reports. This form should be used for all filing options, including definite and indefinite filings. ITEM 1. Name of Issuer: State the name of the investment company for which the notice filing is being made. Do not use the name of the broker-dealer or distributor. ITEM 3. Amendment Filings: Provide the applicable information. However, it may not be necessary to complete the entire form. Amendments include changes in the corresponde nt or fund name or a new fiscal year end. Changes such as reorganizations should be reported under Other, with a written explanation. If in doubt about the proper category, use Other and provide an explanation. ITEM 4. Description of Securities: This information should be provided at the level necessary in the given state. For example, if the state is a trust level state, portfolio and class information may not be required. A separate Form NF should be filed for each portfolio or clas s, to the extent required by the given state. Attach a list of all portfolios or classes for trust l evel states. For states whose fees are basedon the prospectus, a separate Form NF should be filed for each prospectu s and should include a list of all securities listed in the prospectus. ITEM 6 CIK number (EDGAR): Please provide the Central Index Key Number that will cross-reference the SEC filing. Federal ID Numbers and SEC Registration Numbers: Federal identification numbers are only available for the fund or trust. Provide the Federal ID No. and SEC Registration No. if filing in a jurisdiction that requires these numbers. Fiscal Year: Fiscal year information is not required for unit investment trusts, s ince the filing period runs concurrently with SEC effectiveness. ITEM 7. Notice Period: The notice period is established by law, administrative regulation or policy in some jurisdictions. As a result, one or more of the three options provi ded on the form may not be available in each jurisdiction. In addition, if the issuer elects to begin the no tice filing period on the date of SEC effectiveness, the notice period will end on the date that a renewal fil ing is required. ITEM 12. Uniform Consent to Service of Process: The uniform consent to service of process form is separate from the Notice Filing Form (Form NF). Issuers shall use the Uniform Consent to Service of Process Form (Form U-2). PROSPECTUS AND STATEMENT OF ADDITIONAL INFORMATION . In some jurisdictions, you may be required by law, administrative regulation or policy to file the Form NF with a prospectus and/or statement of additional information. FORM NF American LegalNet, Inc. www.USCourtForms.com