Fillable Printable Form N-27D-1 / Accounting Of Segregated Trust Account

Form N-27D-1 / Accounting Of Segregated Trust Account

SEC1840 (3-14)

Persons who respond to the collection of information contained in this

form are not required to respond unless the form displays a currently

valid OMB control number.

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM N-27D-1

ACCOUNTING OF SEGREGATED TRUST ACCOUNT

For the period from _____________________________ to_____________________________

__________________________________________________________________________ ___________________________

Name of Depositor or Principal Underwriter IRS Empl. Ident. No.

__________________________________________________________________________

Address

Registered investment companies for which the segregated trust account is

established and maintained

Name: IRS Empl. Ident. No.

__________________________________________________________________________ ____________________________

Signature

Pursuant to the requirements of the Investment Company Act of 1940 the undersigned depositor (or principal underwriter)

has caused this report to be signed on its behalf in the City of _______________________________________________ and State of

______________________________ on the _____________________________ day of_____________________________ , 20___.

__________________________________________________

(Name of depositor or principal underwriter)

By: __________________________________________________

(Name and title of person signing on behalf of

depositor or principal underwriter)

ACCOUNTING OF SEGREGATED TRUST ACCOUNT

For period ________________________________ to ________________________________

Balance at beginning of period $_____________

Deposits

Pursuant to paragraph (c) of Rule 27d-1 $_____________

Pursuant to paragraph (e) of Rule 27d-1 $_____________

Additional deposits $_____________

Interest income (received and accrued) $_____________

Gains or (losses) on sales of securities $_____________

Unrealized appreciation (depreciation) of investments $_____________

Total $_____________

Withdrawals

To provide refunds pursuant to paragraph (f)(1) of Rule 27d-1 $_____________

To provide refunds pursuant to paragraph (f)(2) of Rule 27d-1 $_____________

Other withdrawals pursuant to paragraph (f)(3) of Rule 27d-1 $_____________

Total $______________

Balance at end of period $______________

Minimum amount required to be maintained at end of period pursuant to

paragraph (d) of Rule 27d-1 $_____________

Minimum amount required to be maintained at end of period pursuant to

paragraph (e) of Rule 27d-1 $_____________

Total minimum amount required to be maintained at end of period

pursuant to Rule 27d-1 $_____________

Minimum amount required before withdrawals pursuant to paragraph

(f)(3) of Rule 27d-1 may be permitted $_____________

OMB APPROVAL

Not subject to

OMB Clearance

(44 U.S.C 3501, et. seq.)

INSTRUCTIONS FOR FORM N-27D-1

1. Duringtherst2yearsaftertheeffectivedateofRule27d-1,thisFormistobeledforeachcalendarquarterwithin15business

daysaftertheendofsuchquarter;thereafter,itshallbeledforeachyearonorbeforeJanuary31ofthefollowingyear.

2. The balance at the beginning of the period shall be the same in amount as the balance shown at the end of the immediately preceding

period.

3. If any item is not applicable, enter “N.A.”

4. If a single combined segregated trust account is used for the periodic payment plans of two or more registered investment companies,

the depositor or principal underwriter shall indicate separately for each registered investment company the deposits pursuant to

paragraphs (c) and (e), the withdrawals pursuant to paragraph f(1) and f(2) and the minimum amounts required to be maintained

pursuant to paragraphs (d) and (e) of Rule 27d-1.

5. ThisFormshallbesignedbythechiefexecutiveorchiefnancialofcerofthedepositororprincipalunderwriter,whicheveris

appropriate.

6. Anoriginalandtwocopiesoftheformplusanadditionalcopyforeachregisteredinvestmentcompanyidentiedaretobeled.

7. ElectroniclersaresubjecttoRegulationS-T(§§232.10-232.306ofthischapter)andtheEDGARFilerManual,asthatterm

isdenedinrule0-1undertheInvestmentCompanyActof1940(§270.0-1ofthischapter).Anyruleorinstructionthereinshall

becontrollingunlessotherwisespecicallyprovidedinrulesorinstructionspertainingtothesubmissionofthisform.Provisions

relatingtobinding,pagenumberingandmultiplecopiesrequiredtobeledwiththeCommissiondonotapplytoregistration

statements in electronic format. Capital letters shall be used to satisfy bold-face type requirements. See Securities Act rules 402(d)

and 403(e) and Investment Company Act rules 8b-1 and 8b-2. Signatures shall be in typed form rather than manual format. See

rule13ofRegulationS-T(§232.13ofthischapter).

8. An agency may not conduct or sponsor, and a person is not required to respond to , a collection of information unless it displays

a currently valid control number. The information collected on Form N-27D-1 indicates whether the depositor or principal

underwriterofanissuerofperiodicpaymentplancerticateshasaccesstosufcientcashtomeetitsstatutoryrefundobligations.

This information collection facilitates the Commission’s monitoring of compliance with reserve requirements. A response to

thiscollectionofinformationismandatoryunder17C.F.R.§270.27d-1(j).Theestimatedaverageburdenhoursperresponseis

1 hour. Any member of the public may direct to the Commission any comments concerning the accuracy of this burden estimate

and any suggestions for reducing this burden. The information collected on Form N-27D-1 is publicly available. This collection

ofinformationhasbeenreviewedbytheOMBinaccordancewiththeclearancerequirementsof44U.S.C.§3507.