Latest filings (excl ownership)
425
Business combination disclosure
14 May 19
425
Business combination disclosure
7 May 19
425
Business combination disclosure
26 Apr 19
425
Business combination disclosure
9 Apr 19
DEFM14A
Proxy related to merger
9 Apr 19
425
Business combination disclosure
8 Apr 19
N-CEN
Annual report (registered investment company)
13 Mar 19
425
Business combination disclosure
8 Mar 19
N-CSR
Certified annual shareholder report (management investment company)
1 Mar 19
425
Business combination disclosure
15 Feb 19
425
Business combination disclosure
1 Feb 19
425
Business combination disclosure
15 Jan 19
425
Business combination disclosure
31 Dec 18
N-CSRS
Certified semi-annual shareholder report (management investment company)
29 Aug 18
N-PX
Annual report of proxy voting record
29 Aug 18
EFFECT
Notice of effectiveness
1 May 18
CORRESP
Correspondence with SEC
30 Apr 18
CORRESP
Correspondence with SEC
26 Apr 18
CORRESP
Correspondence with SEC
26 Apr 18
N-CSR
Certified annual shareholder report (management investment company)
1 Mar 18
EFFECT
Notice of effectiveness
5 Feb 18
CORRESP
Correspondence with SEC
1 Feb 18
CORRESP
Correspondence with SEC
1 Feb 18
CORRESP
Correspondence with SEC
18 Jan 18
N-CSRS
Certified semi-annual shareholder report (management investment company)
28 Aug 17
N-PX
Annual report of proxy voting record
28 Aug 17
POS EX
Additional exhibits for listing
1 Aug 17
EFFECT
Notice of effectiveness
8 May 17
CORRESP
Correspondence with SEC
5 May 17
CORRESP
Correspondence with SEC
4 May 17
CORRESP
Correspondence with SEC
4 Apr 17
CORRESP
Correspondence with SEC
17 Feb 17
UPLOAD
Letter from SEC
29 Dec 16
Latest ownership filings
3
Richard Bram Smith
13 Jul 18
4
Michael Tamasco
22 Sep 17
4
Gustav F. Bahn
5 Sep 17
4
David Roy Miller
10 Aug 17
4
John F. Yang
10 Aug 17
4
Christopher M. Hilbert
10 Aug 17
4
Richard D. Gann
10 Aug 17
3
Michael Tamasco
1 Aug 17
3
Terry A. Wettergreen
8 May 17
3
Branko Krmpotic
8 May 17
3
Initial statement of insider ownership
8 May 17
3
Ned Brines
8 May 17
3
Paul J Echausse
8 May 17
3
David Scopelliti
8 May 17
3
T ULRICH BRECHBUHL
8 May 17
3
Gustav F. Bahn
8 May 17
3
Richard D. Gann
8 May 17
3
Initial statement of insider ownership
8 May 17
3
Christopher M. Hilbert
8 May 17
3
Initial statement of insider ownership
8 May 17
3
David Roy Miller
8 May 17
3
John F. Yang
8 May 17
3
Mitchell S. Vance
8 May 17