Grundläggande statistik
| CIK | 924727 |
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 Fpa Funds Trust - FPA Crescent Portfolio Institutional Class
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| June 5, 2026 |
cboe.com June 5, 2026 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 RE: Investment Managers Series Trust III Issuer CIK: 0000924727 Issuer File Number: 033-79858/811-08544 Form Type: 8-A12B Filing Date: June 5, 2026 To Whom It May Concern: Cboe BZX Exchange, Inc. certifies its approval for listing and registration of FPA Global Allo |
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| May 20, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 INVESTMENT MANAGERS SERIES TRUST III (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identi |
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| March 2, 2026 |
POWER OF ATTORNEY FOR SECURITIES AND EXCHANGE COMMISSION AND RELATED FILINGS Exhibit 16.16 POWER OF ATTORNEY FOR SECURITIES AND EXCHANGE COMMISSION AND RELATED FILINGS Each of the undersigned Trustees of Investment Managers Series Trust III (the “Trust”) hereby appoints Rita Dam, Diane Drake, and Amy Centurioni (with full power to each of them to act alone) as his or her attorney-in-fact and agent, in all capacities, to execute and file a Registration Statement of the Trus |
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| March 2, 2026 |
Filed with the Securities and Exchange Commission on March 2, 2026 1933 Act Registration File No. |
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| March 2, 2026 |
INVESTMENT MANAGERS SERIES TRUST III DISTRIBUTION PLAN FOR EXCHANGE-TRADED FUNDS Exhibit 16.10(a) INVESTMENT MANAGERS SERIES TRUST III DISTRIBUTION PLAN FOR EXCHANGE-TRADED FUNDS This Distribution Plan (the “Plan”) is adopted in accordance with Rule 12b–1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), by Investment Managers Series Trust III, a Delaware statutory trust (the “Trust”), with respect to the series (each a “Fund” and collectively |
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| March 2, 2026 |
Exhibit 16.11 March 2, 2026 Investment Managers Series Trust III 235 West Galena Street Milwaukee, Wisconsin 53212 Re: Registration Statement on Form N-14 Ladies and Gentlemen: We have acted as counsel to Investment Managers Series Trust III (the “Trust”), a Delaware statutory trust, on behalf of the Mast HedgeIndex Managed Futures Strategy ETF (the “Acquiring Fund”), a newly created separate seri |
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| March 2, 2026 |
Form of ETF DISTRIBUTION AGREEMENT Exhibit 16.7(a) Form of ETF DISTRIBUTION AGREEMENT THIS AGREEMENT is made and entered into as of , 2026, by and between Investment Managers Series Trust III, a Delaware statutory trust (the “Client”) and Distribution Services, LLC, a Delaware limited liability company (the “Distributor”). WHEREAS, the Client is an open-end management investment company registered under the Investment Company Act o |
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| March 2, 2026 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 16.14 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-14 of Investment Managers Series Trust III with respect to the filing of the Combined Proxy Statement/Prospectus for Mast Managed Futures Strategy Fund. We also consent to the incorporation by reference, into this Registration Statement, of our rep |
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| March 2, 2026 |
Exhibit 16.6(b) INVESTMENT ADVISORY AGREEMENT BETWEEN Manteio Cayman HedgeIndex Managed Futures Strategy Fund, Ltd. AND manteio scalable technologies, llc THIS INVESTMENT ADVISORY AGREEMENT (the “Agreement”), dated as of [ ], is entered into by and between each wholly-owned subsidiary listed in Appendix A (each a “Fund” and together the “Funds”), and Manteio Scalable Technologies, LLC, a Delaware |
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| March 2, 2026 |
Exhibit 16.12 FORM OPINION [ ], 2026 Investment Managers Series Trust III 235 West Galena Street Milwaukee, Wisconsin 53212 Ladies and Gentlemen: This opinion is furnished to you pursuant to paragraph 8.4 of the Agreement and Plan of Reorganization (the “Agreement”), dated as of [ ], 2026, by and among Investment Managers Series Trust III, a Delaware statutory trust (the “Trust”), on behalf of its |
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| March 2, 2026 |
Exhibit 16.6(a) INVESTMENT ADVISORY AGREEMENT BETWEEN INVESTMENT MANAGERS SERIES TRUST III AND MANTEIO sCALABLE TECHNOLOGIES LLC THIS INVESTMENT ADVISORY AGREEMENT (the “Agreement”), dated as of [ ], is entered into by and between Investment Managers Series Trust III, a Delaware statutory trust (the “Trust”), on behalf of its series listed in Appendix A, as amended from time to time (each a “Fund” |
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| March 2, 2026 |
FORM OF AUTHORIZED PARTICIPANT AGREEMENT INVESTMENT MANAGERS SERIES TRUST III Exhibit 16.7(b) FORM OF AUTHORIZED PARTICIPANT AGREEMENT INVESTMENT MANAGERS SERIES TRUST III This Authorized Participant Agreement (the “Agreement”) is entered into by and between Distribution Services, LLC (the “Distributor”) and (the “Participant”) and is subject to acceptance by Brown Brothers Harriman & Co. (the “Transfer Agent/Index Receipt Agent”), and is further subject to acknowledgement |
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| March 2, 2026 |
Exhibit 16.17 FORM OF PROXY CARD [PROXY SERVICE Address] To vote by Internet 1) Read the Proxy Statement and have the proxy card below at hand. 2) Go to website 3) Follow the instructions provided on the website. To vote by Telephone 1) Read the Proxy Statement and have the proxy card below at hand. 2) Call 3) Follow the instructions. To vote by Mail 1) Read the Proxy Statement. 2) Check the appro |
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| February 25, 2026 |
INVESTMENT MANAGERS SERIES TRUST III 235 W. Galena Street Milwaukee, Wisconsin 53212 INVESTMENT MANAGERS SERIES TRUST III 235 W. Galena Street Milwaukee, Wisconsin 53212 VIA EDGAR February 25, 2026 Ms. Deborah O’Neal U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Investment Managers Series Trust III (File Nos. 033-79858 and 811-08544) (the “Registrant”) on behalf of the Mast Managed Futures Strategy Fund and Mast Multialternative Strategy Fund De |
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| February 2, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 INVESTMENT MANAGERS SERIES TRUST III (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identi |
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| January 16, 2026 |
Filed with the Securities and Exchange Commission on January 16, 2026 1933 Act Registration File No. |
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| January 16, 2026 |
Exhibit 16.(12) January 9, 2026 Northern Lights Fund Trust III 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 Investment Managers Series Trust III 235 West Galena Street Milwaukee, Wisconsin 53212 Ladies and Gentlemen: This opinion is furnished to you pursuant to paragraph 8.5 of the Agreement and Plan of Reorganization (the “Agreement”), dated as of January 9, 2026, by and among Northern Li |
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| December 23, 2025 |
Exhibit 16.12 FORM OPINION [ ], 2026 Investment Managers Series Trust III 235 West Galena Street Milwaukee, Wisconsin 53212 Ladies and Gentlemen: This opinion is furnished to you pursuant to paragraph 8.4 of the Agreement and Plan of Reorganization (the “Agreement”), dated as of [ ], 2026, by and among Investment Managers Series Trust III, a Delaware statutory trust (the “Trust”), on behalf of its |
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| December 23, 2025 |
Filed with the Securities and Exchange Commission on December 23, 2025 1933 Act Registration File No. |
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| December 23, 2025 |
Exhibit 16.6(c) [ ], 2026 FPA Queens Road Value ETF 235 W. Galena Street Milwaukee, WI 53212 RE: Expense Limit Agreement – FPA Queens Road Value ETF Dear Ladies and Gentlemen: FPA Queens Road Value ETF, a series of the Investment Managers Series Trust III, (the “Fund”), a Delaware business trust, has entered into an agreement with First Pacific Advisors, LP (“Adviser”) whereby Adviser provides inv |
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| December 23, 2025 |
INVESTMENT MANAGERS SERIES TRUST III INVESTMENT ADVISORY AGREEMENT Exhibit 16.6(a) INVESTMENT MANAGERS SERIES TRUST III INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of [ ] by and between the Investment Managers Series Trust III, a Delaware statutory trust (the “Trust”), on behalf of the series of the Trust listed in Appendix A (the “Funds”), which Appendix may be amended from time to time, and First Pacific Adviso |
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| December 23, 2025 |
Exhibit 16.17 SHAREHOLDER’S REGISTRATION PRINTED HERE ***BOXES FOR TYPSETTING PURPOSES ONLY*** THIS BOX AND BOX ABOVE ARE NOT PRINTED ON ACTUAL PROXY BALLOTS . THEY IDENTIFY LOCATION OF WINDOWS ON OUTBOUND 9 X 12 ENVELOPES . INVESTMENT MANAGERS SERIES TRUST III FPA QUEENS ROAD VALUE FUND PROXY FOR A SPECIAL MEETING OF SHAREHOLDERS TO BE HELD ON FEBRUARY [ ], 2026 The undersigned, revoking prior pr |
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| December 23, 2025 |
POWER OF ATTORNEY FOR SECURITIES AND EXCHANGE COMMISSION AND RELATED FILINGS Exhibit 16.16 POWER OF ATTORNEY FOR SECURITIES AND EXCHANGE COMMISSION AND RELATED FILINGS Each of the undersigned Trustees of Investment Managers Series Trust III (the “Trust”) hereby appoints Rita Dam, Diane Drake, and Amy Centurioni (with full power to each of them to act alone) as his or her attorney-in-fact and agent, in all capacities, to execute and file a Registration Statement of the Trus |
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| December 23, 2025 |
Exhibit 16.6(b) Certain identified information has been excluded from the exhibit because it is both not material and the type that the Registrant treats as private or confidential. INVESTMENT SUB-ADVISORY AGREEMENT AMONG FIRST PACIFIC ADVISORS, LP, BRAGG FINANCIAL ADVISORS, INC. AND INVESTMENT MANAGERS SERIES TRUST III THIS AGREEMENT, made as of this [ ] day of [ ], 2026 by and among Investment M |
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| December 23, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 16.14(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Combined Proxy Statement and Prospectus on Form N-14 of Investment Managers Series Trust III and to the use of our report dated July 30, 2025 on the financial statements and financial highlights of FPA Queens Road Value Fund, a series of shares of Investment Managers Series Tru |
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| December 23, 2025 |
Exhibit 16.11 December 23, 2025 Investment Managers Series Trust III 235 West Galena Street Milwaukee, Wisconsin 53212 Re: Registration Statement on Form N-14 Ladies and Gentlemen: We have acted as counsel to Investment Managers Series Trust III (the “Trust”), a Delaware statutory trust, on behalf of the FPA Queens Road Value ETF (the “Acquiring Fund”), a newly created separate series of the Trust |
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| August 5, 2025 |
Manteio Multialternative Strategy Fund Manteio Multialternative Strategy Fund CONSOLIDATED SCHEDULE OF INVESTMENTS As of January 31, 2025 (Unaudited) Number of Shares Value COMMON STOCKS — 18. |
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| August 1, 2025 |
Exhibit 99.(16)(6)(b) [October 24, 2025] FPA Crescent Fund 235 West Galena Street Milwaukee, WI 53212 RE: Expense Limit Agreement — FPA Crescent Fund Dear Ladies and Gentlemen: FPA Crescent Fund (the “Fund”), a series of the Investment Managers Series Trust III, a Delaware business trust, has entered into an agreement with First Pacific Advisors, LP (“Adviser”) whereby Adviser provides investment |
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| August 1, 2025 |
POWER OF ATTORNEY FOR SECURITIES AND EXCHANGE COMMISSION AND RELATED FILINGS Exhibit 99.(16)(16) POWER OF ATTORNEY FOR SECURITIES AND EXCHANGE COMMISSION AND RELATED FILINGS Each of the undersigned Trustees of Investment Managers Series Trust III (the “Trust”) hereby appoints Rita Dam, Diane Drake, and Amy Centurioni (with full power to each of them to act alone) as his or her attorney-in-fact and agent, in all capacities, to execute and file a Registration Statement of th |
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| August 1, 2025 |
Exhibit 99.(16)(17) [PROXY ID NUMBER HERE] [BAR CODE HERE] [CUSIP HERE] SHAREHOLDER’S REGISTRATION PRINTED HERE ***BOXES FOR TYPSETTING PURPOSES ONLY*** THIS BOX AND BOX ABOVE ARE NOT PRINTED ON ACTUAL PROXY BALLOTS. THEY IDENTIFY LOCATION OF WINDOWS ON OUTBOUND 9X12 ENVELOPES. NORTHERN LIGHTS FUND TRUST III CENTERSTONE INVESTORS FUND PROXY FOR A SPECIAL MEETING OF SHAREHOLDERS TO BE HELD ON OCTOB |
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| August 1, 2025 |
Exhibit 99.(16)(12) [ ], 2025 Northern Lights Fund Trust III 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 Investment Managers Series Trust III 235 West Galena Street Milwaukee, Wisconsin 53212 Ladies and Gentlemen: This opinion is furnished to you pursuant to paragraph 8.5 of the Agreement and Plan of Reorganization (the “Agreement”), dated as of [ ], 2025, by and among Northern Lights Fun |
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| August 1, 2025 |
Filed with the Securities and Exchange Commission on August 1, 2025 1933 Act Registration File No. |
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| August 1, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.(16)(14)(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-14 of Investment Managers Series Trust III with respect to the filing of the Joint Proxy Statement/Prospectus for FPA Crescent Fund. We also consent to the incorporation by reference, into this Registration Statement, of our report dated F |
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| August 1, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.(16)(14)(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated May 30, 2025, relating to the financial statements and financial highlights of Centerstone Investors Fund, a series of Northern Lights Fund Trust III, which are included in Form N-CSR for the year ended M |
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| August 1, 2025 |
Exhibit 99.(16)(11) August 1, 2025 Investment Managers Series Trust III 235 West Galena Street Milwaukee, Wisconsin 53212 Re: Registration Statement on Form N-14 Ladies and Gentlemen: We have acted as counsel to Investment Managers Series Trust III (the “Trust”), a Delaware statutory trust, on behalf of the FPA Crescent Fund (the “Acquiring Fund”), a separate series of the Trust, in connection wit |
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| June 20, 2025 |
Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 VIA EDGAR June 20, 2025 Mr. Kenneth Ellington U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Division of Investment Management Re: Investment Managers Series Trust III (the “Registrant” or “Trust”) (File Nos. 033-79858 and 811-08544) Dear Mr. Ellington: This letter respond |
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| December 13, 2024 |
Investment Managers Series Trust III 235 West Galena Street Milwaukee, Wisconsin 53212 Investment Managers Series Trust III 235 West Galena Street Milwaukee, Wisconsin 53212 December 13, 2024 VIA EDGAR U. |
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| November 26, 2024 |
Exhibit 16.12(b) November 22, 2024 Credit Suisse Opportunity Funds Eleven Madison Avenue New York, New York, 10010 Investment Managers Series Trust III 235 West Galena Street Milwaukee, Wisconsin 53212 Ladies and Gentlemen: This opinion is furnished to you pursuant to paragraph 8.5 of the Agreement and Plan of Reorganization (the “Agreement”), dated as of November 20, 2024, by and among Credit Sui |
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| November 26, 2024 |
Filed with the Securities and Exchange Commission on November 26, 2024 Filed with the Securities and Exchange Commission on November 26, 2024 1933 Act Registration File No. |
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| November 26, 2024 |
Exhibit 16.12(a) November 22, 2024 Credit Suisse Opportunity Funds Eleven Madison Avenue New York, New York, 10010 Investment Managers Series Trust III 235 West Galena Street Milwaukee, Wisconsin 53212 Ladies and Gentlemen: This opinion is furnished to you pursuant to paragraph 8.5 of the Agreement and Plan of Reorganization (the “Agreement”), dated as of November 20, 2024, by and among Credit Sui |
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| November 15, 2024 |
Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 VIA EDGAR November 15, 2024 Ms. Kim McManus U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Re: Investment Managers Series Trust III (the “Registrant” or “Trust”) (File Nos. 033-79858 and 811-08544) on behalf of the Manteio Managed Futures Strategy Fu |
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| November 8, 2024 |
Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 VIA EDGAR November 8, 2024 Ms. Kim McManus U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Re: Investment Managers Series Trust III (the “Registrant” or “Trust”) (File Nos. 033-79858 and 811-08544) on behalf of the Manteio Managed Futures Strategy Fun |
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| October 31, 2024 |
8050 Marshall Drive, Suite 120 › Lenexa, KS 66214 › cboe.com October 31, 2024 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 RE: Investment Managers Series Trust III Issuer CIK: 0000924727 Issuer File Number: 033-79858 / 811-08544 Form Type: 8-A12B Filing Date: October 31, 2024 To Whom It May Concern: Cboe BZX Exchange, Inc. certifie |
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| October 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 INVESTMENT MANAGERS SERIES TRUST III (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identi |
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| October 21, 2024 |
POWER OF ATTORNEY FOR SECURITIES AND EXCHANGE COMMISSION AND RELATED FILINGS Exhibit 16.16(a) POWER OF ATTORNEY FOR SECURITIES AND EXCHANGE COMMISSION AND RELATED FILINGS Each of the undersigned Trustees of Investment Managers Series Trust III (the “Trust”) hereby appoints Rita Dam, Diane Drake, and Amy Centurioni (with full power to each of them to act alone) as his or her attorney-in-fact and agent, in all capacities, to execute and file a Registration Statement of the T |
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| October 21, 2024 |
Exhibit 16.6(c) INVESTMENT ADVISORY AGREEMENT BETWEEN Manteio Cayman Multialternative Strategy Fund, Ltd. AND manteio scalable technologies, llc THIS INVESTMENT ADVISORY AGREEMENT (the “Agreement”), dated as of [ ], is entered into by and between each wholly-owned subsidiary listed in Appendix A (each a “Fund” and together the “Funds”), and Manteio Scalable Technologies, LLC, a Delaware limited li |
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| October 21, 2024 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 16.14(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-14 of Investment Managers Series Trust III regarding the Prospectus and Statement of Additional Information of Manteio Managed Futures Strategy Fund and Manteio Multialternative Strategy Fund, each a series of Investment Managers Series Trust II |
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| October 21, 2024 |
Exhibit 16.6(b) INVESTMENT ADVISORY AGREEMENT BETWEEN Manteio Cayman Managed Futures Strategy Fund, Ltd. AND manteio scalable technologies, llc THIS INVESTMENT ADVISORY AGREEMENT (the “Agreement”), dated as of [ ], is entered into by and between each wholly-owned subsidiary listed in Appendix A (each a “Fund” and together the “Funds”), and Manteio Scalable Technologies, LLC, a Delaware limited lia |
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| October 21, 2024 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 16.14(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of our reports dated October 18, 2024 relating to the financial statements and financial highlights, which appear in the 2023 Annual Reports to Shareholders of the Credit Suisse Managed Futures Strategy Fund and Credit Suisse Mult |
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| October 21, 2024 |
INVESTMENT MANAGERS SERIES TRUST III 235 W. Galena Street Milwaukee, Wisconsin 53212 INVESTMENT MANAGERS SERIES TRUST III 235 W. Galena Street Milwaukee, Wisconsin 53212 VIA EDGAR October 21, 2024 Ms. Valerie Lithotomos U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Re: Investment Managers Series Trust III (the “Registrant” or “Trust”) (File Nos. 033-79858 and 811-08544) on behalf of the FPA Short-Term Government ETF |
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| October 21, 2024 |
Exhibit 16.17(a) Credit Suisse Managed futures Strategy fund Eleven Madison Avenue New York, New York 10010 THIS PROXY IS SOLICITED ON BEHALF OF THE BOARDS OF TRUSTEES OF THE CREDIT SUISSE OPPORTUNITY FUNDS The undersigned hereby appoints Omar Tariq and Karen Regan, each with the full power of substitution, and hereby authorizes them to represent and vote, as designated on the reverse side and in |
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| October 21, 2024 |
Filed with the Securities and Exchange Commission on October 18, 2024 Filed with the Securities and Exchange Commission on October 18, 2024 1933 Act Registration File No. |
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| September 12, 2024 |
INVESTMENT MANAGERS SERIES TRUST III 235 W. Galena Street Milwaukee, Wisconsin 53212 INVESTMENT MANAGERS SERIES TRUST III 235 W. Galena Street Milwaukee, Wisconsin 53212 September 12, 2024 VIA EDGAR TRANSMISSSION Ms. Megan Miller U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Re: Delaying Amendment for Investment Managers Series Trust III Registration Statement on Form N-14 (File No. 333-281653) Dear Ms. Miller: Purs |
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| August 20, 2024 |
Exhibit 16.17(a) Exhibit 16.17(a) FORM OF PROXY CARD To vote by Internet 1) Read the Proxy Statement and have the proxy card below at hand. 2) Go to website 3) Follow the instructions provided on the website. To vote by Telephone 1) Read the Proxy Statement and have the proxy card below at hand. 2) Call 3) Follow the instructions. To vote by Mail 1) Read the Proxy Statement. 2) Check the appropria |
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| August 20, 2024 |
POWER OF ATTORNEY FOR SECURITIES AND EXCHANGE COMMISSION AND RELATED FILINGS Exhibit 16.16(a) POWER OF ATTORNEY FOR SECURITIES AND EXCHANGE COMMISSION AND RELATED FILINGS Each of the undersigned Trustees of Investment Managers Series Trust III (the “Trust”) hereby appoints Rita Dam, Diane Drake, and Amy Centurioni (with full power to each of them to act alone) as his or her attorney-in-fact and agent, in all capacities, to execute and file a Registration Statement of the T |
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| August 20, 2024 |
Exhibit 16.6(a) FORM OF INVESTMENT ADVISORY AGREEMENT BETWEEN INVESTMENT MANAGERS SERIES TRUST III AND MANTEIO sCALABLE TECHNOLOGIES LLC THIS INVESTMENT ADVISORY AGREEMENT (the “Agreement”), dated as of, is entered into by and between Investment Managers Series Trust III, a Delaware statutory trust (the “Trust”), on behalf of its series listed in Appendix A, as amended from time to time (each a “F |
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| August 20, 2024 |
Exhibit 16.11(a) August 19, 2024 Investment Managers Series Trust III 235 West Galena Street Milwaukee, Wisconsin 53212 Re: Registration Statement on Form N-14 Ladies and Gentlemen: We have acted as counsel to Investment Managers Series Trust III (the “Trust”), a Delaware statutory trust, on behalf of the Manteio Managed Futures Strategy Fund and Manteio Multialternative Strategy Fund (together, t |
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| August 20, 2024 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 16.14(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of our reports dated December 27, 2023 relating to the financial statements and financial highlights, which appear in the 2023 Annual Reports to Shareholders of the Credit Suisse Managed Futures Strategy Fund and Credit Suisse Mul |
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| August 20, 2024 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 16.14(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-14 of Investment Managers Series Trust III regarding the Prospectus and Statement of Additional Information of Manteio Managed Futures Strategy Fund and Manteio Multialternative Strategy Fund, each a series of Investment Manager Series Trust III |
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| August 20, 2024 |
Form of INVESTMENT MANAGERS SERIES TRUST III DISTRIBUTION PLAN Exhibit 16.10(a) Form of INVESTMENT MANAGERS SERIES TRUST III DISTRIBUTION PLAN This Amended and Restated Distribution Plan (the “Plan”) is adopted in accordance with Rule 12b–1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), by Investment Managers Series Trust III, a Delaware statutory trust (the “Trust”), with respect to the series (each a “Fund” and collectiv |
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| August 20, 2024 |
Form of INVESTMENT MANAGERS SERIES TRUST III OPERATING EXPENSES LIMITATION AGREEMENT Exhibit 16.6(b) Form of INVESTMENT MANAGERS SERIES TRUST III OPERATING EXPENSES LIMITATION AGREEMENT THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is dated as of , 20, by and between INVESTMENT MANAGERS SERIES TRUST III, a Delaware statutory trust (the “Trust”), on behalf of its series listed in Appendix A, as amended from time to time (each a “Fund”), and the investment advisor o |
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| August 20, 2024 |
Exhibit 16.12 FORM OPINION [ ], 20[ ] Credit Suisse Opportunity Funds Eleven Madison Avenue New York, New York, 10010 Investment Managers Series Trust III 235 West Galena Street Milwaukee, Wisconsin 53212 Ladies and Gentlemen: This opinion is furnished to you pursuant to paragraph 8.5 of the Agreement and Plan of Reorganization (the “Agreement”), dated as of [ ], 20[ ], by and among Credit Suisse |
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| August 20, 2024 |
Form of INVESTMENT MANAGERS SERIES TRUST III MULTIPLE CLASS PLAN PURSUANT TO RULE 18F-3 Exhibit 16.10(b) Form of INVESTMENT MANAGERS SERIES TRUST III MULTIPLE CLASS PLAN PURSUANT TO RULE 18F-3 Investment Managers Series Trust III (the "Trust") on behalf of its series listed on Schedule A, as amended from time to time, (each a “Fund”) hereby adopts this plan pursuant to Rule 18f-3 under the Investment Company Act of 1940, as amended (the "1940 Act"), which sets forth the separate dist |
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| August 20, 2024 |
Filed with the Securities and Exchange Commission on August 19, 2024 Filed with the Securities and Exchange Commission on August 19, 2024 1933 Act Registration File No. |
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| May 23, 2024 |
Exhibit 16.(12) April 26, 2024 Northern Lights Fund Trust III 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 FPA Funds Trust 235 West Galena Street Milwaukee, Wisconsin 53212 Ladies and Gentlemen: This opinion is furnished to you pursuant to paragraph 8.5 of the Agreement and Plan of Reorganization (the “Agreement”), dated as of April 23, 2024, by and among Northern Lights Fund Trust III (“N |
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| May 23, 2024 |
Filed with the Securities and Exchange Commission on May 23, 2024 Filed with the Securities and Exchange Commission on May 23, 2024 1933 Act Registration File No. |
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| April 29, 2024 |
Exhibit 99.28(j)(1) April 29, 2024 Securities and Exchange Commission 100 F Street, N. E. Washington, D.C. 20549 Ladies and Gentlemen: We have read the Financial Highlights within the Form N-1A dated January 31, 2024 of Investment Managers Series Trust III and are in agreement with the statements contained in the Financial Highlights therein. We have no basis to agree or disagree with other statem |
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| April 29, 2024 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 As filed with the Securities and Exchange Commission on April 29, 2024 Securities Act File No. |
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| April 25, 2024 |
Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 VIA EDGAR April 25, 2024 U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Division of Investment Management Re: Investment Managers Series Trust III (the “Registrant” or “Trust”) (File Nos. 033-79858 and 811-08544) on behalf of the FPA Crescent Fund Ladies and Gentlemen: Thi |
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| April 25, 2024 |
Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 VIA EDGAR April 25, 2024 U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Division of Investment Management Re: Investment Managers Series Trust III (the “Registrant” or “Trust”) (File Nos. 033-79858 and 811-08544) on behalf of the FPA New Income Fund Ladies and Gentlemen: T |
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| April 23, 2024 |
8050 Marshall Drive, Suite 120 › Lenexa, KS 66214 › cboe.com By Electronic Mail April 23, 2024 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 RE: Investment Managers Series Trust III Issuer CIK: 0000924727 Issuer File Number: 333-276290/811-08544 Form Type: 8-A12B Filing Date: April 23, 2024 To Whom It May Concern: Please be advised |
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| April 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 INVESTMENT MANAGERS SERIES TRUST III (Exact name of registrant as specified in its charter) Delaware 87-3113757 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Ident |
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| January 30, 2024 |
INVESTMENT MANAGERS SERIES TRUST III 235 W. Galena Street Milwaukee, Wisconsin 53212 INVESTMENT MANAGERS SERIES TRUST III 235 W. Galena Street Milwaukee, Wisconsin 53212 VIA EDGAR January 30, 2024 U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Division of Investment Management Re: Investment Managers Series Trust III (formerly, FPA Funds Trust) (the “Registrant”) Registration Statement on Form N-14 (File No. 333-276290) Ladies and Gentleme |
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| January 26, 2024 |
Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 VIA EDGAR January 26, 2024 U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Division of Investment Management Re: Investment Managers Series Trust III (the “Registrant”) on behalf of the FPA Global Equity ETF Ladies and Gentlemen: The Registrant is filing this correspondence |
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| January 18, 2024 |
Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 VIA EDGAR January 18, 2024 U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Division of Investment Management Re: Investment Managers Series Trust III (the “Registrant”) on behalf of the FPA Global Equity ETF Ladies and Gentlemen: This letter summarizes the comments provided |
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| January 18, 2024 |
Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 Investment Managers Series Trust III 235 W. Galena Street Milwaukee, Wisconsin 53212 VIA EDGAR January 18, 2024 U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Division of Investment Management Re: Investment Managers Series Trust III (the “Registrant”) on behalf of the FPA Global Equity Fund Ladies and Gentlemen: This letter summarizes the comments provide |
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| December 27, 2023 |
EX-17 [PROXY ID NUMBER HERE] [BAR CODE HERE] [CUSIP HERE] SHAREHOLDER’S REGISTRATION PRINTED HERE ***BOXES FOR TYPSETTING PURPOSES ONLY*** THIS BOX AND THE BOX ABOVE ARE NOT PRINTED ON ACTUAL PROXY BALLOTS. |
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| December 27, 2023 |
ADMINISTRATIVE AGENCY AGREEMENT Ex 16.13(c) ADMINISTRATIVE AGENCY AGREEMENT THIS AGREEMENT is made as of [] , 202, by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (the "Administrator"), and [Insert Fund/Trust Name] a [] (the “Fund” on behalf of each series listed on Appendix A to this Agreement each a “Portfolio” and collectively, the "Portfolios") and registe |
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| December 27, 2023 |
POWER OF ATTORNEY FOR SECURITIES AND EXCHANGE COMMISSION AND RELATED FILINGS EX 16.16(a) POWER OF ATTORNEY FOR SECURITIES AND EXCHANGE COMMISSION AND RELATED FILINGS Each of the undersigned Trustees of FPA Funds Trust (the “Trust”) hereby appoints Rita Dam, Diane Drake, and Amy Centurioni (with full power to each of them to act alone) as his or her attorney-in-fact and agent, in all capacities, to execute and file a Registration Statement of the Trust on Form N-14 under th |
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| December 27, 2023 |
Ex 16.12 FORM OPINION [ ], 20[ ] Northern Lights Fund Trust III 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 FPA Funds Trust 235 West Galena Street Milwaukee, Wisconsin 53212 Ladies and Gentlemen: This opinion is furnished to you pursuant to paragraph 8.5 of the Agreement and Plan of Reorganization (the “Agreement”), dated as of [ ], 20[ ], by and among Northern Lights Fund Trust III (“Nor |
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| December 27, 2023 |
EX 16.13(a) CO-ADMINISTRATION AGREEMENT THIS CO-ADMINISTRATION AGREEMENT (the “Agreement”) is made as of this 28th day of July, 2023, by and between FPA Funds Trust, a Delaware statutory trust (the “Trust”), UMB Fund Services, Inc., a Wisconsin corporation (“UMBFS”), and Mutual Fund Administration, LLC, a California corporation (“MFAC”). UMBFS and MFAC are collectively referred to herein as the “C |
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| December 27, 2023 |
EX 16.14(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Post-Effective Amendment to Registration Statement on Form N-14 of our report dated November 22, 2023, relating to the financial statements and financial highlights of FPA Global Equity ETF (the “Fund”), appearing in the Annual Report on Form N-CSR of the Fund for the period en |
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| December 27, 2023 |
Filed with the Securities and Exchange Commission on December 27, 2023 Filed with the Securities and Exchange Commission on December 27, 2023 1933 Act Registration File No. |
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| December 27, 2023 |
EX 16.11(a) December 27, 2023 FPA Funds Trust 235 West Galena Street Milwaukee, Wisconsin 53212 Re: Registration Statement on Form N-14 Ladies and Gentlemen: We have acted as counsel to FPA Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of the FPA Global Equity ETF (the “Acquiring Fund”), a newly created separate series of the Trust, in connection with the Trust’s registration st |
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| December 27, 2023 |
FPA GLOBAL EQUITY ETF Form of INVESTMENT ADVISORY AGREEMENT EX 16.6(a) FPA GLOBAL EQUITY ETF Form of INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of by and between FPA Global Equity ETF (the “Fund”), a series of the FPA Funds Trust, a Delaware statutory trust (the “Trust”), and First Pacific Advisors, LP, a Delaware limited partnership (the “Adviser”). WHEREAS, the Fund is engaged in business as an open-end |
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| December 27, 2023 |
EX 16.13(b) Amended and Restated Schedule A to the Co-Administration Agreement by and between FPA Funds Trust and UMB Fund Services, Inc. and Mutual Fund Administration, LLC NAME OF FUNDS FPA Crescent Fund FPA Flexible Fixed Income Fund FPA New Income Fund FPA Queens Road Small Cap Value Fund FPA Queens Road Value Fund FPA Global Equity Fund FPA Global Equity ETF The undersigned, intending to be l |
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| December 27, 2023 |
EX 16.7(c) AMENDMENT AGREEMENT THIS AMENDMENT AGREEMENT (this “Amendment”) is effective as of this [ ] day of [ ], by and between FPA Funds Trust, a Delaware business trust (the “Trust”), on behalf of each of the separate investment funds listed on Appendix D hereto (the “Funds”), First Pacific Advisors, LP (f/k/a First Pacific Advisors, LLC), a Delaware limited partnership (the “Advisor”), UMB Fu |
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| December 27, 2023 |
FPA GLOBAL EQUITY ETF OPERATING EXPENSES LIMITATION AGREEMENT EX 16.6(b) FPA GLOBAL EQUITY ETF OPERATING EXPENSES LIMITATION AGREEMENT THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is dated as of , 20, by and between FPA FUNDS TRUST, a Delaware statutory trust (the “Trust”), on behalf of the FPA Global Equity ETF (the “Fund”), a series of the Trust, , as amended from time to time, and the investment advisor of the Fund, First Pacific Advisor |
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| December 27, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX 16.14(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our Firm in the Registration Statement on Form N-14 of FPA Funds Trust regarding the Prospectus and Statement of Additional Information of FPA Global Equity ETF, a series of FPA Funds Trust. /s/ TAIT, WELLER & BAKER LLP Philadelphia, Pennsylvania December 27, 2023 |
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| December 27, 2023 |
FORM OF AUTHORIZED PARTICIPANT AGREEMENT FPA Funds Trust EX 16.7(d) FORM OF AUTHORIZED PARTICIPANT AGREEMENT FPA Funds Trust This authorized participant agreement (this “Agreement”) is entered into by UMB Distribution Services, LLC (the “Distributor”), [Name of Participant] (the “Participant”), Brown Brothers Harriman & Co. (the “Transfer Agent”), and FPA Funds Trust (the “Trust” and, together with the Distributor, Participant, and Transfer Agent, the “ |
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| December 27, 2023 |
CUSTODIAN AND TRANSFER AGENT AGREEMENT EX 16.9(a) CUSTODIAN AND TRANSFER AGENT AGREEMENT THIS AGREEMENT (this Agreement), dated as of , 202, between FPA Funds Trust (the Fund, including its separate series, the Portfolios), an open-end management investment company organized under the laws of the State of Delaware and registered with the Commission under the Investment Company Act of 1940 (the 1940 Act), and BROWN BROTHERS HARRIMAN & C |
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| August 15, 2023 |
INVESTMENT MANAGERS SERIES TRUST III POWER OF ATTORNEY EX-99.16.16(a) INVESTMENT MANAGERS SERIES TRUST III POWER OF ATTORNEY KNOWN ALL BY THESE PRESENT, that the person(s) whose signature appears below constitutes and appoints each of the following individually: Rita Dam Diane Drake Amy Centurioni to act as attorney-in-fact and agent, with power of substitution and resubstitution, for the undersigned in any and all capacities to execute any and all do |
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| August 15, 2023 |
EX-99.16.12(b) Three Bryant Park 1095 Avenue of the Americas New York, New York 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com July 28, 2023 Board of Trustees Bragg Capital Trust FPA Queens Road Small Cap Value Fund 11601 Wilshire Boulevard, Suite 1200 Los Angeles, CA 90025 Board of Trustees FPA Funds Trust FPA Queens Road Small Cap Value Fund 11601 Wilshire Boulevard, Suite 1 |
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| August 15, 2023 |
EX-99.16.12(d) Three Bryant Park 1095 Avenue of the Americas New York, New York 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com July 28, 2023 Board of Trustees FPA Funds Trust FPA U.S. Core Equity Fund 11601 Wilshire Boulevard, Suite 1200 Los Angeles, CA 90025 Board of Directors FPA U.S. Core Equity Fund, Inc. 11601 Wilshire Boulevard, Suite 1200 Los Angeles, CA 90025 Dear Ladi |
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| August 15, 2023 |
EX-99.16.12(a) Three Bryant Park 1095 Avenue of the Americas New York, New York 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com July 28, 2023 Board of Trustees FPA Funds Trust FPA New Income Fund 11601 Wilshire Boulevard, Suite 1200 Los Angeles, CA 90025 Board of Directors FPA New Income, Inc. 11601 Wilshire Boulevard, Suite 1200 Los Angeles, CA 90025 Dear Ladies and Gentlemen: |
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| August 15, 2023 |
EX-99.16.12(c) Three Bryant Park 1095 Avenue of the Americas New York, New York 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com July 28, 2023 Board of Trustees Bragg Capital Trust FPA Queens Road Value Fund 11601 Wilshire Boulevard, Suite 1200 Los Angeles, CA 90025 Board of Trustees FPA Funds Trust FPA Queens Road Value Fund 11601 Wilshire Boulevard, Suite 1200 Los Angeles, CA |
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| August 15, 2023 |
Filed with the Securities and Exchange Commission on August 15, 2023 Filed with the Securities and Exchange Commission on August 15, 2023 1933 Act Registration File No. |
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| July 28, 2023 |
Exhibit 99.28(i)(7) July 28, 2023 FPA Funds Trust 11601 Wilshire Boulevard, Suite 1200 Los Angeles, California 90025 Re: Registration Statement on Form N-1A File Nos. 033-79858 and 811-08544 (“Registration Statement”) Ladies and Gentlemen: We consent to the references to our firm in the Registration Statement. In giving this consent, we do not admit that we are in the category of persons the conse |
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| July 28, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 As filed with the Securities and Exchange Commission on July 28, 2023 Securities Act File No. |
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| July 28, 2023 |
Exhibit 99.28(i)(6) One Bush Street Suite 1600 San Francisco, CA 94104-4446 +1 415 262 4500 Main +1 415 262 4555 Fax www.dechert.com July 28, 2023 FPA Funds Trust 11601 Wilshire Blvd., Suite 1200 Los Angeles, California 90025 Re: Securities Act Registration No. 333-79858 Investment Company Act File No. 811-08544 Dear Ladies and Gentlemen: We have acted as counsel for FPA Funds Trust, a Delaware st |
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| June 22, 2023 |
US Bank Tower 633 West 5th Street Suite 4900 Los Angeles, CA 90071-2032 +1 213 808 5700 Main +1 213 808 5760 Fax www. |
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| June 21, 2023 |
US Bank Tower 633 West 5th Street Suite 4900 Los Angeles, CA 90071-2032 +1 213 808 5700 Main +1 213 808 5760 Fax www. |
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| May 26, 2023 |
FORM OF FUND ACCOUNTING AGREEMENT Exhibit 99.(16)(13)(b) FORM OF FUND ACCOUNTING AGREEMENT THIS AGREEMENT is made as of this [ ] day of [ ], 2023, by and between [FPA Funds Trust, a Delaware statutory trust (the “Trust”)] and UMB Fund Services, Inc., a Wisconsin corporation (“UMBFS”). WHEREAS, the Trust is an open-end investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”) and is authori |
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| May 26, 2023 |
FPA FUNDS TRUST FORM OF UNIFIED FORM OF INVESTMENT ADVISORY AGREEMENT Exhibit 99.(16)(6)(b) FPA FUNDS TRUST FORM OF UNIFIED FORM OF INVESTMENT ADVISORY AGREEMENT THIS UNIFIED INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of [ ], 2023 by and between the FPA Funds Trust, a Delaware business trust (the “Trust”), on behalf of the series of the Trust listed in Appendix A (the “Funds”), which Appendix may be amended from time to time, and First Pacific Advis |
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| May 26, 2023 |
FORM OF INVESTMENT ADVISORY AGREEMENT FPA Funds Trust on behalf of its series FPA New Income Fund Exhibit 99.(16)(6)(a) FORM OF INVESTMENT ADVISORY AGREEMENT FPA Funds Trust on behalf of its series FPA New Income Fund AGREEMENT dated [ ], 2023, by and between FPA FUNDS TRUST, a Delaware business trust on behalf of its series FPA NEW INCOME FUND (hereinafter referred to as the “Fund”), and FIRST PACIFIC ADVISORS, LP, a Delaware limited partnership (hereinafter referred to as the “Manager”). W I |
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| May 26, 2023 |
SCHEDULE A FPA Queens Road Value Fund Expense Limit = 0.65% Exhibit 99.(16)(6)(g) FORM OF AGREEMENT [ ], 2023 FPA Queens Road Value Fund 11601 Wilshire Blvd., Ste. 1200 Los Angeles, CA 90025 RE: Expense Limit Agreement – FPA Queens Road Value Fund Dear Ladies and Gentlemen: FPA Queens Road Value Fund, a series of the FPA Funds Trust , (the “Fund”), a Delaware business trust, has entered into an agreement with First Pacific Advisors, LP (“Adviser”) whereby |
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| May 26, 2023 |
SCHEDULE A FPA New Income Fund Expense Limit [ ], 2023 through [ ], 2024 0.45% Exhibit 99.(16)(6)(e) [ ], 2023 FPA New Income Fund 11601 Wilshire Blvd., Ste. 1200 Los Angeles, CA 90025 RE: Expense Limit Agreement – FPA New Income Fund Dear Ladies and Gentlemen: FPA New Income Fund (the “Fund”), a series of the FPA Funds Trust, a Delaware business trust, has entered into an agreement with First Pacific Advisors, LP (“Adviser”) whereby Adviser provides investment advisory serv |
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| May 26, 2023 |
Exhibit 99.(16)(6)(d) FORM OF INVESTMENT SUB-ADVISORY AGREEMENT AMONG FIRST PACIFIC ADVISORS, LP, BRAGG FINANCIAL ADVISORS, INC. AND FPA FUNDS TRUST THIS AGREEMENT, made as of this [ ]st day of [ ], 2023 by and among FPA Funds Trust (“Trust”), a Delaware business trust, on behalf of the series of the Trust listed in Schedule A (each a “Fund” and collectively, the “Funds”), First Pacific Advisors, |
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| May 26, 2023 |
FORM OF CUSTODY AGREEMENT Dated [ ], 2023 UMB BANK, N.A. [FPA FUNDS TRUST] Exhibit 99.(16)(9)(a) FORM OF CUSTODY AGREEMENT Dated [ ], 2023 Between UMB BANK, N.A. and [FPA FUNDS TRUST] 1 CUSTODY AGREEMENT This agreement made as of the date first set forth above between UMB Bank, n.a., a national banking association with its principal place of business located in Kansas City, Missouri (hereinafter "Custodian"), and each of the Funds listed on Appendix B hereof, together wi |
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| May 26, 2023 |
Filed with the Securities and Exchange Commission on May 26, 2023 Filed with the Securities and Exchange Commission on May 26, 2023 1933 Act Registration File No. |
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| May 26, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.(16)(14)(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our Firm in the Registration Statement on Form N-14 of FPA Funds Trust regarding the Prospectus and Statement of Additional Information of FPA New Income Fund, FPA Queens Road Small Cap Value Fund, FPA Queens Road Value Fund, and FPA U.S. Core Equity Fund, each a series of FPA Funds Trus |
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| May 26, 2023 |
Exhibit 99.(16)(7)(c) FORM OF AMENDMENT AGREEMENT THIS AMENDMENT AGREEMENT (this “Amendment”) is effective as of this [ ] day of June, 2023, by and between FPA Funds Trust, a Delaware business trust (the “Trust”), on behalf of each of the separate investment funds listed on Appendix D hereto (the “Funds”), First Pacific Advisors, LP (f/k/a First Pacific Advisors, LLC), a Delaware limited par |
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| May 26, 2023 |
Exhibit 99.(16)(6)(c) FORM OF INVESTMENT ADVISORY AGREEMENT FPA Funds Trust on behalf of its series FPA U.S. Core Equity Fund AGREEMENT, dated [ ], 2023, by and between FPA FUNDS TRUST, a Delaware business trust on behalf of its series FPA U.S. CORE EQUITY FUND (hereinafter called the “Fund”), and FIRST PACIFIC ADVISORS, LP, a Delaware limited partnership (hereinafter called the “Adviser”). W I T |
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| May 26, 2023 |
Exhibit 99.(16)(11)(a) 1900 K Street, N.W. Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www.dechert.com May 26, 2023 Board of Trustees, FPA Funds Trust 11601 Wilshire Blvd., Ste. 1200 Los Angeles, California 90025 Re: Registration Statement on Form N-14 (FPA New Income Fund, FPA Queens Road Small Cap Value Fund, FPA Queens Road Value Fund and FPA U.S. Core Equity Fund) Ladies |
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| May 26, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.(16)(14)(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm under the captions “Independent Registered Public Accounting Firm”, “Other Service Providers”, “Financial Highlights”, and “Representations and Warranties” in the Information Statement/Prospectus, and “Financial Information” in the Statement of Additional Information, included i |
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| May 26, 2023 |
FORM OF CO-ADMINISTRATION AGREEMENT Exhibit 99.(16)(13)(a) FORM OF CO-ADMINISTRATION AGREEMENT THIS CO-ADMINISTRATION AGREEMENT (the “Agreement”) is made as of this [ ] day of [ ], 2023, by and between [FPA Funds Trust, a Delaware statutory trust (the “Trust”)], UMB Fund Services, Inc., a Wisconsin corporation (“UMBFS”), and Mutual Fund Administration, LLC, a California corporation (“MFAC”). UMBFS and MFAC are collectively referred |
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| May 26, 2023 |
Exhibit 99.(16)(6)(f) FORM OF AGREEMENT [ ], 2023 FPA Queens Road Small Cap Value Fund 11601 Wilshire Blvd., Ste. 1200 Los Angeles, CA 90025 RE: Expense Limit Agreement – FPA Queens Road Small Cap Value Fund Dear Ladies and Gentlemen: FPA Queens Road Small Cap Value Fund, a series of the FPA Funds Trust , (the “Fund”), a Delaware business trust, has entered into an agreement with First Pacific Adv |
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| May 26, 2023 |
Exhibit 99.(16)(12) Three Bryant Park 1095 Avenue of the Americas New York, New York 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com Form of Tax Opinion [•], 2023 Board of Directors FPA [•], Inc. 11601 Wilshire Boulevard, Suite 1200 Los Angeles, CA 90025 Board of Trustees FPA Funds Trust FPA [•] Fund 11601 Wilshire Boulevard, Suite 1200 Los Angeles, CA 90025 Dear Ladies and Gen |
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| May 26, 2023 |
FPA FUNDS TRUST Multiple Share Class Plan Pursuant to Rule 18f-3 under the 1940 Act Exhibit 99.(16)(10)(b) FPA FUNDS TRUST Multiple Share Class Plan Pursuant to Rule 18f-3 under the 1940 Act I. Introduction This Multiple Share Class Plan (the “Plan”) has been adopted pursuant to Rule 18f-3 under the Investment Company Act of 1940 (the "1940 Act") by FPA Funds Trust (the “Trust”) for each series of the Trust that offers multiple classes of shares, as set forth in Exhibit A hereto, |
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| April 10, 2023 |
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 ☒ 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)(2)) ☒ Definit |
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| November 29, 2022 |
FPA FLEXIBLE FIXED INCOME FUND Portfolio of investments September 30, 2022 NPORT-EX 2 NPORT0519656686620922.htm FPA FLEXIBLE FIXED INCOME FUND Portfolio of investments September 30, 2022 (Unaudited) COMMON STOCKS Shares or Principal Amount Fair Value ENERGY — 0.1% PHI Group, Inc., Restricted(a)(b)(c) 75,292 $ 941,150 $ 941,150 RETAILING — 0.1% Copper Earn Out Trust(a)(b)(c) 7,803 $ 42,916 Copper Property CTL Pass Through Trust(a)(b)(c) 58,520 760,760 $ 803,676 TOTAL COMM |
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| November 29, 2022 |
FPA CRESCENT FUND Portfolio of investments September 30, 2022 FPA CRESCENT FUND Portfolio of investments September 30, 2022 (Unaudited) COMMON STOCKS Shares Fair Value INTERNET MEDIA — 7. |
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| September 12, 2022 |
CORRESP 1 filename1.htm US Bank Tower 633 West 5th Street Suite 4900 Los Angeles, CA 90071-2032 +1 213 808 5700 Main +1 213 808 5760 Fax www.dechert.com Kevin F. Cahill [email protected] +1 949 442 6051 Direct +1 949 681 8646 Fax September 12, 2022 VIA EDGAR Mr. Ken Ellington Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: FPA Funds Trust (File Nos. 33- |
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| May 27, 2022 |
FPA CRESCENT FUND PORTFOLIO OF INVESTMENTS March 31, 2022 (Unaudited) FPA CRESCENT FUND PORTFOLIO OF INVESTMENTS March 31, 2022 (Unaudited) COMMON STOCKS Shares Fair Value INTERNET MEDIA — 10. |
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| May 27, 2022 |
FPA FLEXIBLE FIXED INCOME FUND PORTFOLIO OF INVESTMENTS March 31, 2022 FPA FLEXIBLE FIXED INCOME FUND PORTFOLIO OF INVESTMENTS March 31, 2022 (Unaudited) COMMON STOCKS Shares or Principal Amount Fair Value ENERGY — 0. |
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| November 24, 2021 |
FPA CRESCENT FUND PORTFOLIO OF INVESTMENTS September 30, 2021 FPA CRESCENT FUND PORTFOLIO OF INVESTMENTS September 30, 2021 (Unaudited) COMMON STOCKS Shares Fair Value INTERNET MEDIA — 11. |
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| November 24, 2021 |
FPA FLEXIBLE FIXED INCOME FUND Portfolio of investments September 30, 2021 FPA FLEXIBLE FIXED INCOME FUND Portfolio of investments September 30, 2021 (Unaudited) COMMON STOCKS Shares or Principal Amount Fair Value RETAILING — 0. |
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| May 28, 2021 |
FPA FLEXIBLE FIXED INCOME FUND Portfolio of investments March 31, 2021 FPA FLEXIBLE FIXED INCOME FUND Portfolio of investments March 31, 2021 (Unaudited) COMMON STOCKS Shares or Principal Amount Fair Value ENERGY — 0. |
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| May 28, 2021 |
FPA CRESCENT FUND Portfolio of investments March 31, 2021 FPA CRESCENT FUND Portfolio of investments March 31, 2021 (Unaudited) COMMON STOCKS Shares Fair Value INTERNET MEDIA — 11. |
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| April 12, 2021 |
CORRESP 1 filename1.htm 650 Town Center Drive Suite 700 Costa Mesa, CA 92626 +1 949 442 6000 Main +1 949 442 6010 Fax www.dechert.com Kevin F. Cahill [email protected] +1 949 442 6051 Direct +1 949 681 8646 Fax April 12, 2021 VIA EDGAR Filing Desk Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attn: Valerie Lithotomos, Esq. Re: FPA Funds Trust (the “Registrant”) 19 |
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| February 16, 2021 |
One Bush Street Suite 1600 San Francisco, CA 94104-4446 +1 415 262 4500 Main +1 415 262 4555 Fax www. |
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| November 27, 2020 |
FPA CRESCENT FUND Portfolio of investments September 30, 2020 FPA CRESCENT FUND Portfolio of investments September 30, 2020 (Unaudited) COMMON STOCKS Shares Fair Value INTERNET MEDIA — 12. |
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| November 27, 2020 |
FPA FLEXIBLE FIXED INCOME FUND Portfolio of investments September 30, 2020 FPA FLEXIBLE FIXED INCOME FUND Portfolio of investments September 30, 2020 (Unaudited) COMMON STOCKS Shares or Principal Amount Fair Value ENERGY — 0. |
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| November 27, 2020 |
FPA INTERNATIONAL VALUE FUND Portfolio of investments September 30, 2020 FPA INTERNATIONAL VALUE FUND Portfolio of investments September 30, 2020 (Unaudited) COMMON STOCKS Shares Fair Value APPLICATION SOFTWARE — 12. |
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| October 6, 2020 |
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 x 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)(2)) ¨ Definitive Proxy State |
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| September 24, 2020 |
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 x 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)(2)) ¨ Definitive Proxy State |
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| September 1, 2020 |
650 Town Center Drive Suite 700 Costa Mesa, CA 92626 +1 949 442 6000 Main +1 949 442 6010 Fax www. |
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| July 6, 2020 |
One Bush Street Suite 1600 San Francisco, CA 94104-4446 +1 415 262 4500 Main +1 415 262 4555 Fax www. |
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| May 29, 2020 |
FPA FLEXIBLE FIXED INCOME FUND PORTFOLIO OF INVESTMENTS March 31, 2020 FPA FLEXIBLE FIXED INCOME FUND PORTFOLIO OF INVESTMENTS March 31, 2020 (Unaudited) Shares or Principal Amount Fair Value COMMON STOCKS ENERGY — 0. |
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| May 29, 2020 |
FPA CRESCENT FUND PORTFOLIO OF INVESTMENTS March 31, 2020 FPA CRESCENT FUND PORTFOLIO OF INVESTMENTS March 31, 2020 (Unaudited) Shares Fair Value COMMON STOCKS INTERNET MEDIA — 11. |
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| May 29, 2020 |
FPA INTERNATIONAL VALUE FUND PORTFOLIO OF INVESTMENTS March 31, 2020 FPA INTERNATIONAL VALUE FUND PORTFOLIO OF INVESTMENTS March 31, 2020 (Unaudited) COMMON STOCKS Shares Fair Value APPLICATION SOFTWARE — 8. |
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| March 20, 2020 |
FPACX / FPA Crescent Fund AW - - AW Fund Administration Legal Rebecca Gilding Vice President & Counsel One Lincoln Street Mail Stop SFC 0508 Boston, MA 02111 T +1 617-662-3968 F +1 617-662-3805 rgilding@statestreet. |
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| November 27, 2019 |
FPA INTERNATIONAL VALUE FUND PORTFOLIO OF INVESTMENTS September 30, 2019 (Unaudited) Shares Fair Value COMMON STOCKS APPLICATION SOFTWARE — 8. |
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| November 27, 2019 |
FPACX / FPA Crescent Fund NPORT-EX - - FPA CRESCENT FUND PORTFOLIO OF INVESTMENTS September 30, 2019 (Unaudited) Shares Fair Value COMMON STOCKS INTERNET MEDIA — 9. |
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| November 27, 2019 |
FPA FLEXIBLE FIXED INCOME FUND PORTFOLIO OF INVESTMENTS September 30, 2019 (Unaudited) Shares or Principal Amount Fair Value COMMON STOCKS ENERGY — 0. |
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| August 15, 2019 |
650 Town Center Drive Suite 700 Costa Mesa, CA 92626 +1 949 442 6000 Main +1 949 442 6010 Fax www. |
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| May 29, 2019 |
N-Q 0000924727 xxxxxxx N-1A No S000064044 C000207154 [email protected] [email protected] [email protected] [email protected] 03/31/2019 NONE EDGAR Advantage Service Team (800) 688 - 1933 ITEM 1. Schedule of Investments. FPA FLEXIBLE FIXED INCOME FUND PORTFOLIO OF INVESTMENTS March 31, 2019 (Unaudited) Principal Amount Fair Value BONDS & DEBENTURES COMMERCI |
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| May 29, 2019 |
N-Q 0000924727 xxxxxxx N-1A No S000009495 C000025975 [email protected] [email protected] [email protected] [email protected] 03/31/2019 NONE EDGAR Advantage Service Team (800) 688 - 1933 ITEM 1. Schedule of Investments. FPA CRESCENT FUND PORTFOLIO OF INVESTMENTS March 31, 2019 (Unaudited) Shares Fair Value COMMON STOCKS INTERNET MEDIA — 7.9% Alphabet, Inc. |
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| May 29, 2019 |
N-Q 0000924727 xxxxxxx N-1A No S000035260 C000108480 kcfpafinancialreporting@statestreet. |
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| December 31, 2018 |
650 Town Center Drive Suite 700 Costa Mesa, CA 92626 +1 949 442 6000 Main +1 949 442 6010 Fax www. |
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| November 29, 2018 |
Exhibit 99.CERT Certifications I, J. Richard Atwood, President FPA Funds Trust, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mis |
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| November 29, 2018 |
Fpa Funds Trust N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 a18-363242nq.htm N-Q 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 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive off |
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| November 29, 2018 |
Exhibit 99.CERT Certifications I, J. Richard Atwood, President FPA Funds Trust, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mis |
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| November 29, 2018 |
Fpa Funds Trust N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive offices) (Zip code) Copy to: J |
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| October 15, 2018 |
650 Town Center Drive Suite 700 Costa Mesa, CA 92626 +1 949 442 6000 Main +1 949 442 6010 Fax www. |
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| May 30, 2018 |
Fpa Funds Trust N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 a18-91045nq.htm N-Q 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 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive offi |
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| May 30, 2018 |
EX-99.CERT 2 a18-91045ex99dcert.htm EX-99.CERT Exhibit 99.CERT Certifications I, J. Richard Atwood, President of FPA Funds Trust , certify that: 1. I have reviewed this report on Form N-Q of President of FPA Funds Trust ; 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 |
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| May 30, 2018 |
Exhibit 99.CERT Certifications I, J. Richard Atwood, President of FPA Funds Trust , certify that: 1. I have reviewed this report on Form N-Q of President of FPA Funds Trust ; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements |
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| May 30, 2018 |
Fpa Funds Trust N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 a18-91041nq.htm N-Q 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 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive offi |
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| February 21, 2018 |
Exhibit 99 Form 3 Joint Filer Information Name: FPA Crescent Fund, a series of FPA Funds Trust Address: 11601 Wilshire Blvd. |
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| November 29, 2017 |
Exhibit 99.CERT Certifications I, J. Richard Atwood, President FPA Funds Trust , certify that: 1. I have reviewed this report on Form N-Q of President of FPA Funds Trust ; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements wer |
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| November 29, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive offices) (Zip code) J. RICHARD |
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| November 29, 2017 |
Exhibit 99.CERT Certifications I, J. Richard Atwood, President FPA Funds Trust , certify that: 1. I have reviewed this report on Form N-Q of President of FPA Funds Trust ; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements wer |
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| November 29, 2017 |
N-Q 1 a17-246741nq.htm N-Q 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 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive off |
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| May 30, 2017 |
Exhibit 99.CERT Certifications I, J. Richard Atwood, President FPA Funds Trust , certify that: 1. I have reviewed this report on Form N-Q of President of FPA Funds Trust ; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements wer |
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| May 30, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive offices) (Zip code) Copy to: J |
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| May 30, 2017 |
I, J. Richard Atwood, President of FPA Funds Trust , certify that: Exhibit 99.CERT I, J. Richard Atwood, President of FPA Funds Trust , certify that: 1. I have reviewed this report on Form N-Q of President of FPA Funds Trust ; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not |
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| May 30, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive offices) (Zip code) Copy to: J |
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| February 9, 2017 |
February 9, 2017 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F. |
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| November 29, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive offices) (Zip code) Copy to: J |
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| November 29, 2016 |
Exhibit 99.CERT Certifications I, J. Richard Atwood, President FPA Funds Trust , certify that: 1. I have reviewed this report on Form N-Q of President of FPA Funds Trust ; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements wer |
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| November 29, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive offices) (Zip code) Copy to: J |
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| November 29, 2016 |
Exhibit 99.CERT Certifications I, J. Richard Atwood, President of FPA Funds Trust, certify that: 1. I have reviewed this report on Form N-Q of President of FPA Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements we |
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| August 30, 2016 |
Item 77C. Submission of matters to a vote of security holders A Special Meeting of Shareholders was held on May 9, 2016 in Los Angeles, California. The voting result for the proposal considered at the Special Meeting of Shareholders is as follows: Election of Trustees. The shareholders of the Fund elected J. Richard Atwood, Mark L. Lipson, Alfred E. Osborne, Jr., A. Robert Pisano, Patrick B. Purce |
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| June 27, 2016 |
Exhibit 99 Form 3 Joint Filer Information Name: FPA Crescent Fund, a series of FPA Funds Trust Address: 11601 Wilshire Blvd. |
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| June 20, 2016 |
Exhibit 99 Form 3 Joint Filer Information Name: FPA Crescent Fund, a series of FPA Funds Trust Address: 11601 Wilshire Blvd. |
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| May 31, 2016 |
Exhibit 99.CERT Certifications I, J. Richard Atwood, President of FPA Funds Trust , certify that: 1. I have reviewed this report on Form N-Q of President of FPA Funds Trust ; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements |
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| May 31, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive offices) (Zip code) Copy to: J |
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| May 31, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive offices) (Zip code) Copy to: J |
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| May 31, 2016 |
Exhibit 99.CERT Certifications I, J. Richard Atwood, President of FPA Funds Trust , certify that: 1. I have reviewed this report on Form N-Q of President of FPA Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements w |
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| March 30, 2016 |
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 x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| March 23, 2016 |
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 x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| November 30, 2015 |
Exhibit 99.CERT Certifications I, J. Richard Atwood, President of FPA Funds Trust, certify that: 1. I have reviewed this report on Form N-Q of President of FPA Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements we |
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| November 30, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8544 FPA FUNDS TRUST (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE. 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive offices) (Zip code) Copy to: |
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| November 30, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8544 FPA FUNDS TRUST (Exact name of registrant as specified in charter) 11601 WILSHIRE BLVD., STE. 1200 LOS ANGELES, CALIFORNIA 90025 (Address of principal executive offices) (Zip code) Copy to: |
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| November 30, 2015 |
Exhibit 99.CERT Certifications I, J. Richard Atwood, President of FPA Funds Trust, certify that: 1. I have reviewed this report on Form N-Q of President of FPA Funds Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements we |
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| June 1, 2015 |
EX-99.CERT 2 a15-72861ex99dcert.htm EX-99.CERT EXHIBIT 99.CERT CERTIFICATION I, J. Richard Atwood, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA Crescent 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 circumstances under w |
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| June 1, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8544 FPA Funds Trust’s FPA Crescent Fund (Exact name of registrant as specified in charter) 11601 Wilshire Boulevard, Suite 1200, Los Angeles, California 90025 (Address of principal executive off |
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| May 29, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8544 FPA Funds Trust’s FPA International Value Fund (Exact name of registrant as specified in charter) 11601 Wilshire Blvd, Suite 1200, Los Angeles, California 90025 (Address of principal executi |
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| May 29, 2015 |
EX-99.CERT 2 a15-72862ex99dcert.htm EX-99.CERT EXHIBIT 99.CERT CERTIFICATION I, J. Richard Atwood, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA International Value 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 circumstan |
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| March 3, 2015 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of FPA Crescent Fund Los Angeles, California In planning and performing our audit of the financial statements of FPA Crescent Fund (the "Fund") as of and for the year ended December 31, 2014, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we conside |
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| March 3, 2015 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of FPA International Value Fund Los Angeles, California In planning and performing our audit of the financial statements of FPA International Value Fund (the "Fund") as of and for the year ended December 31, 2014, in accordance with the standards of the Public Company Accounting Oversight Board (Unit |
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| March 2, 2015 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of FPA Crescent Fund Los Angeles, California In planning and performing our audit of the financial statements of FPA Crescent Fund (the "Fund") as of and for the year ended December 31, 2014, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we conside |
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| March 2, 2015 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of FPA International Value Fund Los Angeles, California In planning and performing our audit of the financial statements of FPA International Value Fund (the "Fund") as of and for the year ended December 31, 2014, in accordance with the standards of the Public Company Accounting Oversight Board (Unit |
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| November 26, 2014 |
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 811-8544 FPA Funds Trust’s FPA Crescent Fund (Exact name of registrant as specified in charter) 11601 Wilshire Boulevard, Suite 1200, Los Angeles, California 90025 (Address of principal executive off |
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| November 26, 2014 |
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 811-8544 FPA Funds Trust’s FPA International Value Fund (Exact name of registrant as specified in charter) 11601 Wilshire Blvd, Suite 1200, Los Angeles, California 90025 (Address of principal executi |
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| November 26, 2014 |
EXHIBIT 99.CERT CERTIFICATION I, J. Richard Atwood, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trusts FPA Crescent 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 circumstances under which such statements were made, not misleading |
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| November 26, 2014 |
EXHIBIT 99.CERT CERTIFICATION I, J. Richard Atwood, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA International Value 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 circumstances under which such statements were made, not |
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| August 4, 2014 |
FPRAX / FPA Paramount Fund, Inc. CORRESP - - CORRESP 1 filename1.htm [LETTERHEAD] FPA CAPITAL FUND, INC. FPA FUNDS TRUST’S FPA CRESCENT FUND FPA FUNDS TRUST’S FPA INTERNATIONAL VALUE FUND FPA NEW INCOME, INC. FPA PARAMOUNT FUND, INC. FPA PERENNIAL FUND, INC. SOURCE CAPITAL, INC. 11601 WILSHIRE BOULEVARD · SUITE 1200 · LOS ANGELES, CALIFORNIA 90025 August 4, 2014 VIA EDGAR Jeff Long, Staff Accountant Office of Disclosure and Review Division o |
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| May 30, 2014 |
EXHIBIT 99.CERT CERTIFICATION I, Pierre O. Py, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA International Value 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 circumstances under which such statements were made, not misle |
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| May 30, 2014 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-8544 FPA Funds Trust’s FPA International Value Fund (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principa |
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| May 29, 2014 |
EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA Crescent 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 circumstances under which such statements were made, not misleading w |
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| May 29, 2014 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-8544 FPA Funds Trust’s FPA Crescent Fund (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principal executive |
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| May 2, 2014 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MAY 2, 2014 SECURITIES ACT FILE NO. |
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| April 30, 2014 |
[letterhead of K&L Gates LLP] April 30, 2014 VIA EDGAR Valerie Lithotomos Office of Disclosure and Review Division of Investment Management U. |
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| March 3, 2014 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of FPA Crescent Fund, Inc. |
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| March 3, 2014 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of FPA International Value Fund,Inc. |
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| November 27, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-8544 FPA Funds Trust’s FPA Crescent Fund (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principal executive |
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| November 27, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-8544 FPA Funds Trust’s FPA International Value Fund (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principa |
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| November 27, 2013 |
EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA Crescent 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 circumstances under which such statements were made, not misleading w |
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| November 27, 2013 |
EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA International Value 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 circumstances under which such statements were made, not m |
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| September 19, 2013 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of FPA Funds Trust's FPA Crescent Fund In planning and performing our audit of the financial statements of FPA Funds Trust's FPA Crescent Fund (the "Fund") as of December 31, 2011and for the period from April 1, 2011 to December 31, 2011, in accordance with the standards of the Public Company Accounti |
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| September 19, 2013 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of FPA Funds Trust's FPA International Value Fund In planning and performing our audit of the financial statements of FPA International Value Fund (the "Fund") as of December 31, 2011 and for the period from December 1, 2011 (commencement of operations) to December 31, 2011, in accordance with the sta |
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| August 14, 2013 |
[letterhead of K&L Gates] August 14, 2013 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: FPA Funds Trust 1933 Act File No. 33-79858 1940 Act File No. 811-8544 Definitive Proxy Statement Dear Sir or Madam: On behalf of FPA International Value Fund (the “Fund”), a series of FPA Funds Trust, transmitted herewith for filing pursuant to Rule 14a-6(b) und |
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| August 14, 2013 |
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 x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| July 24, 2013 |
[letterhead of K&L Gates] July 24, 2013 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: FPA Funds Trust 1933 Act File No. 33-79858 1940 Act File No. 811-8544 Preliminary Proxy Statement Dear Sir or Madam: On behalf of FPA International Value Fund (the “Fund”), a series of FPA Funds Trust, transmitted herewith for filing pursuant to Rule 14a-6(a) unde |
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| July 24, 2013 |
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 x Filed by a Party other than the Registrant o Check the appropriate box: x 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 23, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-8544 FPA Funds Trust’s FPA Crescent Fund (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principal executive |
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| May 23, 2013 |
EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA Crescent 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 circumstances under which such statements were made, not misleading w |
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| May 23, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-8544 FPA Funds Trust’s FPA International Value Fund (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principa |
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| May 23, 2013 |
EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA International Value 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 circumstances under which such statements were made, not m |
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| February 28, 2013 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of FPA Funds Trust's FPA Crescent Fund Los Angeles, California In planning and performing our audit of the financial statements of FPA Funds Trust's FPA Crescent Fund (the "Fund") as of and for the year ended December 31, 2012, in accordance with the standards of the Public Company Accounting Oversigh |
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| February 28, 2013 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of FPA Funds Trust's FPA International Value Fund Los Angeles, California In planning and performing our audit of the financial statements of FPA International Value Fund (the "Fund") as of and for the year ended December 31, 2012, in accordance with the standards of the Public Company Accounting Over |
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| November 29, 2012 |
EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA Crescent 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 circumstances under which such statements were made, not misleading w |
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| November 29, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-8544 FPA Funds Trust’s FPA Crescent Fund (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principal executive |
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| November 29, 2012 |
EX-99.CERT 2 a12-271402ex99dcert.htm EX-99.CERT EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA International Value 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 circumstan |
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| November 29, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-8544 FPA Funds Trust’s FPA International Value Fund (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principa |
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| May 30, 2012 |
EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA Crescent 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 circumstances under which such statements were made, not misleading w |
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| May 30, 2012 |
EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA International Value 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 circumstances under which such statements were made, not m |
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| May 30, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-8544 FPA Funds Trust’s FPA International Value Fund (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principa |
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| May 30, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-8544 FPA Funds Trust’s FPA Crescent Fund (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principal executive |
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| March 1, 2012 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of FPA Funds Trust's FPA International Value Fund In planning and performing our audit of the financial statements of FPA International Value Fund (the "Fund") as of December 31, 2011 and for the period from December 1, 2011 (commencement of operations) to December 31, 2011, in accordance with the sta |
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| March 1, 2012 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of FPA Funds Trust's FPA Crescent Fund In planning and performing our audit of the financial statements of FPA Funds Trust's FPA Crescent Fund (the "Fund") as of December 31, 2011and for the period from April 1, 2011 to December 31, 2011, in accordance with the standards of the Public Company Accounti |
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| December 1, 2011 |
CORRESP 1 filename1.htm (FPA FUNDS TRUST LETTERHEAD) 11400 WEST OLYMPIC BOULEVARD,SUITE 1200,LOS ANGELES, CALIFORNIA 90064 WRITER’S DIRECT DIAL: (310) 996-5458 VIA EDGAR December 1, 2011 Securities and Exchange Commission Attn: Filing Desk 100 F Street, N.E. Washington, D.C. 20549 RE: FPA Funds Trust’s FPA International Value Fund (“Fund”) 1933 Act File No. 33-79858 1940 Act File No. 811-8544 Requ |
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| November 22, 2011 |
(FPA FUNDS TRUST LETTERHEAD) 11400 WEST OLYMPIC BOULEVARD,SUITE 1200,LOS ANGELES, CALIFORNIA 90064 WRITER’S DIRECT DIAL: (310) 996-5458 VIA EDGAR November 22, 2011 Securities and Exchange Commission Attn: Filing Desk 100 F Street, N. |
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| August 29, 2011 |
EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA Crescent 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 circumstances under which such statements were made, not misleading w |
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| August 29, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principal executive offices) (Zip code) |
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| June 1, 2011 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of FPA Funds Trust's FPA Crescent Fund In planning and performing our audit of the financial statements of FPA Funds Trust's FPA Crescent Fund (the "Fund") as of and for the year ended March 31, 2011, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we |
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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 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principal executive offices) (Zip code) |
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| March 1, 2011 |
EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA Crescent 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 circumstances under which such statements were made, not misleading w |
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| November 10, 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 x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| September 30, 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 x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| August 30, 2010 |
EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA Crescent 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 circumstances under which such statements were made, not misleading w |
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| August 30, 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 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principal executive offices) (Zip code) |
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| August 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 x Filed by a Party other than the Registrant o Check the appropriate box: x 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 25, 2010 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of FPA Funds Trust's FPA Crescent Fund In planning and performing our audit of the financial statements of FPA Funds Trust's FPA Crescent Fund (the "Fund") as of and for the year ended March 31, 2010, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we |
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| February 26, 2010 |
EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA Crescent 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 circumstances under which such statements were made, not misleading w |
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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 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principal executive offices) (Zip code) |
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| August 28, 2009 |
EXHIBIT 99.CERT CERTIFICATION I, Steven T. Romick, certify that: 1. I have reviewed this report on Form N-Q of FPA Funds Trust’s FPA Crescent 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 circumstances under which such statements were made, not misleading w |
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| August 28, 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 811-8544 FPA Funds Trust (Exact name of registrant as specified in charter) 11400 West Olympic Boulevard, Suite 1200, Los Angeles, California 90064 (Address of principal executive offices) (Zip code) |
