SEC Registration Nos.
Nos. 811-09877 and 333-34122
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT
UNDER
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| | THE SECURITIES ACT OF 1933 | | |
| | Post-Effective Amendment No. 43 | | x |
and/or
REGISTRATION STATEMENT
UNDER
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| | THE INVESTMENT COMPANY ACT OF 1940 | | |
| | Amendment No. 45 | | x |
Calvert Responsible Index Series, Inc.
(Exact Name of Registrant as Specified in Charter)
4550 Montgomery Avenue Bethesda, Maryland 20814
(Address of Principal Executive Offices)
Registrant’s Telephone Number: (301) 951-4800
John H. Streur
4550 Montgomery Avenue Bethesda, Maryland 20814
(Name and Address of Agent for Service)
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d) under the Securities Act of 1933, as amended.
EXPLANATORY NOTE
This post-effective amendment consists of the following:
N-1A Facing Page
Part C of the Registration Statement (including signature page)
Exhibits (as indicated below)
This Post-Effective Amendment is being filed pursuant to Rule 462(d) under the Securities Act of 1933, as amended, solely for the purpose of filing certain executed copies of exhibits to the Registration Statement.
Parts A and B are incorporated by reference to Post-Effective Amendment No. 43 to this Registration Statement, as filed on February 1, 2016.
PART C. OTHER INFORMATION
Item 28. Exhibits
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(a)(1) | Articles of Incorporation dated April 2000, filed herewith. |
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(a)(2) | Articles of Amendment, dated August 2015, filed herewith. |
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(a)(3) | Articles Supplementary, dated June 16, 2015, filed herewith. |
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(a)(4) | Articles Supplementary, dated October 2015, filed herewith. |
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(b) | Amended and restated By-Laws of the Registrant, adopted December 2014, is filed herewith. |
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(c) | Instruments Defining Rights of Security Holders (not applicable). |
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(d) | Investment Advisory Agreement for CIM incorporated by reference to Registrant's Post-Effective Amendment No. 8, January 30, 2006, Accession Number 0001105446-06-000002. Revised and Restated Schedule A to Investment Advisory Agreement, incorporated by reference to Registrant's Post-Effective Amendment No. 19, May 25, 2011, Accession Number 0001105446-11-000024. Addendum to Investment Advisory Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 19, May 25, 2011, Accession Number 0001105446-11-000024. Amendment to Advisory Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 20, filed January 30, 2012, Accession Number 0001105446-12-000001. Addendum to Investment Advisory Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 20, filed January 30, 2012, Accession Number 0001105446-12-000001. Addendum to Investment Advisory Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 24, filed January 30, 2014, Accession Number 0001105446-14-000002. Addendum to Revised and Restated Schedule A to Investment Advisory Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 24, filed January 30, 2014, Accession Number 0001105446-14-000002. Addendum to Investment Advisory Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 26, filed January 30, 2015, Accession Number 0001105446-15-000003. Revised Fee Cap Addendum, incorporated by reference to Registrant’s Post-Effective Amendment No. 32, filed June 18, 2015, Accession Number 0001105446-15-000043. Addendum to Revised and Restated Schedule A to Investment Advisory Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 32, filed June 18, 2015, Accession Number 0001105446-15-000043. Addendum to Investment Advisory Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 37, filed July 31, 2015, Accession Number 0001105446-15-000076. Addendum to Revised and Restated Schedule A to Investment Advisory Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 37, filed July 31, 2015, Accession Number 0001105446-15-000076. Addendum to Investment Advisory Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 40, filed January 29, 2016, Accession Number 0001105446-16-000111. |
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(e) | Underwriting (Distribution) Agreement with Schedules I, II and III, incorporated by reference to Registrant’s Post-Effective Amendment No. 19, May 25, 2011, Accession Number 0001105446-11-000024. Addendum to Underwriting Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 32, filed June 18, 2015, Accession Number 0001105446-15-000043. Addendum to Underwriting Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 37, filed July 31, 2015, Accession Number 0001105446-15-000076. |
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(f) | Directors' Deferred Compensation Agreement incorporated by reference to Registrant's Pre-Effective Amendment No. 3, June 29, 2000, Accession Number 0001105446-00-000014. |
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(g) | Custodial Contract incorporated by reference to Registrant's Pre-Effective Amendment No. 1, January 31, 2001, Accession Number 0001105446-01-000002. Amendment to the Custodial Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 32, filed June 18, 2015, Accession Number 0001105446-15-000043. Amendment to the Custodial Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 37, filed July 31, 2015, Accession Number 0001105446-15-000076. |
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(h)(1) | Amended Master Transfer Agency and Service Agreement incorporated by reference to Registrant's Post-Effective Amendment No. 10, January 31, 2008, Accession Number 0001105446-08-000001. Addendum to Master Transfer Agency and Service Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 22, filed January 30, 2013, Accession Number 0001105446-13-000001. Amendment to Master Transfer Agency and Service Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 40, filed January 29, 2016, Accession Number 0001105446-16-000111. |
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(h)(2) | Amended and Restated Servicing Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 22, filed January 30, 2013, Accession Number 0001105446-13-000001. Amendment to Servicing Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 32, filed June 18, 2015, Accession Number 0001105446-15-000043. Addendum to Schedule A to Servicing Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 37, filed July 31, 2015, Accession Number 0001105446-15-000076. |
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(h)(3) | Amended and Restated Administrative Services Agreement with Calvert Investment Administrative Services, incorporated by reference to Registrant’s Post-Effective Amendment No. 40, filed January 29, 2016, Accession Number 0001105446-16-000111. |
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(h)(4) | Licensing Agreement incorporated by reference to Registrant's Pre-Effective Amendment No. 3, June 29, 2000, Accession Number 0001105446-00-000014. |
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(h)(5) | Administration Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 40, filed January 29, 2016, Accession Number 0001105446-16-000111. Amendment to Administration Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 40, filed January 29, 2016, Accession Number 0001105446-16-000111. |
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(i) | Opinion and Consent of Counsel, incorporated by reference to Registrant’s Post-Effective Amendment No. 40, filed January 29, 2016, Accession Number 0001105446-16-000111. |
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(j) | Consent of Independent Auditors, incorporated by reference to Registrant’s Post-Effective Amendment No. 40, filed January 29, 2016, Accession Number 0001105446-16-000111. |
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(k) | Omitted Financial Statements, incorporated by reference to Registrant’s Post-Effective Amendment No. 40, filed January 29, 2016, Accession Number 0001105446-16-000111. |
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(l) | Letter Regarding Initial Capital incorporated by reference to Registrant's Pre-Effective Amendment No. 3, June 29, 2000, Accession Number 0001105446-00-000014. |
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(m) | Plan of Distribution for Class A incorporated by reference to Registrant's Post-Effective Amendment No. 8, January 30, 2006, Accession Number 0001105446-06-000002. Plan of Distribution for Class A, Addendum to Schedule, incorporated by reference to Registrant’s Post-Effective Amendment No. 32, filed June 18, 2015, Accession Number 0001105446-15-000043. Plan of Distribution for Class A, Addendum to Schedule, incorporated by reference to Registrant’s Post-Effective Amendment No. 37, filed July 31, 2015, Accession Number 0001105446-15-000076. Plan of Distribution for Class B, Addendum to Schedule, incorporated by reference to Registrant’s Post-Effective Amendment No. 37, filed July 31, 2015, Accession Number 0001105446-15-000076. |
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(n) | Amended and Restated Rule 18f-3 Multiple Class Plan, incorporated by reference to Registrant’s Post-Effective Amendment No. 24, filed January 30, 2014, Accession Number 0001105446-14-000002. Amended Rule 18f-3 Multiple Class Plan, incorporated by reference to Registrant’s Post-Effective Amendment No. 32, filed June 18, 2015, Accession Number 0001105446-15-000043. Amendment to Rule 18f-3 Multiple Class Plan, incorporated by reference to Registrant’s Post-Effective Amendment No. 37, filed July 31, 2015, Accession Number 0001105446-15-000076. |
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(o) | Reserved. |
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(p) | Amended Code of Ethics for Calvert Funds et al., dated October 2015 as revised January 2016, filed herewith. |
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(q) | Power of Attorney Forms, incorporated by reference to Registrant’s Post-Effective Amendment No. 40, filed January 29, 2016, Accession Number 0001105446-16-000111. |
Item 29. Persons Controlled by or Under Common Control With Registrant
Not applicable.
Item 30. Indemnification
Registrant's By-Laws, Item 28(b) of this Registration Statement, provides, in summary, that officers and trustees/directors shall be indemnified by Registrant against liabilities and expenses incurred by such persons in connection with actions, suits, or proceedings arising out of their offices or duties of employment, except that no indemnification can be made to such a person if he has been adjudged liable of willful misfeasance, bad faith, gross negligence, or reckless disregard of his duties. In the absence of such an adjudication, the determination of eligibility for indemnification shall be made by independent counsel in a written opinion or by the vote of a majority of a quorum of trustees/directors who are neither "interested persons" of Registrant, as that term is defined in Section 2(a)(19) of the Investment Company Act of 1940, nor parties to the proceeding.
Registrant may purchase and maintain liability insurance on behalf of any officer, trustee, director, employee or agent against any liabilities arising from such status. In this regard, Registrant will maintain an insurance policy, providing Registrant with trustees/directors and officers liability coverage, plus excess trustees/directors and officers liability coverage for the independent trustees/directors only. Registrant also maintains an Investment Company Blanket Bond. The Fund maintains joint coverage with the other Calvert Funds, and for the liability coverage, with the Advisor and its affiliated companies ("Calvert operating companies.") The premium and the coverage are allocated based on a method approved by the disinterested Fund trustees/directors.
Insofar as indemnification for liabilities arising under the Securities Act of 1933, as amended (the “1933 Act”), may be permitted to directors, trustees, officers and controlling persons of the Registrant and the principal underwriter pursuant to the foregoing provisions or otherwise, the Registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the 1933 Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, trustee, officer, or controlling person of the Registrant and the principal underwriter in connection with the successful defense of any action, suite or proceeding) is asserted against the Registrant by such director, trustee, officer or controlling person or principal underwriter in connection with the shares being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the 1933 Act and will be governed by the final adjudication of such issue.
Item 31. Business and Other Connections of Investment Advisor
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Name | Name of Company, Principal Business and Address | Capacity |
John H. Streur | | |
| Calvert Management Series Calvert Social Investment Fund The Calvert Fund Calvert Responsible Index Series, Inc. Calvert Impact Fund, Inc. Calvert Variable Series, Inc. Calvert World Values Fund, Inc. Calvert Variable Products, Inc. Investment Companies 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer, Trustee/ Director |
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| Calvert Investment Management, Inc. Investment Advisor 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer and Director |
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| Calvert Investments, Inc. Holding Company 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer and Director |
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| Calvert Investment Services, Inc. Shareholder Servicing Agent 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer and Director |
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| Calvert Investment Administrative Services, Inc. Service Company 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer and Director |
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| Calvert Investment Distributors, Inc. Broker-Dealer 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer and Director |
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Vicki L. Benjamin | | |
| Calvert Investments, Inc. Holding Company 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer and Director |
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| Calvert Investment Administrative Services, Inc. Service Company 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer and Director |
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| Calvert Investment Management, Inc. Investment Advisor 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer and Director |
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| Calvert Investment Services, Inc. Shareholder Servicing Agent 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer and Director |
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| Calvert Investment Distributors, Inc. Broker-Dealer 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer and Director |
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| Calvert Management Series Calvert Social Investment Fund The Calvert Fund Calvert Responsible Index Series, Inc. Calvert Impact Fund, Inc. Calvert Variable Series, Inc. Calvert World Values Fund, Inc. Calvert Variable Products, Inc. Investment Companies 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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Andrew K. Niebler | | |
| Calvert Investments, Inc. Holding Company 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Administrative Services, Inc. Service Company 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Management, Inc. Investment Advisor 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Services, Inc. Shareholder Servicing Agent 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Distributors, Inc. Broker-Dealer 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Management Series Calvert Social Investment Fund The Calvert Fund Calvert Responsible Index Series, Inc. Calvert Impact Fund, Inc. Calvert Variable Series, Inc. Calvert World Values Fund, Inc. Calvert Variable Products, Inc. Investment Companies 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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Robert D. Benson | | |
| Calvert Investments, Inc. Holding Company 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Administrative Services, Inc. Service Company 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Management, Inc. Investment Advisor 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Services, Inc. Shareholder Servicing Agent 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Distributors, Inc. Broker-Dealer 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Management Series Calvert Social Investment Fund The Calvert Fund Calvert Responsible Index Series, Inc. Calvert Impact Fund, Inc. Calvert Variable Series, Inc. Calvert World Values Fund, Inc. Calvert Variable Products, Inc. Investment Companies 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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Patrick Faul | | |
| Calvert Investment Management, Inc. Investment Advisor 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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John Nichols | | |
| Calvert Investment Management, Inc. Investment Advisor 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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Vishal Khanduja | | |
| Calvert Investment Management, Inc. Investment Advisor 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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Thomas A. Dailey | | |
| Calvert Investment Management, Inc. Investment Advisor 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Management Series Calvert Social Investment Fund The Calvert Fund Calvert Variable Series, Inc. Calvert Variable Products, Inc. Investment Companies 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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Robert J. Enderson | | |
| Calvert Investments, Inc. Holding Company 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Administrative Services, Inc. Service Company 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Management, Inc. Investment Advisor 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Services, Inc. Shareholder Servicing Agent 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Distributors, Inc. Broker-Dealer 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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Marybeth Pilat | | |
| Calvert Investments, Inc. Holding Company 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Administrative Services, Inc. Service Company 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Management, Inc. Investment Advisor 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Services, Inc. Shareholder Servicing Agent 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Investment Distributors, Inc. Broker-Dealer 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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| Calvert Management Series Calvert Social Investment Fund The Calvert Fund Calvert Responsible Index Series, Inc. Calvert Impact Fund, Inc. Calvert Variable Series, Inc. Calvert World Values Fund, Inc. Calvert Variable Products, Inc. Investment Companies 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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Stu Dalheim | | |
| Calvert Investment Management, Inc. Investment Advisor 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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Laurie Webster | | |
| Calvert Investment Management, Inc. Investment Advisor 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
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Erica Lasdon | | |
| Calvert Investment Management, Inc. Investment Advisor 4550 Montgomery Avenue Bethesda, Maryland 20814 | Officer |
Item 32. Principal Underwriters
(a) Registrant's principal underwriter underwrites shares of the following investment companies other than Registrant:
Calvert Management Series
Calvert Social Investment Fund
Calvert World Values Fund, Inc.
Calvert Responsible Index Series, Inc.
Calvert Variable Series, Inc.
Calvert Impact Fund, Inc.
Calvert Variable Products, Inc.
(b) Positions of Underwriter's Officers and Directors
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Name and Principal Business Address* | Position(s) and Offices with Underwriter | Position(s) and Offices with Registrant |
John H. Streur | Director and Chief Executive Officer | Director and President |
Vicki L. Benjamin | Director, Executive Vice President, Chief Financial Officer, Chief Operating Officer, and Treasurer | Treasurer |
Robert J. Enderson | Vice President, Corporate Finance, and Assistant Treasurer | Assistant Treasurer |
Marybeth Pilat | Assistant Treasurer and Anti-Money Laundering Officer | Fund Controller and Assistant Treasurer |
Alex Smith | Vice President, Investor Dealer Services | None |
Sonya Sbar | Vice President | None |
Anthony Eames | Senior Vice President | None |
Andrew Niebler | Assistant Secretary and Assistant Vice President | Assistant Secretary and Assistant Vice President |
Robert D. Benson | Assistant Secretary and Assistant Vice President | Assistant Secretary and Assistant Vice President |
* 4550 Montgomery Avenue Bethesda, Maryland 20814 (c) Inapplicable.
Item 33. Location of Accounts and Records
Vicki L. Benjamin, Treasurer
and
Andrew K. Niebler, Secretary
Calvert Responsible Index Series, Inc.
4550 Montgomery Avenue, Suite 1000N
Bethesda, Maryland 20814
Item 34. Management Services
Not Applicable
Item 35. Undertakings
Not Applicable
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant has duly caused this registration statement to be signed on its behalf by the undersigned, duly authorized, in the City of Bethesda, and State of Maryland on the 11th day of October 2016.
CALVERT RESPONSIBLE INDEX SERIES, INC.
By:/s/ John H. Streur
John H. Streur
President and Director
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it meets all of the requirements for effectiveness of this registration statement under Rule 485(b) under the Securities Act and has duly caused this registration statement to be signed on its behalf by the undersigned, duly authorized, in the City of Bethesda, and State of Maryland on the 11th day of October 2016.
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Signature | Title |
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__________**____________ D. WAYNE SILBY | DIRECTOR |
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__________**____________ JOHN G. GUFFEY, JR. | DIRECTOR |
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__________**____________ JOHN H. STREUR | PRESIDENT AND DIRECTOR (PRINCIPAL EXECUTIVE OFFICER) |
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__________**____________ VICKI L. BENJAMIN | TREASURER (PRINCIPAL FINANCIAL OFFICER) |
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__________**____________ REBECCA L. ADAMSON | DIRECTOR |
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__________**____________ RICHARD L. BAIRD, JR. | DIRECTOR |
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__________**_____________ JOY V. JONES | DIRECTOR |
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__________**____________ TERRENCE J. MOLLNER | DIRECTOR |
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__________**____________ SYDNEY A. MORRIS | DIRECTOR |
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__________**____________ MILES D. HARPER, III | DIRECTOR |
**By: /s/ Andrew K. Niebler
Andrew K. Niebler
Executed by Andrew K. Niebler, Attorney-in-fact on behalf of those indicated, incorporated by reference to Registrant’s Post-Effective Amendment No. 40, filed January 29, 2016, Accession Number 0001105446-16-000111.
Calvert Responsible Index Series, Inc.
Post-Effective Amendment No. 43
Registration No. 333-34122
EXHIBIT INDEX
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Exhibit No. | Description |
28(a)(1) | Articles of Incorporation |
28(a)(2) | Articles of Amendment |
28(a)(3) | Articles Supplementary |
28(a)(4) | Articles Supplementary |
28(b) | Amended and restated By-Laws of the Registrant |
28(p) | Amended Code of Ethics for Calvert Funds et al. |