Uniform Investment Company Notice Filing {Form NF} | Pdf Fpdf Doc Docx | Wisconsin

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Uniform Investment Company Notice Filing {Form NF} | Pdf Fpdf Doc Docx | Wisconsin

Last updated: 11/6/2023

Uniform Investment Company Notice Filing {Form NF}

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INSTRUCTIONS TO FORM NF Form NF should be used for investment company initial filings, renewals, amendments and sales reports. This form should be used for all filing options, including definite and indefinite filings. ITEM 1. Name of Issuer: State the name of the investment company for which the notice filing is being made. Do not use the name of the broker-dealer or distributor. ITEM 3. Amendment Filings: Provide the applicable information. However, it may not be necessary to complete the entire form. Amendments include changes in the correspondent or fund name or a new fiscal year end. Changes such as reorganizations should be reported under "Other", with a written explanation. If in doubt about the proper category, use "Other" and provide an explanation. ITEM 4. Description of Securities: This information should be provided at the level necessary in the given state. For example, if the state is a "trust level" state, portfolio and class information may not be required. A separate Form NF should be filed for each portfolio or class, to the extent required by the given state. Attach a list of all portfolios or classes for "trust level" states. For states whose fees are based on the prospectus, a separate Form NF should be filed for each prospectus and should include a list of all securities listed in the prospectus. ITEM 6 CIK number (EDGAR): Please provide the Central Index Key Number that will cross-reference the SEC filing. Federal ID Numbers and SEC Registration Numbers: Federal identification numbers are only available for the fund or trust. Provide the Federal ID No. and SEC Registration No. if filing in a jurisdiction that requires these numbers. Fiscal Year: Fiscal year information is not required for unit investment trusts, since the filing period runs concurrently with SEC effectiveness. ITEM 7. Notice Period: The notice period is established by law, administrative regulation or policy in some jurisdictions. As a result, one or more of the three options provided on the form may not be available in each jurisdiction. In addition, if the issuer elects to begin the notice filing period on the date of SEC effectiveness, the notice period will end on the date that a renewal filing is required. ITEM 12. Uniform Consent to Service of Process: The uniform consent to service of process form is separate from the Notice Filing Form (Form NF). Issuers shall use the Uniform Consent to Service of Process Form (Form U-2). PROSPECTUS AND STATEMENT OF ADDITIONAL INFORMATION. In some jurisdictions, you may be required by law, administrative regulation or policy to file the Form NF with a prospectus and/or statement of additional information. FORM NF American LegalNet, Inc. www.FormsWorkFlow.com UNIFORM INVESTMENT COMPANY NOTICE FILING Please Read Instructions Prior To Filling Out Form State File No. _______________ Notice to the State/Commonwealth of _________________________________________________ 1. Name of Issuer ____________________________________________________________________ _____________________________________________________________________________________ 2. Address ___________________________________________________________________________ ______________________________________________________________________________ 3. Type of Filing: (check all that apply) · Open-end Mutual Fund · Unit Investment Trust · Closed-end Mutual Fund · Initial Filing · Renewal Filing · Amendments · Exemption Filing · Termination · Withdrawal · Sales Report · Increase Dollar Amount · Other (specify) ____________________________________________________________ For name changes, provide former name: ________________________________________ ____________________________________________________________________________ For amendments, specify nature of the change(s): _____________________________________ 4. Description of Securities: ______________________________________________________ Name of Fund________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ Portfolio(s) __________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ Class(es) ____________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ Fiscal Year End of the issuer (if applicable) _______________________________________ Are all of the securities described on this form offered in one prospectus? Yes · No · 5. Contact Person: Name _____________________________ Firm ____________________________________ Address _____________________________________________________________________ ____________________________________________________________________________ City________________________________________ State ___________________________ ZIP _______________________ Telephone ____________________________________ FAX: _____________________ E-Mail _______________________________________ 6. CIK# (EDGAR) ______________________ Federal ID# (if applicable) _________________ Broker-Dealer: ______________________ SEC Registration No.(if applicable) ________ Broker Dealer' CRD No. ______________ State of Incorporation/Charter ____________ s 7. · Notice Period: Beginning Date:___/___/___ Ending Date: ___/___/___ · The issuer elects to have its notice filing made effective upon filing. · The issuer elects to have its notice filing period begin with SEC effectiveness and thereby agrees to provide the above state prompt notice of such effectiveness. FORM NF American LegalNet, Inc. www.FormsWorkFlow.com 8. Notice Fee: $ _______________________ · No Filing Fee Required Sales Report Fee (if applicable) $ __________________ Other Fee $ ___________________ Explain ________________________________ To determine the basis used for calculating the filing fee, provide the following: · Indefinite Amount · Definite Amount $_______________________________ · Exemption Filing · Net Assets: $_______________________________ For filings to increase the dollar amount of securities reported during the notice period, provide the following: (1) Previous Amount of Securities _____________________________

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