Grundläggande statistik
| CIK | 1105076 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Arbitrage Funds - Arbitrage Fund Class I
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| February 5, 2025 |
February 5, 2025 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Attn: Ms. Christina Fettig Re: The Arbitrage Funds - Registration Nos. 333-30470 and 811-09815 AltShares Trust – Registration Nos. 333-233772 and 811-23475 (the “Registrants”) Dear Ms. Fettig: This letter is in response to your comments provided |
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| April 27, 2022 |
Arbitrage Fund Portfolio of Investments February 28, 2022 (unaudited) Shares Value COMMON STOCKS - 86. |
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| April 27, 2022 |
Arbitrage Fund Portfolio of Investments February 28, 2022 (unaudited) Shares Value COMMON STOCKS - 86. |
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| April 27, 2022 |
Arbitrage Fund Portfolio of Investments February 28, 2022 (unaudited) Shares Value COMMON STOCKS - 86. |
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| January 3, 2022 |
January 3, 2022 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Attn: Ms. Christina Fettig Re: The Arbitrage Funds - Registration Nos. 333-30470 and 811-09815 (the ?Registrant?) Dear Ms. Fettig: This letter is in response to your comments provided via telephone conference on November 22, 2021, December 22, 202 |
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| October 21, 2021 |
Arbitrage Fund Portfolio of Investments August 31, 2021 (unaudited) Shares Value COMMON STOCKS - 83. |
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| October 21, 2021 |
Arbitrage Fund Portfolio of Investments August 31, 2021 (unaudited) Shares Value COMMON STOCKS - 83. |
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| October 21, 2021 |
Arbitrage Fund Portfolio of Investments August 31, 2021 (unaudited) Shares Value COMMON STOCKS - 83. |
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| October 21, 2021 |
Arbitrage Fund Portfolio of Investments August 31, 2021 (unaudited) Shares Value COMMON STOCKS - 83. |
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| April 26, 2021 |
Arbitrage Fund Portfolio of Investments February 28, 2021 (unaudited) Shares Value COMMON STOCKS - 84. |
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| April 26, 2021 |
Arbitrage Fund Portfolio of Investments February 28, 2021 (unaudited) Shares Value COMMON STOCKS - 84. |
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| April 26, 2021 |
Arbitrage Fund Portfolio of Investments February 28, 2021 (unaudited) Shares Value COMMON STOCKS - 84. |
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| April 26, 2021 |
Arbitrage Fund Portfolio of Investments February 28, 2021 (unaudited) Shares Value COMMON STOCKS - 84. |
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| October 21, 2020 |
Arbitrage Fund Portfolio of Investments August 31, 2020 (unaudited) Shares Value COMMON STOCKS - 60. |
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| October 21, 2020 |
Arbitrage Fund Portfolio of Investments August 31, 2020 (unaudited) Shares Value COMMON STOCKS - 60. |
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| October 21, 2020 |
Arbitrage Fund Portfolio of Investments August 31, 2020 (unaudited) Shares Value COMMON STOCKS - 60. |
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| October 21, 2020 |
Arbitrage Fund Portfolio of Investments August 31, 2020 (unaudited) Shares Value COMMON STOCKS - 60. |
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| September 29, 2020 |
September 29, 2020 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Ms. |
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| September 23, 2020 |
September 23, 2020 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Ms. |
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| August 17, 2020 |
DEF 14C 1 tm2025968d2def14c.htm DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C (Rule 14c-101) Information Required in Information Statement Schedule 14C Information Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Pr |
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| July 31, 2020 |
100 Summer Street Floor 7 Mail Stop SUM 0703 Boston, MA 02111 July 31, 2020 U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 VIA EDGAR RE: The Arbitrage Funds (the “Registrant”) (File Nos. 333-30470; 811-09815) Ladies and Gentlemen: On behalf of the Registrant, we are filing, via the EDGAR system, Post-Effective Amendment No. 47 under the Securities Act of 1933, as a |
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| July 31, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C (Rule 14c-101) Information Required in Information Statement Schedule 14C Information Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Information Statement ¨ Confid |
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| April 22, 2020 |
Arbitrage Fund Portfolio of Investments February 29, 2020 (unaudited) Shares Value COMMON STOCKS - 83. |
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| April 22, 2020 |
Arbitrage Fund Portfolio of Investments February 29, 2020 (unaudited) Shares Value COMMON STOCKS - 83. |
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| April 22, 2020 |
Arbitrage Fund Portfolio of Investments February 29, 2020 (unaudited) Shares Value COMMON STOCKS - 83. |
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| April 22, 2020 |
Arbitrage Fund Portfolio of Investments February 29, 2020 (unaudited) Shares Value COMMON STOCKS - 83. |
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| October 25, 2019 |
NPORT-EX 1 NPORT13706178501163711.htm The Arbitrage Fund Portfolio of Investments August 31, 2019 (unaudited) Shares Value COMMON STOCKS - 87.53% Aerospace & Defense - 1.28% Cobham Plc(a) 2,962,492 $ 5,821,686 Wesco Aircraft Holdings, Inc.(a) 1,468,006 16,148,066 21,969,752 Apparel - 0.10% Perry Ellis International, Inc.(a)(b) 828,485 1,781,243 Auto Parts & Equipment - 2.94% Tower International, I |
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| October 25, 2019 |
The Arbitrage Fund Portfolio of Investments August 31, 2019 (unaudited) Shares Value COMMON STOCKS - 87. |
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| October 25, 2019 |
NPORT-EX 1 NPORT13706198854824279.htm The Arbitrage Fund Portfolio of Investments August 31, 2019 (unaudited) Shares Value COMMON STOCKS - 87.53% Aerospace & Defense - 1.28% Cobham Plc(a) 2,962,492 $ 5,821,686 Wesco Aircraft Holdings, Inc.(a) 1,468,006 16,148,066 21,969,752 Apparel - 0.10% Perry Ellis International, Inc.(a)(b) 828,485 1,781,243 Auto Parts & Equipment - 2.94% Tower International, I |
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| October 25, 2019 |
The Arbitrage Fund Portfolio of Investments August 31, 2019 (unaudited) Shares Value COMMON STOCKS - 87. |
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| October 4, 2019 |
October 4, 2019 Fatima Sulaiman [email protected] T +1 202 778 9082 VIA EDGAR AND E-MAIL F +1 202 778 9100 Ms. Elena Stojic U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Responses to Securities and Exchange Commission Staff Comments on Post-Effective Amendment No. 44 to the Registration Statement on Form N-1A of Arbitrage Funds (File Nos. 333-30470; 81 |
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| September 24, 2019 |
September 24, 2019 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Ms. |
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| August 1, 2019 |
100 Summer Street Floor 7 Mail Stop SUM 0703 Boston, MA 02111 August 1, 2019 U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 VIA EDGAR RE: The Arbitrage Funds (the “Registrant”) (File Nos. 333-30470; 811-09815) Ladies and Gentlemen: On behalf of the Registrant, we are filing, via the EDGAR system, Post-Effective Amendment No. 44 under the Securities Act of 1933, as |
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| April 23, 2019 |
I, John S. Orrico, certify that: Exhibit 99.CERT CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
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| April 23, 2019 |
Arbitrage Funds N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orrico W |
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| March 25, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C (Rule 14c-101) Information Required in Information Statement Schedule 14C Information Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Information S |
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| March 13, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C (Rule 14c-101) Information Required in Information Statement Schedule 14C Information Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Information S |
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| December 19, 2018 |
Drinker Biddle & Reath LLP One Logan Square, Ste. 2000 Philadelphia, PA 19103-6996 (215) 988-2700 (Phone) (215) 988-2757 (Facsimile) www.drinkerbiddle.com December 19, 2018 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Attn: Ms. Christina Fettig Re: The Arbitrage Funds - Registration Nos. 33-30470 and 811-09 |
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| October 29, 2018 |
I, John S. Orrico, certify that: Exhibit 99.CERT CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
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| October 29, 2018 |
Arbitrage Funds N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orrico W |
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| October 1, 2018 |
CORRESP 1 filename1.htm October 1, 2018 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Ms. Rebecca Marquigny Re: The Arbitrage Funds (Registration No. 333-30470/811-09815) Response to Examiner Comments on Post-Effective Amendment No. 42 Dear: Ms. Marquigny: This letter responds to your comments provided via telephone on September 17, 20 |
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| August 1, 2018 |
100 Summer Street Floor 7 Mail Stop SUM 0703 Boston, MA 02111 August 1, 2018 U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 VIA EDGAR RE: The Arbitrage Funds (the ?Registrant?) (File Nos. 333-30470; 811-09815) Ladies and Gentlemen: On behalf of the Registrant, we are filing, via the EDGAR system, Post-Effective Amendment No. 42 under the Securities Act of 1933, as |
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| April 27, 2018 |
Arbitrage Funds N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orrico W |
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| April 27, 2018 |
I, John S. Orrico, certify that: Exhibit 99.CERT CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
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| October 26, 2017 |
I, John S. Orrico, certify that: Exhibit 99.CERT CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
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| October 26, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orrico W |
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| April 27, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orrico W |
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| April 27, 2017 |
I, John S. Orrico, certify that: CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the ?Registrant?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to |
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| April 3, 2017 |
April 3, 2017 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Ms. |
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| February 2, 2017 |
100 Summer Street Floor 7 Mail Stop SUM 0703 Boston, MA 02111 February 2, 2017 U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 VIA EDGAR RE: The Arbitrage Funds (the “Registrant”) (File Nos. 333-30470; 811-09815) Ladies and Gentlemen: On behalf of the Registrant, we are filing, via the EDGAR system, Post-Effective Amendment No. 37 under the Securities Act of 1933, a |
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| January 26, 2017 |
EX-99.77E: Legal Proceedings The Arbitrage Fund and dozens of other entities and individuals have been named as defendants in an adversary proceeding pending in the United States Bankruptcy Court for the Southern District of New York (Weisfelner, as Trustee of the LB Creditor Trust v. Fund 1, et al., Adv. Pro. No. 1004609). The complaint alleges that payments made to shareholders of Lyondell Chemi |
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| October 26, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orrico W |
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| October 26, 2016 |
I, John S. Orrico, certify that: Exhibit 99.CERT CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
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| April 29, 2016 |
I, John S. Orrico, certify that: Exhibit 99.CERT CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
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| April 29, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orrico W |
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| February 26, 2016 |
Drinker Biddle & Reath LLP One Logan Square, Ste. 2000 Philadelphia, PA 19103-6996 (215) 988-2700 (Phone) (215) 988-2757 (Facsimile) www.drinkerbiddle.com February 26, 2016 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Attn: Mr. Jacob Sandoval Re: The Arbitrage Funds - Registration Nos. 33-30470 and 811-0981 |
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| January 29, 2016 |
THE ARBITRAGE FUNDS FORM N-SAR File No. 811-09815 Six Months Ended November 30, 2015 Exhibits Ex-99.77E: Legal Proceedings The Arbitrage Fund and dozens of other entities and individuals have been named as defendants in an adversary proceeding pending in the United States Bankruptcy Court for the Southern District of New York (Weisfelner, as Trustee of the LB Creditor Trust v. Fund 1, et al., Adv. |
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| December 22, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement. o Confidential, for use of the Commission Only |
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| December 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement. o Confidential, for use of the Commission Only (as permitted by R |
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| October 30, 2015 |
EX99.CERT CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
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| October 30, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orrico |
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| July 30, 2015 |
Report of Independent Registered Public Accounting Firm EX-99.77B ACCT LTTR 2 arbitragensar.htm Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of The Arbitrage Funds In planning and performing our audit of the financial statements of The Arbitrage Funds (comprising The Arbitrage Fund, The Arbitrage Event-Driven Fund, The Arbitrage Credit Opportunities Fund, and The Arbitrage Tactical Equity Fund) (the |
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| July 30, 2015 |
77(Q)1(e): During the six-month period ended May 31, 2015, The Arbitrage Funds (the “Registrant”) offered the following series and share classes: Series Class(es) Registration Statement The Arbitrage Tactical Equity Fund A, C, I & R Post-Effective Amendment No. |
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| July 30, 2015 |
EX-99.77I NEW SECUR 3 exhibit77iarbitrage.htm Sub-Item 77I: During the six-month period ended May 31, 2015, The Arbitrage Funds (the “Registrant”) offered the following series and share classes: Series Class(es) Registration Statement The Arbitrage Tactical Equity Fund A, C, I & R Post-Effective Amendment No. 31 (SEC Accession No. 0001398344-14-006547) Post-Effective Amendment No. 31 include the t |
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| July 30, 2015 |
77(Q)1(d): During the six-month period ended May 31, 2015, The Arbitrage Funds (the “Registrant”) offered the following series and share classes: Series Class(es) Registration Statement The Arbitrage Tactical Equity Fund A, C, I & R Post-Effective Amendment No. |
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| April 28, 2015 |
Exhibit 99.Cert CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
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| April 28, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orrico |
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| January 29, 2015 |
EX-99.77E LEGAL 2 arbitragensaraexhibit77e0129.htm Legal Proceedings In December 2007, the Arbitrage Fund as a shareholder of Lyondell Chemical Company (“Lyondell”), participated in a cash out merger of Lyondell in which the Arbitrage Fund received cash in exchange for its ownership in Lyondell. Subsequent to this, Lyondell filed for bankruptcy and the entities which emerged through the plan of re |
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| December 19, 2014 |
Drinker Biddle & Reath LLP One Logan Square, Ste. 2000 Philadelphia, PA 19103-6996 (215) 988-2700 (Phone) (215) 988-2757 (Facsimile) www.drinkerbiddle.com December 19, 2014 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Ms. Karen Rosotto Re: The Arbitrage Funds (Registration No. 333-30470/811-09815) Response to Examiner Comments on Post |
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| October 23, 2014 |
EX99.CERT CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
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| October 23, 2014 |
N-Q 1 fp0011917nq.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal executive offices) (Zip |
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| October 8, 2014 |
COVER 13 filename13.htm Drinker Biddle & Reath LLP One Logan Square, Suite 2000 Philadelphia, PA 19103 (215) 988-2700 (Phone) (215) 988-2757 (Facsimile) www.drinkerbiddle.com October 8, 2014 VIA EDGAR TRANSMISSION Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: The Arbitrage Funds (the “Trust”) (1933 Act Registration No. 333-30470) (1940 Act Registration No. 811-09 |
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| July 30, 2014 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of The Arbitrage Funds In planning and performing our audit of the financial statements of The Arbitrage Funds (comprising, respectively, The Arbitrage Fund, The Arbitrage Event-Driven Fund, and The Arbitrage Credit Opportunities Fund) (the “Funds”) as of and for the year ended May 31, 2014, in accord |
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| April 29, 2014 |
Certifications Exhibit 99.Cert CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, |
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| April 29, 2014 |
Quarterly Schedule of Portfolio Holdings - THE ARBITRAGE FUNDS The Arbitrage Funds UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 20, 2014 |
Converted by EDGARwiz February 20, 2014 VIA EDGAR Mr. Jeff Long Senior Staff Accountant U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street NE Washington D.C. 20549-8626 RE: The Arbitrage Funds (the “Registrant”) Investment Company Act File No. 811-09815 Dear Mr. Long: On behalf of the Registrant, this letter responds to your comme |
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| October 30, 2013 |
Quarterly Schedule of Portfolio Holdings - THE ARBITRAGE FUNDS N-Q 1 d619020dnq.htm THE ARBITRAGE FUNDS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal exec |
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| October 30, 2013 |
Certifications Exhibit 99.Cert CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, |
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| July 30, 2013 |
Report of Independent Registered Public Accounting Firm EX-99.77B ACCT LTTR 2 arb77b.htm Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of The Arbitrage Funds In planning and performing our audit of the financial statements of The Arbitrage Funds (comprising, respectively, The Arbitrage Fund, The Arbitrage Event-Driven Fund, The Arbitrage Credit Opportunities Fund) (the “Funds”) as of and for the year |
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| May 29, 2013 |
Letter to the SEC Table of Contents ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414. |
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| April 29, 2013 |
Certifications Exhibit 99.Cert CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, |
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| April 29, 2013 |
Quarterly Schedule of Portfolio Holdings - ARBITRAGE NQ Arbitrage NQ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal executive offices) (Zip code) Jo |
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| April 1, 2013 |
COVER 15 filename15.htm April 1, 2013 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE, SUITE 3800 MILWAUKEE, WISCONSIN 53202-5306 414.271.2400 TEL 414.297.4900 FAX www.foley.com WRITER’S DIRECT LINE 414.297.5596 [email protected] Email CLIENT/MATTER NUMBER 047293-0101 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: The Arbitrage Funds – File Nos. 333-30470 and |
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| January 29, 2013 |
THE ARBITRAGE FUNDS The Arbitrage Credit Opportunities Fund CONSENT OF SOLE SHAREHOLDER Converted by EDGARwiz THE ARBITRAGE FUNDS The Arbitrage Credit Opportunities Fund CONSENT OF SOLE SHAREHOLDER Pursuant to Article 8, Section 8. |
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| October 25, 2012 |
Quarterly Schedule of Portfolio Holdings - ARBITRAGE NQ Arbitrage NQ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal executive offices) (Zip code) Jo |
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| October 25, 2012 |
Certification Exhibit 99.Cert CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, n |
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| September 27, 2012 |
The Arbitrage Funds Comment Response Letter to the SEC September 27, 2012 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414. |
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| September 27, 2012 |
The Arbitrage Funds Acceleration Request The Arbitrage Funds 41 Madison Avenue 42nd Floor New York, New York 10010 September 27, 2012 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N. |
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| September 21, 2012 |
September 21, 2012 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414. |
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| August 27, 2012 |
Converted by EDGARwiz Exhibit 77(Q)(1)(f) August 17, 2012 Office of the Chief Accountant Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: The Arbitrage Fund and The Arbitrage Event Driven Fund, each a series of shares of The Arbitrage Funds Commission File Number 811-09815 Dear Sirs: We have received a copy of, and are in agreement with, the statements being made by The Arbitrage Funds pursuant to Item 304(a) of Regulation S-K in its Form N-SAR dated July 30, 2012, captioned “Change in Independent Registered Public Accounting Firm. |
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| July 30, 2012 |
Report of Independent Registered Public Accounting Firm EX-99.77B ACCT LTTR 2 arb77b.htm Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of The Arbitrage Funds In planning and performing our audits of the financial statements of The Arbitrage Fund and The Arbitrage Event-Driven Fund (the Funds) which comprise the Arbitrage Funds as of and for the year ended May 31, 2012, in accordance with the standards |
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| July 30, 2012 |
CHANGE IN INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CHANGE IN INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM On May 8, 2012, the Audit Committee of the Board of Trustees (the “Board”) of The Arbitrage Funds (the “Trust”) recommended, and the Board appointed, Ernst & Young LLP as the Trust’s independent registered public accounting firm for the fiscal year ended May 31, 2012. |
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| July 18, 2012 |
Letter to the SEC July 18, 2012 ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE, SUITE 3800 MILWAUKEE, WISCONSIN 53202-5306 414. |
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| May 25, 2012 |
ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE MILWAUKEE, WI 53202-5306 414.271.2400 TEL 414.297.4900 FAX www.foley.com WRITER’S DIRECT LINE 414.297.5596 [email protected] EMAIL CLIENT/MATTER NUMBER 047293-0101 May 25, 2012 VIA EDGAR SYSTEM Ms. Karen Rosotto U.S. Securities and Exchange Commission Division of Investment Management Washington, D.C. 20549 Re: The Arbitrage Funds (Investment Company Act |
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| April 27, 2012 |
Certifications Exhibit 99.Cert CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, |
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| April 27, 2012 |
Quarterly Schedule of Portfolio Holdings - ARBITRAGE FUNDS Arbitrage Funds UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) 41 Madison Avenue, 42nd Floor, New York, NY 10010 (Address of principal executive offices) (Zip code) |
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| March 30, 2012 |
Letter to the SEC ATTORNEYS AT LAW 777 East WISCONSIN AVENUE, SUITE 3800 MILWAUKEE, WISCONSIN 53202-5306 414. |
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| October 28, 2011 |
Certification Exhibit 99.Cert CERTIFICATION I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, n |
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| October 28, 2011 |
The Arbitrage Funds UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 26, 2011 |
October 26, 2011 VIA EDGAR Ms. Christina DiAngelo Senior Staff Accountant U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street NE Washington D.C. 20549-8626 RE: The Arbitrage Funds (the “Registrant” or the “Fund(s)”) - Notification of Late Filing on Form 12b-25 (the “Form”) Investment Company Act File No. 811-09815 Dear Ms. DiAngelo |
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| October 24, 2011 |
Professional Memo October 24, 2011 VIA EDGAR Ms. Christina DiAngelo Senior Staff Accountant U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street NE Washington D.C. 20549-8626 RE: The Arbitrage Funds (the “Registrant” or the “Fund(s)”) Investment Company Act File No. 811-09815 Dear Ms. DiAngelo, On behalf of the Registrant, this lett |
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| April 29, 2011 |
/s/ John S. Orrico John S. Orrico President and Treasurer exv99wcert Exhibit 99.CERT Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances unde |
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| April 29, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File Number 811-09815 The Arbitrage Funds (Exact name of registrant as specified in charter) 41 Madison Avenue 42nd Floor New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orrico Wat |
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| November 1, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM N-Q - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) - 41 Madison Avenue 28th Floor New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orri |
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| November 1, 2010 |
EXHIBIT 99.CERT CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which suc |
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| September 28, 2010 |
CORRESP 1 filename1.txt [GRAPHIC OMITTED] FOLEY & LARDNER LLP ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE, SUITE 3800 MILWAUKEE, WISCONSIN 53202-5306 414.271.2400 TEL 414.297.4900 FAX www.foley.com WRITER'S DIRECT LINE 414.297.5596 [email protected] Email CLIENT/MATTER NUMBER 047293-0103 September 28, 2010 VIA EDGAR SYSTEM - Mr. Howie Hallock U.S. Securities and Exchange Commission Division of Inve |
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| April 28, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM N-Q - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) - 41 Madison Avenue 28th Floor New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orri |
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| April 28, 2010 |
EXHIBIT 99.CERT CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which suc |
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| October 30, 2009 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, John S. |
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| October 30, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM N-Q - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) - 41 Madison Avenue 28th Floor New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orri |
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| October 2, 2009 |
CORRESP 1 filename1.htm ATTORNEYS AT LAW 777 EAST WISCONSIN AVENUE, SUITE 3800 MILWAUKEE, WISCONSIN 53202-5306 414.271.2400 TEL 414.297.4900 FAX www.foley.com October 2, 2009 WRITER’S DIRECT LINE 414.297.5596 [email protected] Email CLIENT/MATTER NUMBER 047293-0101 Via EDGAR System Mr. Howie Hallock Ms. Christina DiAngelo U.S. Securities and Exchange Commission Division of Investment Management Wa |
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| October 1, 2009 |
CORRESP 1 filename1.txt [GRAPHIC OMITTED] October 1, 2009 VIA EDGAR AND EMAIL - U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street, NE Washington, D.C. 20549 Attention: Ms. Christina DiAngelo Re: The Arbitrage Fund (File No. 811-09815) Ms. DiAngelo: This letter responds to comments given by you to Eric Kleinschmidt, in his capacit |
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| April 29, 2009 |
THE ARBITRAGE FUND NQ 2_09 COMBINED UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM N-Q - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) - 41 Madison Avenue 28th Floor New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orri |
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| April 29, 2009 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, John S. |
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| April 29, 2009 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Eric Kleinschmidt, certify that: 1. |
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| October 30, 2008 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, John S. |
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| October 30, 2008 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Eric Kleinschmidt, certify that: 1. |
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| October 30, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM N-Q - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) - 41 Madison Avenue 28th Floor New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orri |
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| April 29, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM N-Q - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) - 41 Madison Avenue 28th Floor New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orri |
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| April 29, 2008 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Eric Kleinschmidt, certify that: 1. |
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| April 29, 2008 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, John S. |
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| February 22, 2008 |
February 22, 2008 VIA EDGAR AND EMAIL - - U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street, NE Washington, D.C. 20549 Attention: Ms. Christina DiAngelo Re: The Arbitrage Fund (File No. 811-09815) Ms. DiAngelo: This letter responds to comments given by you to Matthew Hemberger, in his capacity as Vice President and Chief Complian |
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| October 29, 2007 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, John S. |
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| October 29, 2007 |
THE ARBITRAGE FUNDS NQ 8_07 COMBINED UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM N-Q - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) - 41 Madison Avenue 28th Floor New York, NY 10010 (Address of principal executive offices) (Zip code) John S. Orri |
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| October 29, 2007 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Eric Kleinschmidt, certify that: 1. |
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| April 30, 2007 |
THE ARBITRAGE FUND NQ 2_07 COMBINED UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM N-Q - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) - 650 Fifth Avenue 6th Floor New York, NY 10019 (Address of principal executive offices) (Zip code) John S. Orrico |
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| April 30, 2007 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Eric Kleinschmidt, certify that: 1. |
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| April 30, 2007 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, John S. |
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| October 30, 2006 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, John S. |
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| October 30, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM N-Q - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) - 650 Fifth Avenue 6th Floor New York, NY 10019 (Address of principal executive offices) (Zip code) John S. Orrico |
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| October 30, 2006 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Eric Kleinschmidt, certify that: 1. |
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| April 25, 2006 |
THE ARBITRAGE FUND N-Q 2_06 COMBINED UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM N-Q - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) - 650 Fifth Avenue New York, NY 10019 (Address of principal executive offices) (Zip code) John S. Orrico Water Isl |
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| April 25, 2006 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, John Orrico, certify that: 1. |
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| April 25, 2006 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Eric Kleinschmidt, certify that: 1. |
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| October 25, 2005 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, John Orrico, certify that: 1. |
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| October 25, 2005 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Eric Kleinschmidt, certify that: 1. |
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| October 25, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM N-Q - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER 811-09815 THE ARBITRAGE FUNDS (Exact name of registrant as specified in charter) - 650 Fifth Avenue New York, NY 10019 (Address of principal executive offices) (Zip code) John S. Orrico Water Isl |
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| March 31, 2005 |
EX-99.CERT CERTIFICATIONS - I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the p |
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| March 31, 2005 |
THE ARBITRAGE FUNDS - FORM N-Q N-Q 1 nq-0205.txt THE ARBITRAGE FUNDS - FORM N-Q - OMB APPROVAL - OMB Number: 3235-0578 Expires: February 28, 2006 Estimated average burden hours per response: 20.00 - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-09815 - The Arbitrage Fun |
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| January 28, 2005 |
SUB-ITEM 77C: SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS On October 22, 2004, a Special Meeting of Shareholders of The Arbitrage Fund (the "Fund") was held to (i) elect five Trustees and (ii) ratify the selection of Tait, Weller & Baker as the Fund's independent public accountants for the fiscal year ending May 31, 2005. |
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| January 28, 2005 |
SUB-ITEM 77D: POLICIES WITH RESPECT TO SECURITY INVESTMENTS Effective October 1, 2004, the registrant may enter into equity swap agreements and currency swap agreements. |
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| October 29, 2004 |
EX-99.CERT CERTIFICATIONS - I, John S. Orrico, certify that: 1. I have reviewed this report on Form N-Q of The Arbitrage Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the p |
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| October 29, 2004 |
THE ARBITRAGE FUNDS - FORM N-Q |- | OMB APPROVAL |- | OMB Number: 3235-0578 | | Expires: February 28, 2006 | | Estimated average burden | hours per response: 20. |
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| September 14, 2004 |
THE ARBITRAGE FUND September 14, 2004 Securities and Exchange Commission 450 Fifth Street, N. |
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| August 31, 2004 |
ULTIMUS Your Fund Matters August 30, 2004 VIA EDGAR Securities and Exchange Commission Judiciary Plaza 450 Fifth Street, N. |
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| January 23, 2004 |
SUB-ITEM 77I: TERMS OF NEW OR AMENDED SECURITIES On October 17, 2003, the registrant first issued, and began to publicly offer, Class I shares of beneficial interest, no par value, of The Arbitrage Fund (the "Fund"), the sole series of registrant. |
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| January 23, 2004 |
SUB-ITEM 77Q1(d) STATE OF DELAWARE CERTIFICATE OF AMENDMENT TO CERTIFICATE OF TRUST Pursuant to Title 12, Section 3810(b) of the DELAWARE Statutory TRUST Act, the undersigned TRUST executed the following CERTIFICATE of AMENDMENT: 1. |
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| January 28, 2003 |
SUB-ITEM 77Q3 (a)(i) The registrant's principal executive officer and principal financial officer have concluded that the registrant's disclosure controls and procedures (as defined in Rule 30a-2(c) under the Investment Company Act of 1940, as amended) are effective based on their evaluation of these controls and procedures as of a date within 90 days of the filing date of this document. |
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| January 29, 2001 |
PAGE 1 000 A000000 11/30/2000 000 C000000 0001105076 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6. |
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| August 28, 2000 |
CONSENT OF INDEPENDENT ACCOUNTANTS The Shareholder and Board of Directors of The Arbitrage Fund: We consent to the use of our report included herein and to the reference to our Firm in the Statement of Additional Information under the heading "Independent Accountants." /s/ KPMG LLP KPMG LLP Chicago, Illinois July 19, 2000 |
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| August 28, 2000 |
DISTRIBUTION AGREEMENT THIS AGREEMENT is made and entered into as of this day of , 2000, by and between The Arbitrage Funds, a Delaware business trust ("Trust"), and Quasar Distributors, LLC, a Delaware limited liability company ("Distributor"). |
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| August 28, 2000 |
THE ARBITRAGE FUNDS DISTRIBUTION PLAN (12B-1 PLAN) The following Distribution Plan (the "Plan") has been adopted pursuant to Rule 12b-1 under the Investment Company Act of 1940, as amended (the "Act"), by The Arbitrage Funds (the "Trust"), a Delaware trust, on behalf of the portfolios of the Trust (the "Fund") and/or Shares ("Classes") of the Funds set forth in exhibits hereto. |
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| August 28, 2000 |
Filed with the Securities and Exchange Commission on August 28, 2000 1933 Act Registration File No. |
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| July 21, 2000 |
CHICAGO FIRSTAR CENTER SACRAMENTO DENVER 777 EAST WISCONSIN AVENUE SAN DIEGO JACKSONVILLE MILWAUKEE, WISCONSIN 53202-5367 SAN FRANCISCO LOS ANGELES TELEPHONE (414) 271-2400 TALLAHASSEE MADISON FACSIMILE (414) 297-4900 TAMPA MILWAUKEE WASHINGTON, D. |
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| July 21, 2000 |
Filed with the Securities and Exchange Commission on July 21, 2000 1933 Act Registration File No. |
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| July 21, 2000 |
NoSuchKey The specified key does not exist. edgar/data/1105076/000089418900000443/0003.txt N499GVQ2H03EGWXX wMENlocFj35Luu0VMZsxisbvuiV7UxRs7nIGl2nfpiYyKVu6H8NL9+jeAOpuCIFCYKsSBKGPh1k= |
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| June 1, 2000 |
DISTRIBUTION AGREEMENT THIS AGREEMENT is made as of May 24, 2000, between The Arbitrage Funds, a Delaware business trust (hereinafter referred to as the "Trust") and Rafferty Capital Markets, Inc. |
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| June 1, 2000 |
TRANSFER AGENT SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this 24th day of May, 2000, by and between The Arbitrage Funds, a Delaware business trust (hereinafter referred to as the "Trust") and Firstar Mutual Fund Services, LLC, a limited liability company organized under the laws of the State of Wisconsin (hereinafter referred to as the "FMFS"). |
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| June 1, 2000 | ||
| June 1, 2000 | ||
| June 1, 2000 |
FUND ADMINISTRATION SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this 24th day of May 2000, by and between The Arbitrage Funds, a Delaware business trust (hereinafter referred to as the "Trust") and Firstar Mutual Fund Services, LLC, a limited liability company organized under the laws of the State of Wisconsin (hereinafter referred to as "FMFS"). |
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| June 1, 2000 |
Filed with the Securities and Exchange Commission on June 1, 2000 1933 Act Registration File No. |
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| June 1, 2000 | ||
| June 1, 2000 | ||
| June 1, 2000 |
THE ARBITRAGE FUNDS DISTRIBUTION PLAN (12B-1 PLAN) The following Distribution Plan (the "Plan") has been adopted pursuant to Rule 12b-1 under the Investment Company Act of 1940, as amended (the "Act"), by The Arbitrage Funds (the "Trust"), a Delaware trust, on behalf of the portfolios of the Trust (the "Fund") and/or Shares ("Classes") of the Funds set forth in exhibits hereto. |
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| June 1, 2000 |
THE ARBITRAGE FUNDS WRITTEN INSTRUMENT FIXING NUMBER OF TRUSTEES THE UNDERSIGNED, being the sole Trustee of THE ARBITRAGE FUNDS, a Delaware business trust (the "Trust"), does hereby state in writing in accordance with the laws of the State of Delaware and Section 2. |
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| June 1, 2000 |
May , 2000 Board of Trustees The Arbitrage Funds 61 West Ninth Street New York, NY 10011 Re: SUBSCRIPTION FOR SHARES OF THE ARBITRAGE FUND (THE "FUND") Dear Trustees: The Water Island Capital, LLC offers to purchase from The Arbitrage Funds, 10,000 shares of beneficial interest of the Fund at a price of $10. |
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| June 1, 2000 |
JOINT CODE OF ETHICS THE ARBITRAGE FUNDS WATER ISLAND CAPITAL, LLC 1. STATEMENT OF GENERAL FIDUCIARY PRINCIPLES This Code of Ethics is based on the principles that (i) Access Persons (as such term is hereinafter defined) owe a fiduciary duty to, among others, the shareholders of the Fund to conduct their personal transactions in Securities in a manner which neither interferes with Fund portfolio t |
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| June 1, 2000 |
POWER OF ATTORNEY The undersigned officers and Trustees of the The Arbitrage Funds (the "Trust") hereby appoint John Orrico, as attorney-in-fact and agent, with the power, to execute, and to file any of the documents referred to below relating to the initial registration of the Trust as an investment company under the Investment Company Act of 1940, as amended (the "Act") and the registration of the Trust's securities under the Securities Act of 1933, as amended (the "Securities Act") including the Trust's Registration Statement on Form N-1A, any and all amendments thereto, including all exhibits and any documents required to be filed with respect thereto with any regulatory authority, including applications for exemptive order rulings. |
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| June 1, 2000 |
NoSuchKey The specified key does not exist. edgar/data/1105076/000089418900000359/0008.txt 95W82KKNAR538JQP FMLGkmmp/bUQ0kY2S7YPQZY5KNU2jTlNOS/5o4W1Kun8yXepfAc8bfdnkL2bffj3f+I3PAxG6lA= |
