Grundläggande statistik
| LEI | 2138009UQXO3YKI55769 |
| CIK | 30125 |
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
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| April 24, 2025 |
UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No. |
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| March 31, 2025 |
SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 35513] Deregistration under Section 8(f) of the Investment Company Act of 1940 March 28, 2025. AGENCY: Securities and Exchange Commission (“Commission” or “SEC”) ACTION: Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 1940. The following is a notice of applications for deregistratio |
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| March 7, 2025 |
United states Securities and Exchange Commission Washington, D.C. 20549 Form N-8F Application for Deregistration of Certain Registered Investment Companies I. General Identifying Information 1. Reason fund is applying to deregister: [X] Merger [ ] Liquidation [ ] Abandonment of Registration (Note: Abandonments of Registration answer only questions 1 through 15, 24 and 25 of this form and complete |
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| February 7, 2025 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on February 18, 2025, pursuant to the provisions of Rule 12d2-2 (a). |
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| November 14, 2024 |
INSI / Insight Select Income Fund / 1607 Capital Partners, LLC Passive Investment SC 13G/A 1 insi-093024a4.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Insight Select Income Fund (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 45781W109 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the |
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| October 9, 2024 |
KKR Income Opportunities Fund to Acquire Assets of Insight Select Income Fund KKR Income Opportunities Fund to Acquire Assets of Insight Select Income Fund San Francisco, CA and New York, NY, October 8, 2024 – The Board of Trustees of KKR Income Opportunities Fund (“KIO”) (NYSE: KIO) and the Board of Trustees of Insight Select Income Fund (“INSI”) (NYSE: INSI) today announced the signing of a definitive agreement under which KIO will acquire the assets of INSI. |
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| October 9, 2024 |
KKR Income Opportunities Fund to Acquire Assets of Insight Select Income Fund KKR Income Opportunities Fund Filed by KKR Income Opportunities Fund pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934, as amended Subject Company Insight Select Income Fund File No. |
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| October 9, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 8, 2024 Insight Select Income Fund (Exact Name of Registrant as Specified in Its Charter) Delaware 811-02201 23-1745238 (State or other jurisdiction of incorporation or organi |
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| October 7, 2024 |
INSI / Insight Select Income Fund / Allspring Global Investments Holdings, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) Insight Select Income Fund (Name of Issuer) COM (Title of Class of Securities) 45781W109 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedu |
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| September 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 OMB APPROVAL OMB Number: 3235-0360 Certificate of Accounting of Securities and Similar Expires: December 31, 2026 Investments in the Custody of Estimated average burden Management Investment Companies hours per response 2.0 Pursuant to Rule 17f-2 [17 CFR 270.17f-2] 1. Investment Company Act File Number: 811-02201 |
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| May 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 OMB APPROVAL OMB Number: 3235-0360 Certificate of Accounting of Securities and Similar Expires: December 31, 2026 Investments in the Custody of Estimated average burden Management Investment Companies hours per response 2.0 Pursuant to Rule 17f-2 [17 CFR 270.17f-2] 1. Investment Company Act File Number: 811-02201 |
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| May 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| May 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 OMB APPROVAL OMB Number: 3235-0360 Certificate of Accounting of Securities and Similar Expires: December 31, 2026 Investments in the Custody of Estimated average burden Management Investment Companies hours per response 2.0 Pursuant to Rule 17f-2 [17 CFR 270.17f-2] 1. Investment Company Act File Number: 811-02201 |
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| March 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 18, 2024 (March 15, 2024) Insight Select Income Fund (Exact name of registrant as specified in its charter) Delaware 811-02201 23-1745238 (State or other jurisdiction of incorporation or organization) (Commission File Number) (I. |
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| March 11, 2024 |
INSI / Insight Select Income Fund / 1607 Capital Partners, LLC Passive Investment SC 13G/A 1 insi-022924a3.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Insight Select Income Fund (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 45781W109 (CUSIP Number) February 29, 2024 (Date of Event Which Requires Filing of this Statement) Check the a |
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| March 7, 2024 |
SC 13G 1 karpus-sch13g18788.htm KARPUS INVESTMENT MGT / INSIGHT SELECT INCOME FUND - SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) * Insight Select Income Fund (Name of Issuer) Common (Title of Class of Securities) 45781W109 (CUSIP Number) February 29, 2024 (Date of Event Which Require |
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| February 8, 2024 |
INSI / Insight Select Income Fund / 1607 Capital Partners, LLC Passive Investment SC 13G/A 1 insi-123123a2.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Insight Select Income Fund (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 45781W109 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the a |
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| February 7, 2024 |
INSI / Insight Select Income Fund / SIT INVESTMENT ASSOCIATES INC Passive Investment SC 13G/A 1 13GAmend8INSI2724.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 8) - Insight Select Income Fund (INSI) - (Name of Issuer) Common Stock - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the a |
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| January 26, 2024 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 16)* Insight Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriat |
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| October 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 OMB APPROVAL OMB Number: 3235-0360 Certificate of Accounting of Securities and Similar Expires: February 29, 2024 Investments in the Custody of Estimated average burden Management Investment Companies hours per response 1.9 Pursuant to Rule 17f-2 [17 CFR 270. 17f-2] 1. Investment Company Act File Number: 811-02201 |
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| August 22, 2023 |
Troutman Pepper Hamilton Sanders LLP 3000 Two Logan Square, Eighteenth and Arch Streets Philadelphia, PA 19103-2799 troutman. |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 OMB APPROVAL OMB Number: 3235-0360 Certificate of Accounting of Securities and Similar Expires: February 29, 2024 Investments in the Custody of Estimated average burden Management Investment Companies hours per response 1.9 Pursuant to Rule 17f-2 [17 CFR 270. 17f-2] 1. Investment Company Act File Number: 811-02201 |
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| April 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 OMB APPROVAL OMB Number: 3235-0360 Certificate of Accounting of Securities and Similar Expires: February 29, 2024 Investments in the Custody of Estimated average burden Management Investment Companies hours per response 1.9 Pursuant to Rule 17f-2 [17 CFR 270. 17f-2] 1. Investment Company Act File Number: 811-02201 |
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| February 24, 2023 |
NPORT-EX 2 CS01INSIGHT123122.htm SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2022 Moody's/ Standard & Poor's Rating(a) Principal Amount (000's) Value (Note1) CORPORATE DEBT SECURITIES (80.28%) AEROSPACE/DEFENSE (1.94%) Boeing Co., Sr. Unsec. Notes, 4.875%, 05/01/25(b) Baa2/BBB- $1,657 $ 1,641,750 Boeing Co., Sr. Unsec. Notes, 5.805%, 05/01/50(b) Baa2/BBB- 463 431,067 Northrop Grumman |
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| February 14, 2023 |
INSI / Insight Select Income Fund / 1607 Capital Partners, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 8, 2023 |
INSI / Insight Select Income Fund / SIT INVESTMENT ASSOCIATES INC Passive Investment SC 13G/A 1 13GAmend7INSI2823.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7) - Insight Select Income Fund (INSI) - (Name of Issuer) Common Stock - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the app |
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| January 23, 2023 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 15)* Insight Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriat |
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| January 23, 2023 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| October 11, 2022 |
INSI / Insight Select Income Fund / 1607 Capital Partners, LLC Passive Investment SC 13G 1 insi-093022.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. )* Insight Select Income Fund (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 45781W109 (CUSIP Number) September 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appro |
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| October 6, 2022 |
INSI / Insight Select Income Fund / SIT INVESTMENT ASSOCIATES INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6) - Insight Select Income Fund (INSI) - (Name of Issuer) Common Stock - (Title of Class of Securities) 45781W109 - (CUSIP Number) October 6, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| October 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 OMB APPROVAL OMB Number: 3235-0360 Certificate of Accounting of Securities and Similar Expires: February 29, 2024 Investments in the Custody of Estimated average burden Management Investment Companies hours per response 1.9 Pursuant to Rule 17f-2 [17 CFR 270. 17f-2] 1. Investment Company Act File Number: 811-02201 |
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| August 23, 2022 |
Moody’s/ Standard & Poor’s Rating(a) SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2022 Moody’s/ Standard & Poor’s Rating(a) Principal Amount (000’s) Value (Note1) CORPORATE DEBT SECURITIES (75. |
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| July 6, 2022 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 14)* Insight Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 45781W109 - (CUSIP Number) June 30, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| July 6, 2022 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| June 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 40-17F2 1 d365818d4017f2.htm INSIGHT SELECT INCOME FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 OMB APPROVAL OMB Number: 3235-0360 Certificate of Accounting of Securities and Similar Expires: February 29, 2024 Investments in the Custody of Estimated average burden Management Investment Companies hours per response 1.9 Pursuant to Rule 17f-2 [17 CFR 270. |
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| June 1, 2022 |
DEF 14A 1 d358192ddef14a.htm INSIGHT SELECT INCOME FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| February 28, 2022 |
The accompanying notes are an integral part of these financial statements. FOR VALIDATION PURPOSES ONLY - [286451.TX] SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2021 Moody’s/ Standard & Poor’s Rating(a) Principal Amount (000’s) Value (Note1) CORPORATE DEBT SECURITIES (82.81%) ADVERTISING (0.09%) Lamar Media Corp., Co. Gty., 3.625%, 01/15/31(b) Ba3/BB $ 211 $ 205,472 AEROSPACE/DEFENSE (1.72%) Boeing Co., Sr. Unsec. Notes, 4.875%, 05/01/25(b) Baa2/BBB- 1,657 1,813,59 |
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| February 10, 2022 |
INSI / Insight Select Income Fund / SIT INVESTMENT ASSOCIATES INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5) - Insight Select Income Fund (INSI) - (Name of Issuer) Common Stock - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| January 31, 2022 |
40-17F2 1 d295089d4017f2.htm INSIGHT SELECT INCOME FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies Pursuant to Rule 17f-2 [17 CFR 270.17f-2] OMB APPROVAL OMB Number: 3235-0360 Expires: February 29, 2024 Estimated average burden hours per respon |
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| January 18, 2022 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| January 18, 2022 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 13)* Insight Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriat |
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| December 8, 2021 |
INSI / Insight Select Income Fund / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5) INSIGHT SELECT INCOME FD (Name of Issuer) COM (Title of Class of Securities) 45781W109 (CUSIP Number) November 30, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| September 27, 2021 |
THIS FORM MUST BE GIVEN TO YOUR INDEPENDENT PUBLIC ACCOUNTANT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL FORM N-17f-2 OMB Number: 3235-0360 Expires: February 29, 2024 Certificate of Accounting of Securities and Similar Estimated average burden Investments in the Custody of hours per response 1.9 Management Investment Companies Pursuant to Rule 17f-2 [17 CFR 270.17f-2] 1. Investment Company Act File Number: Date exami |
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| August 23, 2021 |
The accompanying notes are an integral part of these financial statements. HTML SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2021 Moody’s/ Standard & Poor’s Principal Value Rating(a) Amount (000’s) (Note 1) CORPORATE DEBT SECURITIES (84. |
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| May 17, 2021 |
DEF 14A 1 d69607ddef14a.htm INSIGHT SELECT INCOME FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the a |
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| May 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies Pursuant to Rule 17f-2 [17 CFR 270.17f-2] OMB APPROVAL OMB Number: 3235-0360 Expires: March 31, 2021 Estimated average burden hours per response 2.0 1. Investment Company Act File Number: Date examinat |
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| May 7, 2021 |
8-K 1 d464430d8k.htm INSIGHT SELECT INCOME FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2021 INSIGHT SELECT INCOME FUND (Exact name of registrant as specified in its charter) DELAWARE 811-02201 231745238 (State or ot |
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| March 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL FORM N-17f-2 OMB Number: 3235-0360 Expires: March 31, 2021 Certificate of Accounting of Securities and Similar Estimated average burden Investments in the Custody of hours per response 2.0 Management Investment Companies Pursuant to Rule 17f-2 [17 CFR 270.17f-2] 1. Investment Company Act File Number: 02201 Date ex |
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| February 22, 2021 |
The accompanying notes are an integral part of these financial statements. NPORT-EX 2 InsightSelectIncome.htm SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2020 Moody’s/ Standard & Poor’s Rating(a) Principal Amount (000’s) Value (Note 1) CORPORATE DEBT SECURITIES (85.66%) AUTOMOTIVE (3.27%) Allison Transmission Inc., Co. Gty., 3.75%, 01/30/31, 144A(b) Ba3/NA $ 220 $ 225,088 Ford Holdings LLC, Co. Gty., 9.30%, 03/01/30 Ba2/BB+ 1,000 1,300,000 Ford Motor Co., Sr. Unsec. |
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| February 12, 2021 |
SC 13G/A 1 13GAmend4INSI.txt SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) - Insight Select Income Fund (INSI) - (Name of Issuer) Common Stock - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check th |
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| February 12, 2021 |
SC 13G/A 1 karpus-sch13g18453.htm KARPUS INVESTMENT MGT / INSIGHT SELECT INCOME FUND - SCHEDULE 13G/A(#1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) * Insight Select Income Fund (Name of Issuer) Common Stock (Title of Class of Securities) 45781W109 (CUSIP Number) December 31, 2020 (Date of Event W |
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| February 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) INSIGHT SELECT INCOME FD (Name of Issuer) COM (Title of Class of Securities) 45781W109 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| February 3, 2021 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| February 3, 2021 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 12)* Insight Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| January 14, 2021 |
Troutman Pepper Hamilton Sanders LLP 3000 Two Logan Square, Eighteenth and Arch Streets Philadelphia, PA 19103-2799 troutman. |
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| October 27, 2020 |
Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 13, 2020 |
Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 28, 2020 |
* * * Filing Desk September 28, 2020 Page 2 Theodore D. Edwards Direct: 215.981.4181 Mobile: 267.218.2692 [email protected] September 28, 2020 VIA EDGAR Filing Desk U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attn: Alison White Re: Insight Select Income Fund 1933 Act File No. 333-165590 1940 Act File No. 811-02201 Dear Ms. White: This letter responds to the oral comments of the staff of the Se |
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| September 28, 2020 |
Insight Select Income Fund INSIGHT SELECT INCOME FUND 200 PARK AVENUE, 7TH FLOOR NEW YORK, NY 10166 NOTICE OF SPECIAL MEETING OF SHAREHOLDERS NOVEMBER 5, 2020 New York, New York September 28, 2020 Important Notice Regarding the Availability of Proxy Materials for the Special Meeting of Shareholders to be held on November 5, 2020. |
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| September 9, 2020 |
Insight Select Income Fund INSIGHT SELECT INCOME FUND 200 PARK AVENUE, 7TH FLOOR NEW YORK, NY 10166 NOTICE OF SPECIAL MEETING OF SHAREHOLDERS NOVEMBER 5, 2020 New York, New York September [ ], 2020 Important Notice Regarding the Availability of Proxy Materials for the Special Meeting of Shareholders to be held on November 5, 2020. |
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| September 9, 2020 |
Theodore D Edwards 215.981.4181 [email protected] September 9, 2020 VIA EDGAR Filing Desk U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Insight Select Income Fund 1933 Act File No. 333-165590 1940 Act File No. 811-02201 Preliminary Proxy Materials Ladies and Gentlemen: Pursuant to the requirements of Rule 14a-6(a) under the Securities Exchange Act |
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| August 24, 2020 |
The accompanying notes are an integral part of these financial statements. FOR VALIDATION PURPOSES ONLY - [918526.TX] SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2020 Moody’s/ Standard & Poor’s Rating(a) Principal Amount (000’s) Value (Note 1) CORPORATE DEBT SECURITIES (83.48%) AUTOMOTIVE (2.54%) Ford Holdings LLC, Co. Gty., 9.30%, 03/01/30 Ba2/BB+ $ 1,000 $ 1,124,700 Ford Motor Co., Sr. Unsec. Notes, 8.50%, 04/21/23 Ba2/BB+ 904 955,980 Ford Motor Co., Sr. Unsec. Notes, |
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| May 22, 2020 |
Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies Pursuant to Rule 17f-2 [17 CFR 270.17f-2] OMB APPROVAL OMB Number: 3235-0360 Expires: March 31, 2021 Estimated average burden hours per response 2.0 1. Investment Company Act File Number: 02201 Date ex |
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| March 6, 2020 |
INSI / Insight Select Income Fund / SIT INVESTMENT ASSOCIATES INC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) - Insight Select Income Fund (INSI) - (Name of Issuer) Common Stock - (Title of Class of Securities) 45781W109 - (CUSIP Number) February 29, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| February 21, 2020 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d826747dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. Corso, certify that: 1. I have reviewed this report on Form N-Q of Insight Select Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessar |
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| February 21, 2020 |
Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 14, 2020 |
INSI / Insight Select Income Fund / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13 G Under the Securities Exchange Act of 1934 (Amendment No. ) * Insight Select Income Fund (INSI) (Name of Issuer) Common Stock (Title of Class of Securities) 45781W109 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to |
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| February 10, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 10, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11)* Insight Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| February 7, 2020 |
INSI / Insight Select Income Fund / SIT INVESTMENT ASSOCIATES INC - SC13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) - Insight Select Income Fund (INSI) - (Name of Issuer) Common Stock - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| February 6, 2020 |
CSI / Cutwater Select Income Fund 40-17F2 - - INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 4, 2020 |
INSI / Insight Select Income Fund / WELLS FARGO & COMPANY/MN Passive Investment SC 13G 1 wfinsightsel-45781w109.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) INSIGHT SELECT INCOME FD (Name of Issuer) COM (Title of Class of Securities) 45781W109 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| August 21, 2019 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. |
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| August 21, 2019 |
Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 23, 2019 |
CSI / Cutwater Select Income Fund 40-17F2 - - INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 15, 2019 |
CSI / Cutwater Select Income Fund DEF 14A INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 10, 2019 |
CSI / Cutwater Select Income Fund 40-17F2 INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 8, 2019 |
CSI / Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 22, 2019 |
Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 22, 2019 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. |
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| February 6, 2019 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* Insight Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2018 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| February 6, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 5, 2019 |
INSI / Insight Select Income Fund / SIT INVESTMENT ASSOCIATES INC - SC 13G/A Passive Investment SC 13G/A 1 insi13gamend1.txt SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) - Insight Select Income Fund (INSI) - (Name of Issuer) Common Stock - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2018 - (Date of Event Which Requires Filing of this Statement) Check th |
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| January 22, 2019 |
INSI / Insight Select Income Fund / WELLS FARGO & COMPANY/MN Passive Investment SC 13G/A 1 wfinsightsel-45781w109.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) INSIGHT SELECT INCOME FD (Name of Issuer) COM (Title of Class of Securities) 45781W109 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| January 10, 2019 |
CSI / Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 10, 2018 |
INSI / Insight Select Income Fund / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) INSIGHT SELECT INCOME FD (Name of Issuer) COM (Title of Class of Securities) 45781W109 (CUSIP Number) November 30, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| August 24, 2018 |
Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 24, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. |
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| August 23, 2018 |
CSI / Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 14, 2018 |
CSI / Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 22, 2018 |
Insight Select Income Fund - INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 22, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. |
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| February 1, 2018 |
INSI / Insight Select Income Fund / SIT INVESTMENT ASSOCIATES INC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Insight Select Income Fund (INSI) - (Name of Issuer) Common Stock - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2017 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| January 31, 2018 |
CSI / Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 31, 2018 |
CSI / Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 30, 2018 |
INSI / Insight Select Income Fund / WELLS FARGO & COMPANY/MN Passive Investment SC 13G 1 wfinsightsel-45781w109.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) INSIGHT SELECT INCOME FD (Name of Issuer) COM (Title of Class of Securities) 45781W109 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| January 16, 2018 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* Insight Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2017 - (Date of Event Which Requires Filing of this Statement) Check the appropriate |
|
| January 16, 2018 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| November 28, 2017 |
RULE 10f-3(c) PURCHASE RECORD FORM (See the Rule 10f-3 Procedures for definitions of the capitalized terms used herein. |
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| November 28, 2017 |
RULE 10f-3(c) PURCHASE RECORD FORM (See the Rule 1Of-3 Procedures for definitions of the capitalized terms used herein. |
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| November 28, 2017 |
EX-99.77O RULE 10F-3 5 insightSel77o3.txt RULE 1Of-3(c) PURCHASE RECORD FORM (See the Rule 1Of-3 Procedures for definitions of the capitalized terms used herein.) 1. Name of Fund: Insight Select Income Fund 2. Name of Issuer: GXP - Kansas City Power & Light Company * 3. Underwriter from whom purchased: Suntrust 110 1 1 4. a. Affiliated Underwriter managing or participating in underwriting syndicat |
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| November 28, 2017 |
RESULTS OF SHAREHOLDER VOTES The Annual Meeting of Shareholders of the Fund was held on June 14, 2017. |
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| September 27, 2017 |
CSI / Cutwater Select Income Fund ESP 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| September 25, 2017 |
Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 25, 2017 |
Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 25, 2017 |
Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 25, 2017 |
Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 25, 2017 |
Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 21, 2017 |
Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 28, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. |
|
| August 28, 2017 |
Insight Select Income Fund - INSIGHT SELECT INCOME FUND 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 811-02201 Insight Select Income Fund (Exact name of registrant as specified in charter) 200 Park Avenue, 7th Floor New York, NY 10166 (Address of principal executive offices) (Zip code) Clifford D. C |
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| May 10, 2017 |
Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 21, 2017 |
Cutwater Select Income Fund INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 24, 2017 |
Insight Select Income Fund - INSIGHT SELECT INCOME FUND Insight Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| February 24, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d309531dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. Corso, certify that: 1. I have reviewed this report on Form N-Q of Cutwater Select Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessa |
|
| January 11, 2017 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| January 11, 2017 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8)* Insight Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 45781W109 - (CUSIP Number) December 31, 2016 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
|
| December 30, 2016 |
Cutwater Select Income Fund CUTWATER SELECT INCOME FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies Pursuant to Rule 17f-2 [17 CFR 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 10/10/16 811-02201 2. State identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| November 22, 2016 |
RESULTS OF SHAREHOLDER VOTES The Annual Meeting of Shareholders of the Fund was held on June 15, 2016. |
|
| August 25, 2016 |
Cutwater Select Income Fund CUTWATER SELECT INCOME FUND (Quarterly Schedule of Portfolio Holdings) N-Q 1 d108740dnq.htm CUTWATER SELECT INCOME FUND 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 811-02201 Cutwater Select Income Fund (Exact name of registrant as specified in charter) 200 Park Avenue, 7th Floor New York, NY 10166 (Address of pri |
|
| August 25, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. |
|
| May 10, 2016 |
CSI / Cutwater Select Income Fund / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) CUTWATER SELECT INCOME FD (Name of Issuer) COM (Title of Class of Securities) 232229104 (CUSIP Number) April 30, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i |
|
| May 9, 2016 |
Cutwater Select Income Fund CUTWATER SELECT INCOME FUND Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| February 29, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d73007dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. Corso, certify that: 1. I have reviewed this report on Form N-Q of Cutwater Select Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessar |
|
| February 29, 2016 |
Cutwater Select Income Fund CUTWATER SELECT INCOME FUND (Quarterly Schedule of Portfolio Holdings) Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| January 29, 2016 |
CSI / Cutwater Select Income Fund / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) CUTWATER SELECT INCOME FD (Name of Issuer) COM (Title of Class of Securities) 232229104 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
|
| January 13, 2016 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* Cutwater Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 232229104 - (CUSIP Number) December 31, 2015 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
|
| January 13, 2016 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| December 28, 2015 |
CSI / Cutwater Select Income Fund / Karpus Management, Inc. Passive Investment SC 13G 1 csi13gFINAL.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Cutwater Select Income Fund (CSI) (Name of Issuer) Common Stock (Title of Class of Securities) 232229104 (CUSIP Number) December 18, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
|
| November 23, 2015 |
RESULTS OF SHAREHOLDER VOTES The Annual Meeting of Shareholders of the Fund was held on June 17, 2015. |
|
| October 9, 2015 |
CSI / Cutwater Select Income Fund / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 3) Under the Securities Exchange Act of 1934 Cutwater Select Income Fund (CSI) (Name of Issuer) Common Stock (Title of Class of Securities) 232229104 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsford, New York 14534 ( |
|
| August 25, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. |
|
| August 25, 2015 |
Cutwater Select Income Fund CUTWATER SELECT INCOME FUND (Quarterly Schedule of Portfolio Holdings) Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| May 8, 2015 |
Cutwater Select Income Fund CUTWATER SELECT INCOME FUND Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| March 2, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d790265dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. Corso, certify that: 1. I have reviewed this report on Form N-Q of Cutwater Select Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessa |
|
| March 2, 2015 |
Insight Select Income Fund - CUTWATER SELECT INCOME FUND Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| February 20, 2015 |
CSI / Cutwater Select Income Fund / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 2) Under the Securities Exchange Act of 1934 Cutwater Select Income Fund (CSI) (Name of Issuer) Common Stock (Title of Class of Securities) 232229104 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsford, New York 14534 ( |
|
| February 6, 2015 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| February 6, 2015 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* Cutwater Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 232229104 - (CUSIP Number) December 31, 2014 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
|
| November 21, 2014 |
RESULTS OF SHAREHOLDER VOTES The Annual Meeting of Shareholders of the Fund was held on June 16, 2014. |
|
| November 12, 2014 |
CSI / Cutwater Select Income Fund DEF 14A - - CUTWATER SELECT INCOME FUND Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| November 12, 2014 |
CSI / Cutwater Select Income Fund CORRESP - - Cutwater Select Income Fund 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
|
| October 31, 2014 |
CSI / Cutwater Select Income Fund / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 1) Under the Securities Exchange Act of 1934 Cutwater Select Income Fund (CSI) (Name of Issuer) Common Stock (Title of Class of Securities) 232229104 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsford, New York 14534 ( |
|
| October 30, 2014 |
CSI / Cutwater Select Income Fund PRE 14A - - CUTWATER SELECT INCOME Cutwater Select Income UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| October 30, 2014 |
CSI / Cutwater Select Income Fund CORRESP - - SEC Transmittal Letter 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
|
| October 24, 2014 |
Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| October 8, 2014 |
CSI / Cutwater Select Income Fund / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Cutwater Select Income Fund (CSI) (Name of Issuer) Common Stock (Title of Class of Securities) 232229104 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsford, New York 14534 (585) 586-4680 (Name, |
|
| August 28, 2014 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. |
|
| August 28, 2014 |
Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| July 10, 2014 |
CSI / Cutwater Select Income Fund / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) CUTWATER SELECT INCOME FD (Name of Issuer) COM (Title of Class of Securities) 232229104 (CUSIP Number) June 30, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
|
| May 9, 2014 |
Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| February 28, 2014 |
Quarterly Schedule of Portfolio Holdings - CUTWATER SELECT INCOME FUND N-Q 1 d605278dnq.htm CUTWATER SELECT INCOME FUND 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 811-02201 Cutwater Select Income Fund (Exact name of registrant as specified in charter) 113 King Street Armonk, NY 10504 (Address of principal execut |
|
| February 28, 2014 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. |
|
| February 14, 2014 |
CSI / Cutwater Select Income Fund / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Cutwater Select Income Fund (CSI) (Name of Issuer) Common Stock (Title of Class of Securities) 232229104 (CUSIP Number) December 31, 2013 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| January 27, 2014 |
CSI / Cutwater Select Income Fund / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) CUTWATER SELECT INCOME FD (Name of Issuer) COM (Title of Class of Securities) 232229104 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| January 13, 2014 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Cutwater Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 232229104 - (CUSIP Number) December 31, 2013 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| January 13, 2014 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| November 22, 2013 |
RESULTS OF SHAREHOLDER VOTES The Annual Meeting of Shareholders of the Fund was held on June 26, 2013. |
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| November 8, 2013 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| November 8, 2013 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Cutwater Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 232229104 - (CUSIP Number) October 31, 2013 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
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| August 27, 2013 |
Quarterly Schedule of Portfolio Holdings - CUTWATER SELECT INCOME FUND Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 27, 2013 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d561156dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. Corso, certify that: 1. I have reviewed this report on Form N-Q of Cutwater Select Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessa |
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| May 16, 2013 |
Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 28, 2013 |
Quarterly Schedule of Portfolio Holdings - CUTWATER SELECT INCOME FUND Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 28, 2013 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d484996dex99cert.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. Corso, certify that: 1. I have reviewed this report on Form N-Q of Cutwater Select Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact |
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| January 25, 2013 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Cutwater Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 232229104 - (CUSIP Number) December 31, 2012 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| January 25, 2013 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| November 21, 2012 |
RESULTS OF SHAREHOLDER VOTES The Annual Meeting of Shareholders of the Fund was held on June 28, 2012. |
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| August 22, 2012 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Section 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. |
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| August 22, 2012 |
Quarterly Schedule of Portfolio Holdings - CUTWATER SELECT INCOME FUND Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 25, 2012 |
Cutwater Select Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 10, 2012 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| May 10, 2012 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Cutwater Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 232229104 - (CUSIP Number) April 30, 2012 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| February 28, 2012 |
Quarterly Schedule of Portfolio Holdings - FORM N-Q nvq 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 811-02201 Cutwater Select Income Fund (formerly, Rivus Bond Fund) (Exact name of registrant as specified in charter) 113 King Street Armonk, NY 10504 (Address of principal executive offices) (Zip |
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| February 28, 2012 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act exv99wcert Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Clifford D. Corso, certify that: 1. I have reviewed this report on Form N-Q of Cutwater Select Income Fund (formerly, Rivus Bond Fund); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact neces |
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| February 21, 2012 |
corresp February 17, 2012 Division of Investment Management Office of Disclosure and Review U. |
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| January 10, 2012 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| January 10, 2012 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Cutwater Select Income Fund - (Name of Issuer) Common - (Title of Class of Securities) 232229104 - (CUSIP Number) December 31, 2011 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| November 23, 2011 |
RESULTS OF SHAREHOLDER VOTES The Annual Meeting of Shareholders of the Fund was held on June 15, 2011. |
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| September 14, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* RIVUS BOND FUND (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 769667106 (CUSIP Number) JOSEPH V. DEL RASO, ESQ. PEPPER HAMILTON LLP 3000 TWO LOGAN SQUARE PHILADELPHIA, PA 19103 Fax: 215-981-4750 Direct Dial: 215-981-4506 ( |
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| September 2, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6) Rivus Bond Fund (BDF) - (Name of Issuer) Common Stock - (Title of Class of Securities) 769667106 - (CUSIP Number) August 31, 2011 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| August 25, 2011 |
EXHIBIT 99.CERT CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Clifford D. Corso, certify that: 1. I have reviewed this report on Form N-Q of Rivus Bond Fund; 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 c |
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| August 25, 2011 |
================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 8, 2011 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| July 8, 2011 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Rivus Bond Fund - (Name of Issuer) Common - (Title of Class of Securities) 769667106 - (CUSIP Number) June 30, 2011 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| May 5, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confide |
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| March 1, 2011 |
EXHIBIT 99.CERT CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Clifford D. Corso, certify that: 1. I have reviewed this report on Form N-Q of Rivus Bond Fund; 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 c |
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| March 1, 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 811-02201 Rivus Bond Fund (Exact name of registrant as specified in charter) 113 King Street Armonk, NY 10504 (Address of principal executive offices) (Zip code) Clifford D. Corso 113 King Street Arm |
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| February 1, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) Rivus Bond Fund (BDF) - - (Name of Issuer) Common Stock - - (Title of Class of Securities) 769667106 - - (CUSIP Number) January 31, 2011 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant t |
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| January 11, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) Rivus Bond Fund (BDF) - - (Name of Issuer) Common Stock - - (Title of Class of Securities) 769667106 - - (CUSIP Number) December 31, 2010 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| November 26, 2010 |
RESULTS OF SHAREHOLDER VOTES A Special Meeting of Shareholders of the Fund was held on June 4, 2010. |
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| November 8, 2010 |
Filed with the Securities and Exchange Commission on November 8, 2010 1933 Act File No. |
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| November 8, 2010 |
Exhibit 99.B(12) 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215.981.4000 Fax 215.981.4750 October 22, 2010 Rivus Bond Fund 113 King Street Armonk, New York 10504 The Hartford Income Shares Fund, Inc. 200 Hopmeadow Street Simsbury, Connecticut 06089 Ladies and Gentlemen: You have requested our opinion regarding certain U.S. federal income tax consequences to (i) T |
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| September 29, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| September 15, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| August 26, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| August 23, 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 811-02201 Rivus Bond Fund (Exact name of registrant as specified in charter) 113 King Street Armonk, NY 10504 (Address of principal executive offices) (Zip code) Clifford D. Corso 113 King Street Arm |
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| August 23, 2010 |
EXHIBIT 99.CERT CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Clifford D. Corso, certify that: 1. I have reviewed this report on Form N-Q of Rivus Bond Fund; 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 c |
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| August 20, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| July 21, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| July 21, 2010 |
POWER OF ATTORNEY POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Leonard I. |
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| July 12, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| July 12, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| June 18, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| June 18, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| June 7, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confide |
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| May 4, 2010 |
COVER 5 filename5.htm 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215.981.4000 Fax 215.981.4750 (215) 981-4346 [email protected] May 4, 2010 Via EDGAR Filing Desk U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Rivus Bond Fund (the “Fund”) 1940 Act File No. 811-02201 Definitive Proxy Materials Ladies and Gentlemen: Pursuant |
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| May 4, 2010 |
def14a UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o |
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| May 3, 2010 |
Rivus Bond Fund 113 King Street Armonk, NY 10504 May 3, 2010 Rivus Bond Fund 113 King Street Armonk, NY 10504 May 3, 2010 VIA EDGAR U.S. Securities and Exchange Commission Attn.: James E. O?Connor, Attorney/Adviser 100 F Street, N.E. Washington, D.C. 20549 Re: Rivus Bond Fund (File Nos. 333-165590 and 811-02201) Request for Acceleration of Effective Date Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amended (the ?1933 Act?) |
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| May 3, 2010 |
Consent of Ernst & Young LLP, Independent Registered Public Accounting Firm Exhibit 99.B(14)(ii) Consent of Ernst & Young LLP, Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Experts”, “Financial Highlights for the Acquired Fund”, and “Representations and Warranties of the Acquired Fund” in section 2(f) of Appendix A: Form of Agreement and Plan of Reorganization in the Registration Statement of Rivus Bond Fund and |
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| May 3, 2010 |
Exhibit 99.B(14)(iii) May 3, 2010 Rivus Bond Fund 113 King Street Armonk, NY 10504 Re: Rivus Bond Fund (the “Registrant”) (File No. 333-165590) Dear Ladies and Gentlemen: We hereby consent to all references to our firm in Pre-Effective Amendment No. 3 to the Registrant’s Registration Statement on Form N-14 under the Securities Act of 1933, as amended (the “1933 Act”). In giving such consent, howev |
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| May 3, 2010 |
EX-99.B(11) 2 a10-66421ex99db11.htm EX-99.B(11) Exhibit 99.B(11) 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215.981.4000 Fax 215.981.4750 May 3, 2010 Rivus Bond Fund 113 King Street Armonk, NY 10504 Re: Reorganization of The Hartford Income Shares, Inc. into Rivus Bond Fund Ladies and Gentlemen: We have acted as counsel to Rivus Bond Fund, a statutory trust forme |
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| May 3, 2010 |
Filed with the Securities and Exchange Commission on May 3, 2010 1933 Act File No. |
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| May 3, 2010 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.B(14)(i) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the to the Registration Statement on Form N-14 of Rivus Bond Fund, and to the use of our report dated April 28, 2009 on the financial statements and financial highlights of the Rivus Bond Fund. Such financial statements and financial highlights appear in the 2009 Annual Report t |
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| May 3, 2010 |
EVERY SHAREHOLDER’S VOTE IS IMPORTANT Your Proxy Vote is important! And now you can Vote your Proxy on the PHONE or the INTERNET. |
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| April 22, 2010 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| April 22, 2010 |
pre14a UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o |
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| April 22, 2010 |
Filed with the Securities and Exchange Commission on April 22, 2010 1933 Act File No. |
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| April 22, 2010 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| April 12, 2010 |
Filed with the Securities and Exchange Commission on April 9, 2010 1933 Act File No. |
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| April 12, 2010 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| April 12, 2010 |
Exhibit 99.B.16 POWER OF ATTORNEY The undersigned Trustee of Rivus Bond Fund (the ?Fund?) hereby appoints each of Leonard I. Chubinsky, Clifford D. Corso, Mark D. Morris and Richard J. Walz as attorneys-in-fact and agents, in all capacities, to execute and to file any and all amendments to the Fund?s Registration Statement on Form N-14 under the Securities Act of 1933, as amended, in connection wi |
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| April 7, 2010 |
POWER OF ATTORNEY The undersigned Trustee of Rivus Bond Fund hereby appoints each of Leonard I. |
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| March 22, 2010 |
RIVUS BOND FUND Managed by Cutwater Asset Management Corp. 113 King Street Armonk, New York 10504 ANNOUNCEMENT OF PROPOSED REORGANIZATION OF THE HARTFORD INCOME SHARES FUND, INC INTO RIVUS BOND FUND FOR IMMEDIATE RELEASE March 22, 2010 ARMONK, NEW YORK –Cutwater Asset Management Corp., the investment adviser to Rivus Bond Fund (“BDF”) (NYSE: BDF), announced today that the Board of Trustees of BDF |
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| March 19, 2010 |
N-14 8C 1 a10-66421n148c.htm N-14 8C Filed with the Securities and Exchange Commission on March 19, 2010 1933 Act File No. 333- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. o Post-Effective Amendment No. o Rivus Bond Fund (Exact Name of Registrant as Specified in Charter) 113 King Street Ar |
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| March 19, 2010 |
Exhibit 99.B.16 POWER OF ATTORNEY Each of the undersigned Trustees of Rivus Bond Fund (the ?Fund?) hereby appoints each of Leonard I. Chubinsky, Clifford D. Corso, Mark D. Morris and Richard J. Walz as attorneys-in-fact and agents, in all capacities, to execute and to file any and all amendments to the Fund?s Registration Statement on Form N-14 under the Securities Act of 1933, as amended, in conn |
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| March 19, 2010 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| February 26, 2010 |
EXHIBIT 99.CERT CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Clifford D. Corso, certify that: 1. I have reviewed this report on Form N-Q of Rivus Bond Fund; 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 c |
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| February 26, 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 811-02201 Rivus Bond Fund (Exact name of registrant as specified in charter) 113 King Street Armonk, NY 10504 (Address of principal executive offices) (Zip code) Clifford D. Corso 113 King Street Arm |
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| January 15, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) Rivus Bond Fund (BDF) - - (Name of Issuer) Common Stock - - (Title of Class of Securities) 769667106 - - (CUSIP Number) December 31, 2009 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| November 27, 2009 |
RESULTS OF SHAREHOLDER VOTES The Annual Meeting of Shareholders of the Fund was held on June 17, 2009. |
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| October 22, 2009 | ||
| September 3, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) Rivus Bond Fund (BDF) - - (Name of Issuer) Common Stock - - (Title of Class of Securities) 769667106 - - (CUSIP Number) August 31, 2009 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| August 20, 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 811-02201 RIVUS BOND FUND - - (Exact name of registrant as specified in charter) 113 King Street ARMONK, NY 10504 - - (Address of principal executive offices) (Zip code) Clifford D. Corso 113 King St |
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| August 20, 2009 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Clifford D. |
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| July 2, 2009 |
corresp Rivus Bond Fund 113 King Street Armonk, NY 10504 July 2, 2009 VIA EDGAR U. |
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| June 10, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 Rivus Bond Fund - (Name of Issuer) Common Stock - (Title of Class of Securities) 769667106 - (CUSIP Number) Date of Event Requiring Filing: May 31, 2009 Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the filing pers |
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| May 15, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] |
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| April 20, 2009 |
April 20, 2009 Via EDGAR Transmission Division of Investment Management U.S. Securities and Exchange Commission Attn: Ms. Christina DiAngelo, Staff Accountant 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Rivus Bond Fund (the “Fund”) File Nos. 333-156953 and 811-02201 Dear Ms. DiAngelo: On behalf of the Fund, this letter is being filed with the Securities and Exchange Commission via EDGAR to r |
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| February 24, 2009 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Clifford D. |
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| February 24, 2009 |
QUARTERLY INFORMATION FOR RIVUS BOND FUND 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 811-02201 RIVUS BOND FUND (Exact name of registrant as specified in charter) 113 King Street ARMONK, NY 10504 (Address of principal executive offices) (Zip code) Clifford D. Corso 113 King Street ARM |
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| February 13, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 Rivus Bond Fund - (Name of Issuer) Common Stock - (Title of Class of Securities) 769667106 - (CUSIP Number) Date of Event Requiring Filing: December 31, 2008 Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the filing |
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| February 5, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Rivus Bond Fund (BDF) - - (Name of Issuer) Common Stock - - (Title of Class of Securities) 769667106 - - (CUSIP Number) December 31, 2008 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| November 21, 2008 |
RESULTS OF SHAREHOLDER VOTES The Annual Meeting of Shareholders of the Fund was held on June 25, 2008. |
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| August 26, 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 811-02201 RIVUS BOND FUND - (Exact name of registrant as specified in charter) 113 King Street ARMONK, NY 10504 - (Address of principal executive offices) (Zip code) Clifford D. Corso 113 King Street |
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| August 26, 2008 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Clifford D. |
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| June 6, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ 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 Rule 14a-6(e)(2)) o Defin |
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| May 27, 2008 |
PROXY CONTEST ALERT Fellow Shareholders: Ralph W. Bradshaw, a dissident shareholder has filed preliminary proxy materials with the SEC indicating his intention to conduct a hostile proxy contest against your Board of Trustees. The dissident shareholder is seeking your support to elect himself and his close associates in place of all of the experienced incumbent members of the Board. Your vote is i |
