Filed electronically with the Securities and Exchange Commission on January 24, 2020
1933 Act File No. 002-13628
1940 Act File No. 811-00043
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D. C. 20549
FORM N-1A
| REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 | |X| |
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| Pre-Effective Amendment No. | |__| |
| Post-Effective Amendment No.249 | |X| |
| and/or | |
| REGISTRATION STATEMENT UNDER THE | |
| INVESTMENT COMPANY ACT OF 1940 | |X| |
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| Amendment No.199 | |
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Deutsche DWS Investment Trust (Exact Name of Registrant as Specified in Charter) | |
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875 Third Avenue, New York, NY 10022-6225 (Address of Principal Executive Offices) (Zip Code) | |
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| Registrant’s Telephone Number, including Area Code: (212) 454-4500 | |
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John Millette Vice President and Secretary Deutsche DWS Investment Trust One International Place Boston, MA 02110-2618 (Name and Address of Agent for Service) | |
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With a copy to: John S. Marten Vedder Price P.C. 222 North LaSalle Street Chicago, Illinois 60601-1104 | |
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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
Post-Effective Amendment No. 247 to the Registration Statement on Form N-1A (File No. 002-13628) (the “Registration Statement”) of Deutsche DWS Investment Trust was filed on November 26, 2019, pursuant to Rule 485(b) under the Securities Act of 1933, as amended (the “Securities Act”). This Post-Effective Amendment No. 249 is being filed pursuant to Rule 462(d) under the Securities Act solely for the purpose of filing Exhibit (j)(2) as an additional exhibit to Post-Effective Amendment No. 247 to the Registration Statement. This Post-Effective Amendment No. 249 does not modify any other part of the Registration Statement. Pursuant to Rule 462(d) under the Securities Act, this Post-Effective Amendment No. 249 shall become effective immediately upon filing with the Securities and Exchange Commission. The contents of Part A and Part B of Post-Effective Amendment No. 247 to the Registration Statement are incorporated herein by reference.
PART C. OTHER INFORMATION
| Item 28. | Exhibits | | |
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| | (a) | (1) | Amended and Restated Declaration of Trust dated June 2, 2008. (Incorporated by reference to Post-Effective Amendment No. 171 to the Registration Statement, as filed on January 28, 2009.) |
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| | | (2) | Amended and Restated Establishment and Designation of Series and Classes of Shares of Beneficial Interest, With $0.01 Par Value, dated January 22, 2009. (Incorporated by reference to Post-Effective Amendment No. 172 to the Registration Statement, as filed on April 30, 2009.) |
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| | | (3) | Amended and Restated Establishment and Designation of Series and Classes of Shares of Beneficial Interest, With $0.01 Par Value, dated May 4, 2010. (Incorporated by reference to Post-Effective Amendment No. 190 to the Registration Statement, as filed on April 30, 2012.) |
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| | | (4) | Amended and Restated Establishment and Designation of Series and Classes of Shares of Beneficial Interest, With $0.01 Par Value, dated January 12, 2011. (Incorporated by reference to Post-Effective Amendment No. 182 to the Registration Statement, as filed on January 31, 2011.) |
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| | | (5) | Amended and Restated Establishment and Designation of Series and Classes of Shares of Beneficial Interest, With $0.01 Par Value, dated January 11, 2012. (Incorporated by reference to Post-Effective Amendment No. 190 to the Registration Statement, as filed on April 30, 2012.) |
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| | | (6) | Amended and Restated Establishment and Designation of Series and Classes of Shares of Beneficial Interest, With $0.01 Par Value, dated January 11, 2012. (Incorporated by reference to Post-Effective Amendment No. 192 to the Registration Statement, as filed on November 28, 2012.) |
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| | | (7) | Amendment, Statement of Change of Resident Agent dated September 7, 2012. (Incorporated by reference to Post-Effective Amendment No. 192 to the Registration Statement, as filed on November 28, 2012.) |
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| | | (8) | Amended and Restated Establishment and Designation of Series and Classes of Shares of Beneficial Interest, With $0.01 Par Value, dated July 9, 2014. (Incorporated by reference to Post-Effective Amendment No. 204 to the Registration Statement, as filed on August 20, 2014.) |
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| | | (9) | Amendment of Amended and Restated Declaration of Trust, dated July 9, 2014. (Incorporated by reference to Post-Effective Amendment No. 204 to the Registration Statement, as filed on August 20, 2014.) |
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| | | (10) | Amended and Restated Establishment and Designation of Series and Classes of Shares of Beneficial Interest, With $0.01 Par Value, dated July 9, 2014. (Incorporated by reference to Post-Effective Amendment No. 204 to the Registration Statement, as filed on August 20, 2014.) |
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| | | (11) | Amended and Restated Establishment and Designation of Series and Classes of Shares of Beneficial Interest, With $0.01 Par Value, dated January 6, 2015. (Incorporated by reference to Post-Effective Amendment No. 210 to the Registration Statement, as filed on January 16, 2015.) |
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| | | (12) | Amended and Restated Establishment and Designation of Series and Classes of Shares of Beneficial Interest, With $0.01 Par Value, dated February 12, 2016. (Incorporated by reference to Post-Effective Amendment No. 219 to the Registration Statement, as filed on May 27, 2016.) |
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| | | (13) | Amended and Restated Establishment and Designation of Series and Classes of Shares of Beneficial Interest, With $0.01 Par Value, dated December 2, 2016. (Incorporated by reference to Post-Effective Amendment No. 224 to the Registration Statement, as filed on December 8, 2016.) |
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| | | (14) | Amendment, Statement of Change of Principal Office, dated February 9, 2018. (Incorporated by reference to Post-Effective Amendment No. 235 to the Registration Statement, as filed on May 18, 2018.) |
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| | | (15) | Amended and Restated Establishment and Designation of Series and Classes of Shares of Beneficial Interest, With $0.01 Par Value, dated May 16, 2018. (Incorporated by reference to Post-Effective Amendment No. 235 to the Registration Statement, as filed on May 18, 2018.) |
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| | | (16) | Amended and Restated Establishment and Designation of Series and Classes of Shares of Beneficial Interest, With $0.01 Par Value, dated May 16, 2018. (Incorporated by reference to Post-Effective Amendment No. 236 to the Registration Statement, as filed on July 27, 2018.) |
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| | | (17) | Amendment of Amended and Restated Declaration of Trust, dated May 16, 2018. (Incorporated by reference to Post-Effective Amendment No. 236 to the Registration Statement, as filed on July 27, 2018.) |
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| | | (18) | Amended and Restated Establishment and Designation of Series and Classes of Shares of Beneficial Interest, With $0.01 Par Value, dated July 10, 2019. (Incorporated by reference to Post-Effective Amendment No. 245 to the Registration Statement, as filed on September 20, 2019.) |
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| | (b) | | Amended and Restated Bylaws dated December 1, 2015. (Incorporated by reference to Post-Effective Amendment No. 215 to the Registration Statement, as filed on November 25, 2015.) |
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| | (c) | | Instruments defining the rights of shareholders, including the relevant portions of: the Amended and Restated Declaration of Trust, dated June 2, 2008, as amended through July 10, 2019 (see Section 5.2), and the Amended and Restated Bylaws, dated December 1, 2015 (see Article 9). (Incorporated by reference to exhibits (a)(1) through (a)(18) and exhibit (b) to this Registration Statement.) |
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| | (d) | (1) | Amended and Restated Investment Management Agreement between the Registrant, on behalf of Deutsche Capital Growth Fund (now known as DWS Capital Growth Fund), Deutsche Core Equity Fund (now known as DWS Core Equity Fund) and Deutsche Large Cap Focus Growth Fund (now known as DWS Large Cap Focus Growth Fund) and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.) (dated June 1, 2006); between the Registrant, on behalf of Deutsche Small Cap Core Fund (now known as DWS Small Cap Core Fund), and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.) (dated June 1, 2006, as amended February 12, 2018); between the Registrant, on behalf of Deutsche Small Cap Growth Fund (now known as DWS Small Cap Growth Fund), and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.) (dated February 1, 2011, as amended September 28, 2017); and between the Registrant, on behalf of Deutsche CROCI® U.S. Fund (now known as DWS CROCI® U.S. Fund), and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.) (dated April 1, 2015, as amended October 1, 2016). (Incorporated by reference to Post-Effective Amendment No. 235 to the Registration Statement, as filed on May 18, 2018.) |
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| | | (2) | Investment Management Agreement between the Registrant, on behalf of DWS CROCI® Equity Dividend Fund, and DWS Investment Management Americas, Inc. (dated August 1, 2018). (Incorporated by reference to Post-Effective Amendment No. 236 to the Registration Statement, as filed on July 27, 2018.) |
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| | | (3) | Investment Management Agreement between the Registrant, on behalf of DWS Mid Cap Value Fund (now known as DWS ESG Core Equity Fund), and DWS Investment Management Americas, Inc. (dated August 1, 2018). (Incorporated by reference to Post-Effective Amendment No. 236 to the Registration Statement, as filed on July 27, 2018.) |
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| | | (4) | First Amendment, effective as of September 23, 2019, to the Investment Management Agreement between the Registrant, on behalf of DWS Mid Cap Value Fund (now known as DWS ESG Core Equity Fund), and DWS Investment Management Americas, Inc. (dated August 1, 2018). (Incorporated by reference to Post-Effective Amendment No. 245 to the Registration Statement, as filed on September 20, 2019.) |
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| | (e) | (1) | Master Distribution Agreement between the Registrant and DWS Investments Distributors, Inc. (now known as DWS Distributors, Inc.), dated January 13, 2010. (Incorporated by reference to Post-Effective Amendment No. 177 to the Registration Statement, as filed on March 2, 2010.) |
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| | | (2) | Appendix A, as amended July 2, 2018, to the Master Distribution Agreement dated January 13, 2010. (Incorporated by reference to Post-Effective Amendment No. 236 to the Registration Statement, as filed on July 27, 2018.) |
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| | | (3) | Form of Selling Group Agreement. (Incorporated by reference to Post-Effective Amendment No. 235 to the Registration Statement, as filed on May 18, 2018.) |
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| | (f) | | Not applicable. |
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| | (g) | (1) | Master Custodian Agreement between the Registrant and State Street Bank and Trust Company dated November 17, 2008. (Incorporated by reference to Post-Effective Amendment No. 171 to the Registration Statement, as filed on January 28, 2009.) |
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| | | (2) | Amendment, effective as of January 20, 2017, to the Master Custodian Agreement between the Registrant and State Street Bank and Trust Company dated November 17, 2008. (Incorporated by reference to the Form N-14 Registration Statement, File No. 333-220129, as filed on August 23, 2017.) |
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| | | (3) | Appendix A, effective as of September 23, 2019, to the Master Custodian Agreement dated November 17, 2008. (Incorporated by reference to Post-Effective Amendment No. 247 to the Registration Statement, as filed on November 26, 2019.) |
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| | (h) | (1) | Agency Agreement between the Registrant and DWS Scudder Investments Service Company (now known as DWS Service Company), dated April 1, 2007. (Incorporated by reference to Post-Effective Amendment No. 164 to the Registration Statement, as filed on April 30, 2007.) |
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| | | (2) | Amendment No. 1 made as of July 13, 2016 to the Agency Agreement dated April 1, 2007. (Incorporated by reference to Post-Effective Amendment No. 221 to the Registration Statement, as filed on October 7, 2016.) |
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| | | (3) | Amended and Restated Shareholder Services Agreement For Class A, Class C, and Class R Shares between the Registrant and DeAWM Distributors, Inc. (now known as DWS Distributors, Inc.), dated February 12, 2016. (Incorporated by reference to Post-Effective Amendment No. 219 to the Registration Statement, as filed on May 27, 2016.) |
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| | | (4) | Amended and Restated Administrative Services Agreement between the Registrant, on behalf of Deutsche Capital Growth Fund (now known as DWS Capital Growth Fund), Deutsche Core Equity Fund (now known as DWS Core Equity Fund), Deutsche CROCI® U.S. Fund (now known as DWS CROCI® U.S. Fund), Deutsche Large Cap Focus Growth Fund (now known as DWS Large Cap Focus Growth Fund), Deutsche Small Cap Core Fund (now known as DWS Small Cap Core Fund), and Deutsche Small Cap Growth Fund (now known as DWS Small Cap Growth Fund), and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.), dated May 16, 2018. (Incorporated by reference to Post-Effective Amendment No. 236 to the Registration Statement, as filed on July 27, 2018.) |
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| | | (5) | Fund Accounting Services Agreement between the Registrant, on behalf of DWS CROCI® Equity Dividend Fund and DWS Mid Cap Value Fund (now known as DWS ESG Core Equity Fund), and DWS Investment Management Americas, Inc., dated August 1, 2018. (Incorporated by reference to Post-Effective Amendment No. 238 to the Registration Statement, as filed on November 28, 2018.) |
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| | | (6) | Sub-Administration and Sub-Accounting Agreement among State Street Bank and Trust Company and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.), Scudder Fund Accounting Corporation, and Investment Company Capital Corp. dated as of April 1, 2003. (Incorporated by reference to Post-Effective Amendment No. 215 to the Registration Statement, as filed on November 25, 2015.) |
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| | | (7) | Amendment, effective as of January 20, 2017, to the Sub-Administration and Sub-Accounting Agreement dated April 1, 2003. (Incorporated by reference to the Form N-14 Registration Statement, File No. 333-220129, as filed on August 23, 2017.) |
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| | | (8) | Amendment, effective as of June 29, 2018, to the Sub-Administration and Sub-Accounting Agreement dated April 1, 2003. (Incorporated by reference to Post-Effective Amendment No. 236 to the Registration Statement, as filed on July 27, 2018.) |
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| | | (9) | Schedule A, dated as of October 1, 2019, to Sub-Administration and Sub-Accounting Agreement dated April 1, 2003. (Incorporated by reference to Post-Effective Amendment No. 247 to the Registration Statement, as filed on November 26, 2019.) |
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| | | (10) | Form of Mutual Fund Rule 22c-2 Information Sharing Agreement among Registrant, DWS Distributors, Inc. and certain financial intermediaries. (Incorporated by reference to Post-Effective Amendment No. 247 to the Registration Statement, as filed on November 26, 2019.) |
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| | | (11) | Form of Expense Limitation Agreement, dated October 1, 2007 between the Registrant and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.) ( Incorporated by reference to Post-Effective Amendment No. 247 to the Registration Statement, as filed on November 26, 2019.) |
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| | (i) | (1) | Legal Opinion and Consent of Counsel with respect to Scudder Growth and Income Fund (now known as DWS Core Equity Fund). (Incorporated by reference to Post-Effective Amendment No. 133 to the Registration Statement, as filed on August 16, 2002.) |
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| | | (2) | Legal Opinion and Consent of Counsel with respect to Scudder Capital Growth Fund (now known as DWS Capital Growth Fund), Scudder Large Company Growth Fund (now known as DWS Large Cap Focus Growth Fund), and Scudder Small Company Stock Fund (now known as DWS Small Cap Core Fund). (Incorporated by reference to Post-Effective Amendment No. 134 to the Registration Statement, as filed on November 29, 2002.) |
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| | | (3) | Legal Opinion and Consent of Counsel with respect to DWS Small Cap Growth Fund. (Incorporated by reference to Post-Effective Amendment No. 182 to the Registration Statement, as filed on January 31, 2011.) |
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| | | (4) | Legal Opinion and Consent of Counsel with respect to Class R shares of DWS Core Equity Fund and DWS Small Cap Growth Fund. (Incorporated by reference to Post-Effective Amendment No. 190 to the Registration Statement, as filed on April 30, 2012.) |
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| | | (5) | Legal Opinion and Consent of Counsel with respect to Class R6 shares of Deutsche Capital Growth Fund (now known as DWS Capital Growth Fund). (Incorporated by reference to Post-Effective Amendment No. 204 to the Registration Statement, as filed on August 20, 2014.) |
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| | | (6) | Legal Opinion and Consent of Counsel with respect to Class R6 shares of Deutsche Core Equity Fund and Deutsche Small Cap Growth Fund (now known as DWS Core Equity Fund and DWS Small Cap Growth Fund, respectively). (Incorporated by reference to Post-Effective Amendment No. 205 to the Registration Statement, as filed on August 22, 2014.) |
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| | | (7) | Legal Opinion and Consent of Counsel with respect to Deutsche CROCI® U.S. Fund (now known as DWS CROCI® U.S. Fund). (Incorporated by reference to Post-Effective Amendment No. 213 to the Registration Statement, as filed on March 31, 2015.) |
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| | | (8) | Legal Opinion and Consent of Counsel with respect to Class R6 and Institutional Class shares of Deutsche Small Cap Core Fund (now known as DWS Small Cap Core Fund). (Incorporated by reference to Post-Effective Amendment No. 219 to the Registration Statement, as filed on May 27, 2016.) |
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| | | (9) | Legal Opinion and Consent of Counsel with respect to Class R shares of Deutsche CROCI® U.S. Fund (now known as DWS CROCI® U.S. Fund). (Incorporated by reference to Post-Effective Amendment No. 224 to the Registration Statement, as filed on December 8, 2016.) |
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| | | (10) | Legal Opinion and Consent of Counsel with respect to Class T shares of Deutsche Capital Growth Fund, Deutsche Core Equity Fund, Deutsche Small Cap Core Fund, and Deutsche Small Cap Growth Fund (now known as DWS Capital Growth Fund, DWS Core Equity Fund, DWS Small Cap Core Fund, and DWS Small Cap Growth Fund, respectively). (Incorporated by reference to Post-Effective Amendment No. 227 to the Registration Statement, as filed on January 31, 2017.) |
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| | | (11) | Legal Opinion and Consent of Counsel with respect to Class T shares of Deutsche CROCI® U.S. Fund and Deutsche Large Cap Focus Growth Fund (now known as DWS CROCI® U.S. Fund and DWS Large Cap Focus Growth Fund, respectively). (Incorporated by reference to Post-Effective Amendment No. 229 to the Registration Statement, as filed on March 15, 2017.) |
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| | | (12) | Legal Opinion and Consent of Counsel with respect to DWS CROCI® Equity Dividend Fund and DWS Mid Cap Value Fund (now known as DWS ESG Core Equity Fund). (Incorporated by reference to Post-Effective Amendment No. 236 to the Registration Statement, as filed on July 27, 2018.) |
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| | (j) | (1) | Consent of Independent Registered Public Accounting Firm. (Incorporated by reference to Post-Effective Amendment No. 247 to the Registration Statement, as filed on November 26, 2019.) |
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| | | (2) | Consent of Independent Public Accounting Firm. (Filed herein.) |
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| | (k) | | Not applicable. |
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| | (l) | | Not applicable. |
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| | (m) | (1) | Rule 12b-1 Plan for Scudder Capital Growth Fund (now known as DWS Capital Growth Fund) - Class A shares, dated December 29, 2000. (Incorporated by reference to Post-Effective Amendment No. 124 to the Registration Statement, as filed on December 29, 2000.) |
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| | | (2) | Rule 12b-1 Plan for Deutsche Capital Growth Fund (now known as DWS Capital Growth Fund) – Class T shares, dated December 2, 2016. (Incorporated by reference to Post-Effective Amendment No. 227 to the Registration Statement, as filed on January 31, 2017.) |
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| | | (3) | Amended and Restated Rule 12b-1 Plan for Deutsche Capital Growth Fund (now known as DWS Capital Growth Fund) – Class C shares, dated February 10, 2017. (Incorporated by reference to Post-Effective Amendment No. 229 to the Registration Statement, as filed on March 15, 2017.) |
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| | | (4) | Amended and Restated Rule 12b-1 Plan for Deutsche Capital Growth Fund (now known as DWS Capital Growth Fund) – Class R Shares, dated February 10, 2017. (Incorporated by reference to Post-Effective Amendment No. 229 to the Registration Statement, as filed on March 15, 2017.) |
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| | | (5) | Rule 12b-1 Plan for Scudder Growth and Income Fund (now known as DWS Core Equity Fund) - Class A shares, dated December 29, 2000. (Incorporated by reference to Post-Effective Amendment No. 190 to the Registration Statement, as filed on April 30, 2012.) |
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| | | (6) | Rule 12b-1 Plan for Deutsche Core Equity Fund (now known as DWS Core Equity Fund) – Class T shares, dated December 2, 2016. (Incorporated by reference to Post-Effective Amendment No. 227 to the Registration Statement, as filed on January 31, 2017.) |
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| | | (7) | Amended and Restated Rule 12b-1 Plan for Deutsche Core Equity Fund (now known as DWS Core Equity Fund) – Class C shares, dated February 10, 2017. (Incorporated by reference to Post-Effective Amendment No. 229 to the Registration Statement, as filed on March 15, 2017.) |
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| | | (8) | Amended and Restated Rule 12b-1 Plan for Deutsche Core Equity Fund (now known as DWS Core Equity Fund) – Class R shares, dated February 10, 2017. (Incorporated by reference to Post-Effective Amendment No. 229 to the Registration Statement, as filed on March 15, 2017.) |
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| | | (9) | Rule 12b-1 Plan for Scudder Large Company Growth Fund (now known as DWS Large Cap Focus Growth Fund) – Class A shares, dated December 29, 2000. (Incorporated by reference to Post-Effective Amendment No. 211 to the Registration Statement, as filed on January 27, 2015.) |
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| | | (10) | Rule 12b-1 Plan for Deutsche Large Cap Focus Growth Fund (now known as DWS Large Cap Focus Growth Fund) – Class T shares, dated December 2, 2016. (Incorporated by reference to Post-Effective Amendment No. 229 to the Registration Statement, as filed on March 15, 2017.) |
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| | | (11) | Amended and Restated Rule 12b-1 Plan for Deutsche Large Cap Focus Growth Fund (now known as DWS Large Cap Focus Growth Fund) – Class C shares, dated February 10, 2017. (Incorporated by reference to Post-Effective Amendment No. 229 to the Registration Statement, as filed on March 15, 2017.) |
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| | | (12) | Rule 12b-1 Plan for Scudder Small Company Stock Fund (now known as DWS Small Cap Core Fund) – Class A shares, dated December 29, 2000. (Incorporated by reference to Post-Effective Amendment No. 124 to the Registration Statement, as filed on December 29, 2000.) |
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| | | (13) | Rule 12b-1 Plan for Deutsche Small Cap Core Fund (now known as DWS Small Cap Core Fund) – Class T shares, dated December 2, 2016. (Incorporated by reference to Post-Effective Amendment No. 227 to the Registration Statement, as filed on January 31, 2017.) |
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| | | (14) | Amended and Restated Rule 12b-1 Plan for Deutsche Small Cap Core Fund (now known as DWS Small Cap Core Fund) – Class C shares, dated February 10, 2017. (Incorporated by reference to Post-Effective Amendment No. 229 to the Registration Statement, as filed on March 15, 2017.) |
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| | | (15) | Rule 12b-1 Plan for DWS Small Cap Growth Fund – Class A shares, dated February 1, 2011. (Incorporated by reference to Post-Effective Amendment No. 182 to the Registration Statement, as filed on January 31, 2011.) |
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| | | (16) | Rule 12b-1 Plan for Deutsche Small Cap Growth Fund (now known as DWS Small Cap Growth Fund) – Class T shares, dated December 2, 2016. (Incorporated by reference to Post-Effective Amendment No. 227 to the Registration Statement, as filed on January 31, 2017.) |
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| | | (17) | Amended and Restated Rule 12b-1 Plan for Deutsche Small Cap Growth Fund (now known as DWS Small Cap Growth Fund) – Class C shares, dated February 10, 2017. (Incorporated by reference to Post-Effective Amendment No. 229 to the Registration Statement, as filed on March 15, 2017.) |
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| | | (18) | Amended and Restated Rule 12b-1 Plan for Deutsche Small Cap Growth Fund (now known as DWS Small Cap Growth Fund) – Class R shares, dated February 10, 2017. (Incorporated by reference to Post-Effective Amendment No. 229 to the Registration Statement, as filed on March 15, 2017.) |
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| | | (19) | Rule 12b-1 Plan for Deutsche CROCI® U.S. Fund (now known as DWS CROCI® U.S. Fund) – Class A Shares, dated April 1, 2015. (Incorporated by reference to Post-Effective Amendment No. 213 to the Registration Statement, as filed on March 31, 2015.) |
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| | | (20) | Rule 12b-1 Plan for Deutsche CROCI® U.S. Fund (now known as DWS CROCI® U.S. Fund) – Class T Shares, dated December 2, 2016. (Incorporated by reference to Post-Effective Amendment No. 229 to the Registration Statement, as filed on March 15, 2017.) |
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| | | (21) | Amended and Restated Rule 12b-1 Plan for Deutsche CROCI® U.S. Fund (now known as DWS CROCI® U.S. Fund) – Class C Shares, dated February 10, 2017. (Incorporated by reference to Post-Effective Amendment No. 229 to the Registration Statement, as filed on March 15, 2017.) |
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| | | (22) | Amended and Restated Rule 12b-1 Plan for Deutsche CROCI® U.S. Fund (now known as DWS CROCI® U.S. Fund) – Class R Shares, dated February 10, 2017. (Incorporated by reference to Post-Effective Amendment No. 229 to the Registration Statement, as filed on March 15, 2017.) |
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| | | (23) | Rule 12b-1 Plan for DWS CROCI® Equity Dividend Fund – Class A Shares, dated August 1, 2018. (Incorporated by reference to Post-Effective Amendment No. 236 to the Registration Statement, as filed on July 27, 2018.) |
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| | | (24) | Rule 12b-1 Plan for DWS CROCI® Equity Dividend Fund – Class T Shares, dated August 1, 2018. (Incorporated by reference to Post-Effective Amendment No. 236 to the Registration Statement, as filed on July 27, 2018.) |
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| | | (25) | Rule 12b-1 Plan for DWS CROCI® Equity Dividend Fund – Class C Shares, dated August 1, 2018. (Incorporated by reference to Post-Effective Amendment No. 238 to the Registration Statement, as filed on November 28, 2018.) |
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| | | (26) | Rule 12b-1 Plan for DWS CROCI® Equity Dividend Fund – Class R Shares, dated August 1, 2018. (Incorporated by reference to Post-Effective Amendment No. 238 to the Registration Statement, as filed on November 28, 2018.) |
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| | | (27) | Rule 12b-1 Plan for DWS Mid Cap Value Fund (now known as DWS ESG Core Equity Fund) – Class A Shares, dated August 1, 2018. (Incorporated by reference to Post-Effective Amendment No. 236 to the Registration Statement, as filed on July 27, 2018.) |
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| | | (28) | Rule 12b-1 Plan for DWS Mid Cap Value Fund (now known as DWS ESG Core Equity Fund) – Class T Shares, dated August 1, 2018. (Incorporated by reference to Post-Effective Amendment No. 236 to the Registration Statement, as filed on July 27, 2018.) |
| | | | |
| | | (29) | Rule 12b-1 Plan for DWS Mid Cap Value Fund (now known as DWS ESG Core Equity Fund) – Class C Shares, dated August 1, 2018. (Incorporated by reference to Post-Effective Amendment No. 238 to the Registration Statement, as filed on November 28, 2018.) |
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| | | (30) | Rule 12b-1 Plan for DWS Mid Cap Value Fund (now known as DWS ESG Core Equity Fund) – Class R Shares, dated August 1, 2018. (Incorporated by reference to Post-Effective Amendment No. 238 to the Registration Statement, as filed on November 28, 2018.) |
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| | (n) | | Amended and Restated Multi-Distribution System Plan, pursuant to Rule 18f-3, dated August 10, 2018. (Incorporated by reference to Post-Effective Amendment No. 238 to the Registration Statement, as filed on November 28, 2018.) |
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| | (o) | | Reserved. |
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| | (p) | (1) | Code of Ethics - DWS – U.S., dated September 10, 2019. (Incorporated by reference to Post-Effective Amendment No. 245 to the Registration Statement, as filed on September 20, 2019.) |
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| | | (2) | DWS Funds and Germany Funds Code of Ethics, dated June 19, 2019. (Incorporated by reference to Post-Effective Amendment No. 245 to the Registration Statement, as filed on September 20, 2019.) |
| Item 29. | Persons Controlled by or under Common Control with the Fund |
None.
Article IV of the Registrant’s Amended and Restated Declaration of Trust (Exhibit (a)(1) hereto, which is incorporated herein by reference) (the “Declaration of Trust”) provides in effect that the Registrant will indemnify its officers and trustees under certain circumstances. However, in accordance with Sections 17(h) and 17(i) of the Investment Company Act of 1940, as amended (the “1940 Act”), and its own terms, said Article of the Declaration of Trust does not protect the Registrant’s officers and trustees against any liability to the Registrant or its shareholders to which such officer or trustee would otherwise be subject by reason of willful misfeasance, bad faith, gross negligence, or reckless disregard of the duties involved in the conduct of his or her office.
Each of the trustees who is not an “interested person” (as defined under the 1940 Act) of the Registrant (a “Non-interested Trustee”) has entered into an indemnification agreement with the Registrant, which agreement provides that the Registrant shall indemnify the Non-interested Trustee against certain liabilities which such Non-interested Trustee may incur while acting in the capacity as a trustee, officer or employee of the Registrant to the fullest extent permitted by law, now or in the future, and requires indemnification and advancement of expenses unless prohibited by law. The indemnification agreement cannot be altered without the consent of the Non-interested Trustee and is not affected by amendment of the Declaration of Trust. In addition, the indemnification agreement adopts certain presumptions and procedures which may make the process of indemnification and advancement of expenses, more timely, efficient and certain. In accordance with Section 17(h) of the 1940 Act, the indemnification agreement does not protect a Non-interested Trustee against any liability to the Registrant or its shareholders to which such Non-interested Trustee would otherwise be subject by reason of willful misfeasance, bad faith, gross negligence, or reckless disregard of the duties involved in the conduct of his or her office.
The Registrant has purchased insurance policies insuring its officers and trustees against certain liabilities which such officers and trustees may incur while acting in such capacities and providing reimbursement to the Registrant for sums which it may be permitted or required to pay to its officers and trustees by way of indemnification against such liabilities, subject to certain deductibles.
| Item 31. | Business and Other Connections of Investment Advisor |
During the last two fiscal years, no director or officer of DWS Investment Management Americas, Inc., the investment advisor, has engaged in any other business, profession, vocation or employment of a substantial nature other than that of the business of investment management and, through affiliates, investment banking.
| Item 32. | Principal Underwriters |
(a)
DWS Distributors, Inc. acts as principal underwriter of the Registrant’s shares and acts as principal underwriter for registered open-end management investment companies and other funds managed by DWS Investment Management Americas, Inc.
(b)
Information on the officers and directors of DWS Distributors, Inc., principal underwriter for the Registrant, is set forth below. The principal business address is 222 South Riverside Plaza, Chicago, Illinois 60606-5808.
| (1) | (2) | (3) |
DWS Distributors, Inc. Name and Principal Business Address | Positions and Offices with DWS Distributors, Inc. | Positions and Offices with Registrant | |
| | | | |
JJ Wilczewski 222 South Riverside Plaza Chicago, IL 60606-5808 | Director, President, CEO and Chairman of the Board | None | |
| | | | |
Bobby Brooks One International Place Boston, MA 02110-2618 | Director and Vice President | None | |
| | | | |
Nicole Grogan 875 Third Avenue New York, NY 10022-6225 | Director and Vice President | None | |
| | | | |
Kristin Kulik-Peters 222 South Riverside Plaza Chicago, IL 60606-5808 | Director and Vice President | None | |
| | | | |
Michael Hughes 222 South Riverside Plaza Chicago, IL 60606-5808 | Director and Vice President | None | |
| | | | |
Cynthia P. Nestle 875 Third Avenue New York, NY 10022-6225 | Chief Operating Officer | None | |
| | | | |
Nancy Tanzil 875 Third Avenue New York, NY 10022-6225 | Chief Financial Officer and Treasurer | None | |
| | | | |
Frank Gecsedi 875 Third Avenue New York, NY 10022-6225 | Chief Compliance Officer | None | |
| | | | | |
| (1) | (2) | (3) |
DWS Distributors, Inc. Name and Principal Business Address | Positions and Offices with DWS Distributors, Inc. | Positions and
Offices with Registrant |
| | | |
Anjie LaRocca 875 Third Avenue New York, NY 10022-6225 | Secretary | None |
| | | |
Hepsen Uzcan 875 Third Avenue New York, NY 10022-6225 | Assistant Secretary | President and Chief Executive Officer |
| | | |
(c) Not applicable.
| Item 33. | Location of Accounts and Records |
The accounts and records of the Registrant are located, in whole or in part, at the office of the Registrant and the following locations:
| Advisor and Administrator (Accounting Agent, as applicable) | DWS Investment Management Americas, Inc. 875 Third Avenue New York, NY 10022-6225 |
| | |
| | DWS Investment Management Americas, Inc. One International Place Boston, MA 02110-2618 |
| | |
| | DWS Investment Management Americas, Inc. 5022 Gate Parkway Jacksonville, FL 32256-7019 |
| | |
| Custodian and Sub-Administrator (Sub-Accounting Agent, as applicable) | State Street Bank and Trust Company State Street Financial Center One Lincoln Street Boston, MA 02111-2900 |
| | |
| Sub-Transfer Agent | DST Systems, Inc. 333 West 11th Street Kansas City, MO 64105-1628 |
| | |
| Distributor | DWS Distributors, Inc. 222 South Riverside Plaza Chicago, IL 60606-5808 |
| | |
| Storage Vendor | Iron Mountain Incorporated 12646 NW 115th Avenue Medley, FL 33178-3179 |
| Item 34. | Management Services |
Not applicable.
Not applicable.
SIGNATURES
As required by the Securities Act of 1933, this Registration Statement has been signed on behalf of the registrant, in the City of New York and the State of New York on the 17th day of January 2020.
DEUTSCHE DWS INVESTMENT TRUST
By:/s/Hepsen Uzcan
Hepsen Uzcan*
President
As required by the Securities Act of 1933, the Registration Statement has been signed below by the following persons in the capacities indicated on January 17, 2020:
| SIGNATURE | TITLE | DATE |
| | | |
| /s/Hepsen Uzcan | | |
| Hepsen Uzcan* | President | January 17, 2020 |
| | | |
| /s/Diane Kenneally | | |
| Diane Kenneally | Chief Financial Officer and Treasurer | January 17, 2020 |
| | | |
| /s/John W. Ballantine | | |
| John W. Ballantine* | Trustee | January 17, 2020 |
| | | |
| /s/ Dawn-Marie Driscoll | | |
| Dawn-Marie Driscoll* | Trustee | January 17, 2020 |
| | | |
| /s/ Keith R. Fox | | |
| Keith R. Fox* | Chairperson and Trustee | January 17, 2020 |
| | | |
| /s/ Richard J. Herring | | |
| Richard J. Herring* | Trustee | January 17, 2020 |
| | | |
| /s/William McClayton | | |
| William McClayton* | Trustee | January 17, 2020 |
| | | |
| /s/ Rebecca W. Rimel | | |
| Rebecca W. Rimel* | Trustee | January 17, 2020 |
| | | |
| /s/ William N. Searcy, Jr. | | |
| William N. Searcy, Jr.* | Trustee | January 17, 2020 |
| | | |
| | | |
*By:/s/ Caroline Pearson
Caroline Pearson**
Chief Legal Officer
| ** | Attorney-in-fact pursuant to the powers of attorney previously filed. |
DEUTSCHE DWS INVESTMENT TRUST
EXHIBIT INDEX
(j)(2)
17
