Reportable Funds definition

Reportable Funds means any open-end investment company registered under the Company Act (i.e., mutual fund) for which Jacobs Levy serves as investment adviser or sub-adviser or whose investment adviser, sub-adviser, or principal underwriter controls Jacobs Levy, is controlled by Jacobs Levy, or is under common control with Jacobs Levy.

Reportable Funds means any open-end mutual funds and ETFs advised or sub-advised by the Firm or open-end mutual funds and ETFs whose adviser, sub-adviser or principal underwriter controls, is controlled by or is under common control with the Firm. Covered Security specifically does not include: • shares of open-end mutual funds, other than Reportable Funds; • shares of “exchange traded funds” (ETFs), whether organized as open-end mutual funds or unit investment trusts that are invested exclusively in one or more open-end funds; • registered closed-end funds; Rothschild & Co Asset Management US Inc. January 2020 • direct obligations of the federal, state and local government of the United States; • shares issued by money market funds (domiciled inside or outside the United States); • bankers’ acceptances, bank certificates of deposit, commercial paper, and high quality short- term debt obligations, including repurchase agreements; • shares of foreign unit trusts and foreign mutual funds;

Reportable Funds means mutual funds for which a GMO Entity serves as an investment adviser, sub-adviser or principal underwriter.

Examples of Reportable Funds in a sentence

• A current list of Reportable Funds is attached as Exhibit One and will be maintained on the firm’s intranet site under the Legal and Compliance page.

• Within 10 days after becoming an Access Person, each Access Person must file with Personal Trading Compliance, a report of all Covered Securities holdings (including holdings of Reportable Funds) in which such Access Person has Beneficial Ownership or Investment Control.

• Therefore, while the lists of Reportable Funds and Exempt ETFs are subject to change, it is ultimately the responsibility of all Access Persons to review these lists which can be found in Exhibit(s) One and Two, prior to making an investment in a Reportable Fund or ETF.

• Statements must be filed for all Accounts (including those in which the person has a Beneficial Ownership interest), except those that trade exclusively in open-end funds other than Reportable Funds, government securities or Automatic Investment Plans.

• Reportable Funds include open-end and closed-end funds and CIVs that are advised, sub-advised, or distributed by Loomis Sayles, Natixis, or a Natixis affiliate, but exclude money market funds.

More Definitions of Reportable Funds

Reportable Funds means any open-end mutual funds advised or subadvised by NIS.

Reportable Funds means any open-end mutual funds and ETFs advised or sub-advised by the Firm or open-end mutual funds and ETFs whose adviser, sub-adviser or principal underwriter controls, is controlled by or is under common control with the Firm.

Reportable Funds means any investment company (other than money market funds) that is registered under the Investment Company Act for which MIM, or any firm under common control with MIM, serves as adviser, sub-adviser, or distributor.

Reportable Funds means any open-end mutual funds, private funds, and ETFs advised or sub-advised by the Adviser or open-end mutual funds, private funds and ETFs whose adviser, sub-adviser or principal underwriter controls, is controlled by or is under common control with the Adviser.

Reportable Funds means Armstrong Associates, Inc.

Reportable Funds means (i) any Fund for which the Adviser serves as investment adviser or subadviser or (ii) any Fund whose investment adviser or principal underwriter controls the Adviser, is controlled by the Adviser, or is under common control with the Adviser.

Reportable Funds means the Funds, any other mutual fund for which BAILARD serves as investment adviser (or sub-adviser) and any mutual fund whose investment adviser or principal underwriter controls BAILARD, is controlled by BAILARD or is under common control with BAILARD.