Uniform Investment Company Notice Filing {NF}

NY FORM NFInstructions NEW YORK STATE DEPARTMENT OF LAWINVEST PROTECTION BUREAU New York, NY 1-800-771-7755 TDD (for hearing impaired) 1-800-788-9898www.ag.ny.gov INVESTMENT PROTECTION BUREAUINSTRUCTIONS FOR FORM NF For open-end management-type companies registered with S.E.C. under Investment Company Act of 1940 pursuant to Art. 23-Aof the General Business Law and pursuant to the National Securities Markets Improvement Act of 1996 ("NSMIA").Form NF should be used for initial filings, renewals and amendments. This form should be used for all filing options, includingdefinite and indefinite filings.The instructions for filing a Form NF in New York are the same as for those in other jurisdictions adopting the form with twonotable exceptions:(1)Form NF must be filed prior to sale or offer for sale; and(2)A separate Form NF must be filed for each individual fund or portfolio.ITEM 1. Name of Issuer. State the name of the investment company for whom the notice filing is being made.ITEM 3. Amendments include changes in the correspondent or fund name or a new fiscal year end. Changes likereorganizations 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 should be filed for eachportfolio or class, to the extent required by the given state. Attach a list of all portfolios or classes for trust level states. Forstates whose fees are based on the prospectus, a separate form should be filed for each prospectus and should include a list of allsecurities listed in the prospectus.ITEM 5. CIK number (EDGAR): Please provide the Central Index Key Number that will cross-reference the SEC filing.ITEM 6. Federal ID #. Federal identification numbers are only available for the fund or trust. Provide this information if filingin a jurisdiction that requires this number. Fiscal year information is not required for unit investment trusts, since the filingperiod runs concurrently with SEC effectiveness.ITEM 7. If the issuer elects to begin the notice filing period on the date of SEC effectiveness, the notice period will end on thedate that a renewal filing is required.AMENDMENT FILINGS. Provide the applicable information.CONSENT TO SERVICE OF PROCESS. The Consent To Service of Process Form is separate from the Notice Filing Form. Issuers shall use the Uniform Consent to Service of Process Form (Form U-2).This Notice Filing is deemed made when it is received at theaddress listed. In the event that the information given in theNotice Filing is incomplete, or conflicts or is otherwiseinconsistent with other information in the possession of theDepartment of Law, the issuer will be notified.Payment by Attorney222s check, company check, certifiedcheck, bank check or money order. Personal checks notaccepted. Filing Fee .......................$1,200.00 -- Valid for four yearsAmendment Fee .............$ 30.00Make check payable to the NYS Department of Law Send remittance to: Invest Protection Bureau NYDepartment of LawNew York, NY IP Form NF Instructions () American LegalNet, Inc. www.FormsWorkFlow.com NY FORM NF NEW YORK STATE DEPARTMENT OF LAWINVEST PROTECTION BUREAU New York, NY 1-800-771-7755 TDD (for hearing impaired) 1-800-788-9898www.ag.ny.gov UNIFORM INVESTMENT COMPANY NOTICE FILINGState 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[ ] Exemption Filing[ ] Termination [ ] Withdrawal[ ] Sales Report[ ] Increase Dollar Amount [ ] Amendments* For name changes, provide former name: For amendments, specify nature of the change(s): *The fee for amendments is $30.00. Please remit.4.Description and Name of SecuritiesDescription Name of Fund Portfolio(s) Class(es) Are all of the securities described on this form offered in one prospectus? [ ] Yes [ ] No5.Contact Person:Name Firm Address E-Mail City State Zip Telephone Fax IP Form NF () Page 1 of 2 American LegalNet, Inc. www.FormsWorkFlow.com 6.CIK# (EDGAR) Federal ID# (if applicable) Broker-Dealer: Broker-Dealer's CRD No.: Fiscal Year End (if applicable) 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 agreed to provide the abovestate prompt notice of such effectiveness.8.Notice Fee $ [ ] No Filing Fee RequiredSales Report Fee (if applicable) $ Other Fee $ Explain 9.To determine the basis used for calculating the filing fee, provide the following:[ ] Indefinite Amount[ ] Definite Amount $[ ] Exemption Filing[ ] Net Assets: 10.For filings to increase the dollar amount of securities reported during the notice period, provide the following:(1) Previous Amount of Securities (2) Amount of Increase (3) Cumulative Amount of Securities 11.SALES REPORT. If not applicable, place N/A in the blank(s).Period Covered: Beginning date // Ending date //Balance at beginning of period $ Increases during period $ Amount available for sale $ Sales during the period $ Unsold balance at end of period $ 12.UNIFORM CONSENT TO SERVICE OF PROCESS (select one)1.[ ] Was previously filed with state with respect the issuer of the securities by this notice and is incorporated by reference.2.[ ] Is attached.3.[ ] Not Applicable (explain): 13.SIGNATURESThe undersigned under penalties of perjury certifies that s/he has executed this Uniform Investment Company notice onbehalf of, and with the authority of the issuer. The undersigned and the issuer represent that the information and statementscontained in the notice filed, are current true and complete to the best of his or her knowledge, information and belief andthat any documents submitted with the notice are true copies of the originals, and that the securities covered by this Noticeare Covered Securities as defined by Section 18(b)(2) of the Securities Act of 1933.Dated this day of , .Month YearFor: By: Name of Issuer Signature of Authorized Agent of Issuer Print Name Title of Agent for IssuerThe filing of this notice constitutes a binding agreement by the above-named issuer and under the laws of the jurisdictionin which this Form is filed, that upon receipt of a request from such jurisdiction, the issuer will promptly provide a copyof its current prospectus, and/or statement of additional information, and/or any other document, if any, as filed with theSecurities and Exchange Commission. IP Form NF () Page2 of 2 American LegalNet, Inc. www.FormsWorkFlow.com