SDM-683 (Ed. 08/14)
FI
75 10 (Ed. 11/16)
INVESTMENT COMPANY
BOND
GREAT AMERICAN INSURANCE
COMPANY
(A Stock Insurance Company,
Herein Called the Underwriter)
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DECLARATIONS
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Bond No. FS 2346444 10 00
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Item 1.
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Name of Insured (herein called Insured): Barings Corporate Investors
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Principal Address:
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300 S Tryon Street
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Suite 2500
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Charlotte, NC 28202
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Item 2.
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Bond Period: from 12:01 a.m. on 11/04/2019 to 11/04/2020 12:01 a.m. the effective date of the termination
or cancellation of this Bond, standard time at the Principal Address as to each of said dates.
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Item 3.
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Limit of Liability - Subject to Sections 9, 10 and 12 hereof,
Amount applicable to
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Limit
of Liability
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Deductible
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Insuring Agreement (A)-Fidelity
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$
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2,250,000
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$
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0
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Insuring Agreement (B)-On Premises
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$
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2,250,000
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$
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10,000
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Insuring Agreement (C)-In Transit
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$
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2,250,000
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$
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10,000
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Insuring Agreement (D)-Forgery or Alteration
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$
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2,250,000
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$
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10,000
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Insuring Agreement (E)-Securities
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$
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2,250,000
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$
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10,000
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Insuring Agreement (F)-Counterfeit Currency
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$
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2,250,000
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$
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10,000
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Insuring Agreement (G)-Stop Payment
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$
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100,000
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$
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5,000
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Insuring Agreement (H)-Uncollectible Items of Deposit
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$
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100,000
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$
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5,000
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Insuring Agreement (I)-Audit Expense
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$
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100,000
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$
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5,000
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Insuring Agreement (J)-Telefacsimile Transmissions
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$
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2,250,000
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$
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10,000
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Insuring Agreement (K)-Unauthorized Signatures
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$
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100,000
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$
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5,000
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Optional Insuring Agreements and
Coverages
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Insuring Agreement (L)-Computer
Systems
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$
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2,250,000
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$
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10,000
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Insuring Agreement (M)-Automated Phone Systems
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$
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2,250,000
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$
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10,000
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Insuring Agreement (N)-Fraudulent Transfer Instructions
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$ Not
Covered
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$ N/A
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FI 75 10 (Ed. 11/16)
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(Page
1 of 2)
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R * B0 * 11/14/2019 * FS 2346444 10 00
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Great
American Insurance Company
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566917
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If “Not Covered” is inserted above opposite any specified Insuring Agreement or Coverage,
such Insuring Agreement or Coverage and any other reference thereto in this Bond shall be deemed to be deleted therefrom.
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Item 4.
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Offices or Premises Covered-Offices acquired or established subsequent to the effective date of this Bond are covered
according to the terms of General Agreement A. All the Insured’s offices or premises in existence at the time this Bond
becomes effective are covered under this Bond except the offices or premises located as follows:
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N/A
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Item 5.
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The liability of the Underwriter is subject to the terms of the following Riders attached hereto:
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See Form FI8801
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Item 6.
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The Insured by the acceptance of this Bond gives to the Underwriter terminating or cancelling prior Bond(s) or Policy(ies)
No.(s)
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FS 2346444 09
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such termination or cancellation to be effective as of the time this Bond becomes effective.
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FI 75 10 (Ed. 11/16)
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(Page
2 of 2)
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Great
American Insurance Company
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566917
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FI
75 11 (Ed. 08/15)
INVESTMENT COMPANY BOND
The Underwriter,
in consideration of an agreed premium, and subject to the Declarations made a part hereof, the General Agreements, Conditions
and Limitations and other terms of this Bond, agrees with the Insured, in accordance with Insuring Agreements hereof to which
an amount of insurance is applicable as set forth in Item 3 of the Declarations and with respect to loss sustained by the Insured
at any time but discovered during the Bond period, to indemnify and hold harmless the Insured for:
INSURING AGREEMENTS
FIDELITY
(A)
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Loss
resulting from any dishonest or fraudulent act(s), including Larceny or Embezzlement
committed by an Employee, committed anywhere and whether committed alone or in collusion
with others, including loss of Property resulting from such acts of an Employee, which
Property is held by the Insured for any purpose or in any capacity and whether so held
gratuitously or not and whether or not the Insured is liable therefor.
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Dishonest or
fraudulent act(s) as used in this Insuring Agreement shall mean only dishonest or fraudulent act(s) committed by such Employee
with the manifest intent:
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(a)
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to
cause the Insured to sustain such loss; and
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(b)
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to
obtain financial benefit for the Employee, or for any other person or organization intended
by the Employee to receive such benefit, other than salaries, commissions, fees, bonuses,
promotions, awards, profit sharing, pensions or other employee benefits earned in the
normal course of employment.
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ON PREMISES
(B)
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Loss
of Property (occurring with or without negligence or violence) through robbery, burglary,
Larceny, theft, holdup, or other fraudulent means, misplacement, mysterious unexplainable
disappearance, damage thereto or destruction thereof, abstraction or removal from the
possession, custody or control of the Insured, and loss of subscription, conversion,
redemption or deposit privileges through the misplacement or loss of Property, while
the Property is (or is supposed or believed by the Insured to be) lodged or deposited
within any offices or premises located anywhere, except in an office listed in Item 4
of the Declarations or amendment thereof or in the mail or with a carrier for hire other
than an armored motor vehicle company, for the purpose of transportation.
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Offices and Equipment
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(1)
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Loss
of or damage to furnishings, fixtures, stationary, supplies or equipment, within any
of the Insured's offices covered under this Bond caused by Larceny or theft in, or by
burglary, robbery or hold-up of such office, or attempt thereat, or by vandalism or
malicious mischief; or
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(2)
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loss
through damage to any such office by Larceny or theft in, or by burglary, robbery or
hold-up of such office or attempt thereat.
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IN TRANSIT
(C)
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Loss
of Property (occurring with or without negligence or violence) through robbery, Larceny,
theft, hold-up, misplacement, mysterious unexplainable disappearance, being lost or otherwise
made away with, damage thereto or destruction thereof, and loss of subscription, conversion,
redemption or deposit privileges through the misplacement or loss of Property, while
the Property is in transit anywhere in the custody of any person or persons acting as
messenger, except while in the mail or with a carrier for hire, other than an armored
motor vehicle company, for the purpose of transportation, such transit to begin immediately
upon receipt of such Property by the transporting person or persons, and to end immediately
upon delivery thereof at destination.
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FI 75 11 (Ed. 08/15)
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(Page
1 of 13)
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Great
American Insurance Company
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566917
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FORGERY OR ALTERATION
(D)
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Loss
through FORGERY or ALTERATION of, on or in any bills of exchange, checks, drafts, acceptances,
certificates of deposit, promissory notes, or other written promises, orders or directions
to pay sums certain in money due bills, money orders, warrants, orders upon public treasuries,
letters of credit, written instructions, advices or applications directed to the Insured,
authorizing or acknowledging the transfer, payment, delivery or receipt of funds or Property,
which instructions or advices or applications purport to have been signed or endorsed
by any customer of the Insured, shareholder or subscriber to shares, whether certificated
or uncertificated, of any Investment Company or by any financial or banking institution
or stock-broker but which instructions, advices or applications either bear the forged
signature or Endorsement or have been altered without the knowledge and consent of such
customer, shareholder or subscriber to shares, whether certificated or uncertificated,
of an Investment Company, financial or banking institution or stockbroker, withdrawal
orders or receipts for the withdrawal of funds or Property, or receipts or certificates
of deposit for Property and bearing the name of the Insured as issuer, or of another
Investment Company for which the Insured acts as agent, excluding, however, any loss
covered under Insuring Agreement (F) hereof whether or not coverage for Insuring Agreement
(F) is provided for in the Declarations of this Bond.
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Any check or draft (a) made payable
to a fictitious payee and endorsed in the name of such fictitious payee or (b) procured in a transaction with the maker or drawer
thereof or with one acting as an agent of such maker or drawer or anyone impersonating another and made or drawn payable to the
one so impersonated and endorsed by anyone other than the one impersonated, shall be deemed to be forged as to such Endorsement.
Mechanically reproduced facsimile
signatures are treated the same as handwritten signatures.
SECURITIES
(E)
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Loss
sustained by the Insured, including loss sustained by reason of a violation of the constitution,
by-laws, rules or regulations of any Self Regulatory Organization of which the Insured
is a member or which would have been imposed upon the Insured by the constitution, by-laws,
rules or regulations of any Self Regulatory Organization if the Insured had been a member
thereof,
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(1)
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through
the Insured's having, in good faith and in the course of business, whether for its own
account or for the account of others, in any representative, fiduciary, agency or any
other capacity, either gratuitously or otherwise, purchased or otherwise acquired, accepted
or received, or sold or delivered, or given any value, extended any credit or assumed
any liability, on the faith of, or otherwise acted upon, any securities, documents or
other written instruments which prove to have been
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(b)
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forged
as to the signature of any maker, drawer, issuer, endorser, assignor, lessee, transfer
agent or registrar, acceptor, surety or guarantor or as to the signature of any person
signing in any other capacity, or
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(c)
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raised
or otherwise altered, or lost, or stolen, or
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(2)
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through
the Insured's having, in good faith and in the course of business, guaranteed in writing
or witnessed any signatures whether for valuable consideration or not and whether or
not such guaranteeing or witnessing is ultra vires the Insured, upon any transfers, assignments,
bills of sale, powers of attorney, guarantees, Endorsements or other obligations upon
or in connection with any securities, documents or other written instruments and which
pass or purport to pass title to such securities, documents or other written instruments;
EXCLUDING, losses caused by FORGERY or ALTERATION of, on or in those instruments covered
under Insuring Agreement (D) hereof.
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Securities,
documents or other written instruments shall be deemed to mean original (including original counterparts) negotiable or non-negotiable
agreements which in and of themselves represent an equitable interest, ownership, or debt, including an assignment thereof which
instruments are in the ordinary course of business, transferable
by delivery of such agreements with any necessary Endorsement or assignment.
FI 75 11 (Ed. 08/15)
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(Page
2 of 13)
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Great
American Insurance Company
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566917
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The word "counterfeited"
as used in this Insuring Agreement shall be deemed to mean any security, document or other written instrument which is intended
to deceive and to be taken for an original.
Mechanically reproduced facsimile
signatures are treated the same as handwritten signatures.
COUNTERFEIT CURRENCY
(F)
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Loss
through the receipt by the Insured, in good faith, of any counterfeited money orders
or altered paper currencies or coin of the United States of America or Canada issued
or purporting to have been issued by the United States of America or Canada or issued
pursuant to a United States of America or Canadian statute for use as currency.
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STOP PAYMENT
(G)
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Loss
against any and all sums which the Insured shall become obligated to pay by reason of
the Liability imposed upon the Insured by law for damages:
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For having either complied with
or failed to comply with any written notice of any customer, shareholder or subscriber of the Insured or any Authorized Representative
of such customer, shareholder or subscriber to stop payment of any check or draft made or drawn by such customer, shareholder
or subscriber or any Authorized Representative of such customer, shareholder or subscriber, or
For having refused to pay any
check or draft made or drawn by any customer, shareholder or subscriber of the Insured, or any Authorized Representative of such
customer, shareholder or Subscriber.
UNCOLLECTIBLE ITEMS OF
DEPOSIT
(H)
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Loss
resulting from payments of dividends or fund shares, or withdrawals permitted from any
customer's, shareholder's or subscriber's account based upon Uncollectible items of Deposit
of a customer, shareholder or subscriber credited by the Insured or the Insured's agent
to such customer's, shareholder's or subscriber's Mutual Fund Account: or loss resulting
from any item of Deposit processed through an Automated Clearing House which is reversed
by the customer, shareholder or subscriber and deemed uncollectible by the Insured.
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Loss
includes dividends and interest accrued not to exceed 15% of the Uncollectible items which are deposited.
This
Insuring Agreement applies to all Mutual Funds with "exchange privileges" if all Fund(s) in the exchange program are
insured by a Great American Insurance Company of Cincinnati, OH for Uncollectible Items of Deposit. Regardless of the number of
transactions between Fund(s) the minimum number of days of deposit within the Fund(s) before withdrawal as declared in the Fund(s)
prospectus shall begin from the date a deposit was first credited to any Insured Fund(s).
AUDIT EXPENSE
(I)
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Expense
incurred by the Insured for that part of the costs of audits or examinations required
by any governmental regulatory authority to be conducted either by such authority or
by an independent accountant by reason of the discovery of loss sustained by the Insured
through any dishonest or fraudulent act(s), including Larceny or Embezzlement of any
of the Employees. The total liability of the Underwriter for such expense by reason of
such acts of any Employee or in which such Employee is concerned or implicated or with
respect to any one audit or examination is limited to the amount stated opposite Audit
Expense in Item 3 of the Declarations; it being understood, however, that such expense
shall be deemed to be a loss sustained by the Insured through any dishonest or fraudulent
act(s), including Larceny or Embezzlement of one or more of the Employees and the liability
under this paragraph shall be in addition to the Limit of Liability stated in Insuring
Agreement (A) in Item 3 of the Declarations.
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TELEFACSIMILE TRANSMISSIONS
(J)
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Loss
resulting by reason of the Insured having transferred, paid or delivered any funds or
Property, established any credit, debited any account, or given any value relying on
any fraudulent instructions sent by a customer or financial institution by Telefacsimile
Transmission directed to the Insured, authorizing or
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FI 75 11 (Ed. 08/15)
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(Page
3 of 13)
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Great
American Insurance Company
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566917
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acknowledging the transfer,
payment, or delivery of funds or property, the establishment of a credit, debiting of any account, or the giving of value by the
Insured, but only if such telefacsimile instructions:
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(1)
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bear
a valid test key exchanged between the Insured and a customer or another financial institution
with authority to use such test key for Telefacsimile instructions in the ordinary course
of business, but which test key has been wrongfully obtained by a person who was not
authorized to initiate, make, validate or authenticate a test key arrangement; and
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(2)
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fraudulently
purport to have been sent by such customer or financial institution, but which telefacsimile
instructions are transmitted without the knowledge or consent of such customer or financial
institution by a person other than such customer or financial institution and which bear
a forged signature.
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"Telefacsimile"
means a system of transmitting written documents by electronic signals over telephone lines to equipment maintained by the Insured
within its communication room for the purposes of reproducing a copy of said document. It does not mean electronic communication
sent by Telex, TWC, or electronic mail, or Automated Clearing House.
UNAUTHORIZED SIGNATURES
(K)
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Loss
resulting directly from the Insured having accepted, paid or cashed any check or withdrawal
order, draft, made or drawn on a customer's account which bears the signature or Endorsement
of one other than a person whose name and signature is on the application on file with
the Insured as a signatory on such account.
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It
shall be a condition precedent to the Insured's right to recovery under this Insuring Agreement that the Insured shall have on
file signatures of all persons who are authorized signatories on such account.
GENERAL AGREEMENTS
(A)
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ADDITIONAL
OFFICES OR EMPLOYEES- CONSOLIDATION OR MERGER-NOTICE
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(1)
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If
the Insured shall, while this Bond is in force, establish any additional office or offices,
such office or offices shall be automatically covered hereunder from the dates of their
establishment, respectively. No notice to the Underwriter of an increase during any premium
period in the number of offices or in the number of Employees at any of the offices covered
hereunder need be given and no additional premium need be paid for the remainder of such
premium period.
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(2)
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If
an Investment Company, named as Insured herein, shall, while this Bond is in force, merge
or consolidate with, or purchase the assets of another institution, coverage for such
acquisition shall apply automatically from the date of acquisition. The Insured shall
notify the Underwriter of such acquisition within 60 days of said date, and an additional
premium shall be computed only if such acquisition involves additional offices or employees.
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WARRANTY
(B)
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No
statement made by or on behalf of the Insured, whether contained in the application or
otherwise, shall be deemed to be a warranty of anything except that it is true to the
best of the knowledge and belief of the person making the statement.
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COURT COSTS AND ATTORNEYS'
FEES
(Applicable
to all Insuring Agreements or Coverages now or hereafter forming part of this Bond)
(C)
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The
Underwriter will indemnify the Insured against court costs and reasonable attorneys'
fees incurred and paid by the Insured in defense, whether or not successful, whether
or not fully litigated on the merits and whether or not settled of any suit or legal
proceeding brought against the Insured to enforce the lnsured's liability or alleged
liability on account
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FI 75 11 (Ed. 08/15)
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(Page
4 of 13)
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Great
American Insurance Company
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566917
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of any loss, claim or damage
which, if established against the Insured, would constitute a loss sustained by the Insured covered under the terms of this Bond
provided, however, that with respect to Insuring Agreement (A) this indemnity shall apply only in the event that
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(1)
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an
Employee admits to being guilty of any dishonest or fraudulent act(s), including Larceny
or Embezzlement; or
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(2)
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an
Employee is adjudicated to be guilty of any dishonest or fraudulent act(s), including
Larceny or Embezzlement;
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(3)
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in
the absence of (1) or (2) above an arbitration panel agrees, after a review of an agreed
statement of facts, that an Employee would be found guilty of dishonesty if such Employee
were prosecuted.
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The
Insured shall promptly give notice to the Underwriter of any such suit or legal proceeding and at the request of the Underwriter
shall furnish it with copies of all pleadings and other papers therein. At the Underwriter's election the Insured shall permit
the Underwriter to conduct the defense of such suit or legal proceeding, in the Insured's name, through attorneys of the Underwriter's
selection. In such event, the Insured shall give all reasonable information and assistance which the Underwriter shall deem necessary
to the proper defense of such suit or legal proceeding.
If
the Insured's liability or alleged liability is greater than the amount recoverable under this Bond, or if a Deductible Amount
is applicable, the liability of the Underwriter under this General Agreement is limited to that percentage of litigation expense
determined by pro ration of the Bond limit of liability to the amount claimed, after the application of any deductible. This litigation
expense will be in addition to the Limit of Liability for the applicable Insuring Agreement.
FORMER EMPLOYEE
(D)
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Acts
of Employee, as defined in this Bond, are covered under Insuring Agreement (A) only while
the Employee is in the Insured's employ. Should loss involving a former Employee of the
Insured be discovered subsequent to the termination of employment, coverage would still
apply under Insuring Agreement (A) if the direct proximate cause of the loss occurred
while the former Employee performed duties within the scope of his/her employment.
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THE FOREGOING
INSURING AGREEMENTS AND
GENERAL
AGREEMENTS ARE SUBJECT TO
THE FOLLOWING CONDITIONS
AND LIMITATIONS:
SECTION 1.
DEFINITIONS
The
following terms, as used in this Bond, shall have the respective meanings stated in this Section:
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(1)
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any
of the Insured's officers, partners, or employees, and
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(2)
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any
of the officers or employees of any predecessor of the Insured whose principal assets
are acquired by the Insured by consolidation or merger with, or purchase of assets of
capital stock of such predecessor, and
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(3)
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attorneys
retained by the Insured to perform legal services for the Insured and the employees of
such attorneys while such attorneys or the employees of such attorneys are performing
such services for the Insured, and
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(4)
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guest
students pursuing their studies or duties in any of the Insured's offices, and
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(5)
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directors
or trustees of the Insured, the investment advisor, underwriter (distributor), transfer
agent, or shareholder accounting record keeper, or administrator authorized by written
agreement to keep financial and/or other required records, but only while performing
acts coming within the scope of the usual duties of an officer or employee or while acting
as a member of any committee duly elected or appointed to examine or audit or have custody
of or access to the Property of the Insured, and
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FI 75 11 (Ed. 08/15)
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(Page
5 of 13)
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Great
American Insurance Company
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566917
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(6)
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any
individual or individuals assigned to perform the usual duties of an employee within
the premises of the Insured by contract, or by any agency furnishing temporary personnel
on a contingent or part-time basis, and
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(7)
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each
natural person, partnership or corporation authorized by written agreement with the Insured
to perform services as electronic data processor of checks or other accounting records
of the Insured, but excluding any such processor who acts as transfer agent or in any
other agency capacity in issuing checks, drafts or securities for the Insured, unless
included under Sub-section (9) hereof, and
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(8)
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those
persons so designated in section 15, Central Handling of Securities, and
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(9)
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any officer, partner
or Employee of
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(a)
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an investment advisor,
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(b)
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an underwriter (distributor),
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(c)
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a transfer agent
or shareholder accounting record-keeper, or
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(d)
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an
administrator authorized by written agreement to keep financial and/or other required
records, for an Investment Company, named as Insured while performing acts coming within
the scope of the usual duties of an officer or Employee of any Investment Company named
as Insured herein, or while acting as a member of any committee duly elected or appointed
to examine or audit or have custody of or access to the Property of any such Investment
Company provided that only Employees or partners of a transfer agent, shareholder accounting
record-keeper or administrator which is an affiliated person as defined in the Investment
Company Act of 1940, of an Investment Company named as Insured, or is an affiliated person
of the adviser, underwriter or administrator of such Investment Company, and which is
not a bank, shall be included within the definition of Employee.
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Each
employer of temporary personnel or processors as set forth in Sub-Sections (6) and (7) of Section 1 (a) and their partners, officers
and employees shall collectively be deemed to be one person for all the purposes of this Bond, excepting, however, the last paragraph
of Section 13. Brokers, or other agents under contract or representatives of the same general character shall not be considered
Employees.
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(b)
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Property
means money (i.e. currency, coin, bank notes, Federal Reserve notes), postage and revenue
stamps, U.S. Savings Stamps, bullion, precious metals of all kinds and in any form and
articles made therefrom, jewelry, watches, necklaces, bracelets, gems, precious and semi-precious
stones, Bonds, securities, evidences of debts, debentures, scrip, certificates, interim
receipts, warrants, rights, puts, calls, straddles, spreads, transfers, coupons, drafts,
bills of exchange, acceptances, notes, checks, withdrawal orders, money orders, warehouse
receipts, bills of lading, conditional sales contracts, abstracts of title, insurance
Policies, deeds, mortgages under real estate and/or chattels and upon interests therein,
and assignments of such Policies, mortgages and instruments, and other valuable papers,
including books of account and other records used by the Insured in the conduct of its
business, and all other instruments similar to or in the nature of the foregoing including
Electronic Representations of such Instruments enumerated above (but excluding all data
processing records) in which the Insured has an interest or in which the Insured acquired
or should have acquired an interest by reason of a predecessor's declared financial condition
at the time of the Insured's consolidation or merge with, or purchase of the principal
assets of, such predecessor or which are held by the Insured for any purpose or in any
capacity and whether so held by the Insured for any purpose or in any capacity and whether
so held gratuitously or not and whether or not the Insured is liable therefor.
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(c)
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Forgery
means the signing of the name of another with the intent to deceive; it does not include
the signing of one's own name with or without authority, in any capacity, or for any
purpose.
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FI 75 11 (Ed. 08/15)
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(Page
6 of 13)
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Great
American Insurance Company
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566917
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(d)
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Larceny
and Embezzlement as it applies to any named Insured means those acts as set forth in
Section 37 of the Investment Company Act of 1940.
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(e)
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Items
of Deposit means any one or more checks and drafts.
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SECTION 2.
EXCLUSIONS THIS BOND DOES NOT COVER:
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(a)
|
loss
effected directly or indirectly by means of forgery or alteration of, on or in any instrument,
except when covered by Insuring Agreement (A), (D), (E) or (F).
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(b)
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loss
due to riot or civil commotion outside the United States of America and Canada; or loss
due to military, naval or usurped power, war or insurrection unless such loss occurs
in transit in the circumstances recited in Insuring Agreement (C) and unless, when such
transit was initiated, there was no knowledge of such riot, civil commotion, military,
naval or usurped power, war or insurrection on the part of any person acting for the
Insured in initiating such transit.
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|
(c)
|
loss,
in time of peace or war, directly or indirectly caused by or resulting from the effects
of nuclear fission or fusion or radioactivity; provided, however, that this paragraph
shall not apply to loss resulting from industrial uses of nuclear energy.
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|
(d)
|
loss
resulting from any wrongful act or acts of any person who is a member of the Board of
Directors of the Insured or a member of any equivalent body by whatsoever name known
unless such person is also an Employee or an elected official, partial owner or partner
of the Insured in some other capacity, nor, in any event, loss resulting from the act
or acts of any person while acting in the capacity of a member of such Board or equivalent
body.
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|
(e)
|
loss
resulting from the complete or partial nonpayment of, or default upon, any loan or transaction
in the nature of, or amounting to, a loan made by or obtained from the Insured or any
of its partners, directors or Employees, whether authorized or unauthorized and whether
procured in good faith or through trick, artifice, fraud or false pretenses, unless such
loss is covered under Insuring Agreement (A), (E) or (F).
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|
(f)
|
loss
resulting from any violation by the Insured or by any Employee
|
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(1)
|
of
law regulating (a) the issuance, purchase or sale of securities, (b) securities transactions
upon Security Exchanges or over the counter market, (c) Investment Companies, or (d)
Investment Advisors, or
|
|
(2)
|
of
any rule or regulation made pursuant to any such law.
|
unless
such loss, in the absence of such laws, rules or regulations, would be covered under Insuring Agreements (A) or (E).
|
(g)
|
loss
of Property or loss of privileges through the misplacement or loss of Property as set
forth in Insuring Agreement (C) or (D) while the Property is in the custody of any armored
motor vehicle company, unless such loss shall be in excess of the amount recovered or
received by the Insured under (a) the Insured's contract with said armored motor vehicle
company, (b) insurance carried by said armored motor vehicle company for the benefit
of users of its service, and (c) all other insurance and indemnity in force in whatsoever
form carried by or for the benefit of users of said armored motor vehicle company's service,
and then this Bond shall cover only such excess.
|
|
(h)
|
potential
income, including but not limited to interest and dividends, not realized by the Insured
because of a loss covered under this Bond, except as included under Insuring Agreement
(I).
|
|
(i)
|
all
damages of any type for which the Insured is legally liable, except direct compensatory
damages arising from a loss covered under this Bond.
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|
(j)
|
loss
through the surrender of Property away from an office of the Insured as a result of a
threat
|
|
(1)
|
to
do bodily harm to any person, except loss of Property in transit in the custody of any
person acting as messenger provided that when such transit was initiated there was no
knowledge by the Insured of any such threat, or
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(2)
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to
do damage to the premises or Property of the Insured, except when covered under Insuring
Agreement (A).
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(k)
|
all
costs, fees and other expenses incurred by the Insured in establishing the existence
of or amount of loss covered under this Bond unless such indemnity is provided for under
Insuring Agreement (I).
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(l)
|
loss
resulting from payments made or withdrawals from the account of a customer of the Insured,
shareholder or subscriber to shares involving funds erroneously credited to such account,
unless such payments are made to or withdrawn by such depositor or representative of
such person, who is within the premises of the drawee bank of the Insured or within the
office of the Insured at the time of such payment or withdrawal or unless such payment
is covered under Insuring Agreement (A).
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(m)
|
any
loss resulting from Uncollectible Items of Deposit which are drawn from a financial institution
outside the fifty states of the United States of America, District of Columbia, and territories
and possessions of the United States of America, and Canada.
|
SECTION 3. ASSIGNMENT
OF RIGHTS
This Bond does not afford
coverage in favor of any Employers of temporary personnel or of processors as set forth in sub-sections (6) and (7) of Section
1(a) of this Bond, as aforesaid, and upon payment to the insured by the Underwriter on account of any loss through dishonest or
fraudulent act(s) including Larceny or Embezzlement committed by any of the partners, officers or employees of such Employers,
whether acting alone or in collusion with others, an assignment of such of the Insured's rights and causes of action as it may
have against such Employers by reason of such acts so committed shall, to the extent of such payment, be given by the Insured
to the Underwriter, and the Insured shall execute all papers necessary to secure to the Underwriter the rights herein provided
for.
SECTION 4.
LOSS-NOTICE-PROOF-LEGAL PROCEEDINGS
This
Bond is for the use and benefit only of the Insured named in the Declarations and the Underwriter shall not be liable hereunder
for loss sustained by anyone other than the Insured unless the Insured, in its sole discretion and at its option, shall include
such loss in the Insured's proof of loss. At the earliest practicable moment after discovery of any loss hereunder the Insured
shall give the Underwriter written notice thereof and shall also within six months after such discovery furnish to the Underwriter
affirmative proof of loss with full particulars. If claim is made under this Bond for loss of securities or shares, the Underwriter
shall not be liable unless each of such securities or shares is identified in such proof of loss by a certificate or Bond number
or, where such securities or shares are uncertificated, by such identification means as agreed to by the Underwriter. The Underwriter
shall have thirty days after notice and proof of loss within which to investigate the claim, and this shall apply notwithstanding
the loss is made up wholly or in part of securities of which duplicates may be obtained. Legal proceedings for recovery of any
loss hereunder shall not be brought prior to the expiration of sixty days after such proof of loss is filed with the Underwriter
nor after the expiration of twenty-four months from the discovery of such loss, except that any action or proceeding to recover
hereunder on account of any judgment against the Insured in any suit mentioned in General Agreement C or to recover attorneys'
fees paid in any such suit, shall be begun within twenty-four months from the date upon which the judgment in such suit shall
become final. If any limitation embodied in this Bond is prohibited by any law controlling the construction hereof, such limitation
shall be deemed to be amended so as to be equal to the minimum period of limitation permitted by such law.
Discovery
occurs when the Insured
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(a)
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becomes aware of
facts, or
|
|
(b)
|
receives
written notice of an actual or potential claim by a third party which alleges that the
Insured is liable under circumstance
|
which would
cause a reasonable person to assume that a loss covered by the Bond has been or will be incurred even though the exact amount
or details of loss may not be then known.
FI 75 11 (Ed. 08/15)
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SECTION 5.
VALUATION OF PROPERTY
The
value of any Property, except books of accounts or other records used by the Insured in the conduct of its business, for the loss
of which a claim shall be made hereunder, shall be determined by the average market value of such Property on the business day
next preceding the discovery of such loss; provided, however, that the value of any Property replaced by the Insured prior to
the payment of claim therefor shall be the actual market value at the time of replacement; and further provided that in case of
a loss or misplacement of interim certificates, warrants, rights, or other securities, the production which is necessary to the
exercise of subscription, conversion, redemption or deposit privileges, the value thereof shall be the market value of such privileges
immediately preceding the expiration thereof if said loss or misplacement is not discovered until after their expiration. If no
market price is quoted for such Property or for such privileges, the value shall be fixed by agreement between the parties or
by arbitration.
In
case of any loss or damage to Property consisting of books of accounts or other records used by the Insured in the conduct of
its business, the Underwriter shall be liable under this Bond only if such books or records are actually reproduced and then for
not more than the cost of blank books, blank pages or other materials plus the cost of labor for the actual transcription or copying
of data which shall have been furnished by the Insured in order to reproduce such books and other records.
SECTION 6.
VALUATION OF PREMISES AND FURNISHINGS
In
case of damage to any office of the Insured, or loss of or damage to the furnishings, fixtures, stationary, supplies, equipment,
safes or vaults therein, the Underwriter shall not be liable for more than the actual cash value thereof, or for more than the
actual cost of their replacement or repair. The Underwriter may, at its election, pay such actual cash value or make such replacement
or repair. If the Underwriter and the Insured cannot agree upon such cash value or such cost or replacement or repair, such shall
be determined by arbitration.
SECTION 7.
LOST SECURITIES
If
the Insured shall sustain a loss of securities the total value of which is in excess of the limit stated in Item 3 of the Declarations
of this Bond, the liability of the Underwriter shall be limited to payment for, or duplication of, securities having value equal
to the limit stated in Item 3 of the Declarations of this Bond.
If
the Underwriter shall make payment to the Insured for any loss of securities, the Insured shall thereupon assign to the Underwriter
all of the Insured's rights, title and interests in and to said securities.
With
respect to securities the value of which do not exceed the Deductible Amount (at the time of the discovery of the loss) and for
which the Underwriter may at its sole discretion and option and at the request of the Insured issue a Lost Instrument Bond or
Bonds to effect replacement thereof, the Insured will pay the usual premium charged therefor and will indemnify the Underwriter
against all loss or expense that the Underwriter may sustain because of the issuance of such Lost Instrument Bond or Bonds.
With
respect to securities the value of which exceeds the Deductible Amount (at the time of discovery of the loss) and for which the
Underwriter may issue or arrange for the issuance of a Lost Instrument Bond or Bonds to effect replacement thereof, the Insured
agrees that it will pay as premium therefor a proportion of the usual premium charged therefor, said proportion being equal to
the percentage that the Deductible Amount bears to the value of the securities upon discovery of the loss, and that it will indemnify
the issuer of said Lost Instrument Bond or Bonds against all loss and expense that is not recoverable from the Underwriter under
the terms and conditions of this INVESTMENT COMPANY BOND subject to the Limit of Liability hereunder.
SECTION 8.
SALVAGE
In case of recovery,
whether made by the Insured or by the Underwriter, on account of any loss in excess of the Limit of Liability hereunder plus the
Deductible Amount applicable to such loss from any source other than suretyship, insurance, reinsurance, security or indemnity
taken by or for the benefit of the Underwriter, the net amount of such recovery, less the actual costs and expenses of making
same, shall be applied to reimburse the Insured in full for the
excess portion of such loss, and the remainder, if any, shall be paid first in reimbursement of the Underwriter and thereafter
in reimbursement of the Insured for that part of such loss within the Deductible Amount. The Insured shall execute all necessary
papers to secure to the Underwriter the rights provided for herein.
FI 75 11 (Ed. 08/15)
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SECTION 9.
NON-REDUCTION AND NON- ACCUMULATION OF LIABILITY AND TOTAL LIABILITY
At all times prior to termination
hereof this Bond shall continue in force for the limit stated in the applicable sections of Item 3 of the Declarations of this
Bond notwithstanding any previous loss for which the Underwriter may have paid or be liable to pay hereunder; PROVIDED, however,
that regardless of the number of years this Bond shall continue in force and the number of premiums which shall be payable or
paid, the liability of the Underwriter under this Bond with respect to all loss resulting form
|
(a)
|
any
one act of burglary, robbery or hold-up, or attempt thereat, in which no Partner or Employee
is concerned or implicated shall be deemed to be one loss, or
|
|
(b)
|
any
one unintentional or negligent act on the part of any one person resulting in damage
to or destruction or misplacement of Property, shall be deemed to be one loss, or
|
|
(c)
|
all wrongful acts,
other than those specified in (a) above,
of any one person shall be deemed to be one loss, or
|
|
(d)
|
all wrongful acts,
other than those specified in (a) above,
of one or more persons (which dishonest act(s) or act(s) of Larceny or Embezzlement
include, but are not limited to, the failure of an Employee to report such acts of others)
whose dishonest act or acts intentionally or unintentionally, knowingly or unknowingly, directly or indirectly, aid or aids in any way, or permits the continuation of,
the dishonest act or acts of any other person or persons shall be deemed to be one
loss with the act or acts of the persons aided, or
|
|
(e)
|
any
one casualty or event other than those specified in (a), (b), (c) or (d) preceding, shall
be deemed to be one loss, and shall be limited to the applicable Limit of Liability stated
in Item 3 of the Declarations of
this Bond irrespective of the total amount of such loss or losses and shall not be cumulative in amounts from year to year or
from period to period.
|
Subsection
(c) is not applicable to any situation to which the language of sub-section (d) applies.
SECTION 10. LIMIT OF LIABILITY
With
respect to any loss set forth in the PROVIDED clause of Section 9 of this Bond which is recoverable or recovered in whole or in
part under any other Bonds or Policies issued by the Underwriter to the Insured or to any predecessor in interest of the Insured
and terminated or cancelled or allowed to expire and in which the period for discovery has not expired at the time any such loss
thereunder is discovered, the total liability of the Underwriter under this Bond and under other Bonds or Policies shall not exceed,
in the aggregate, the amount carried hereunder on such loss or the amount available to the Insured under such other Bonds, or
Policies, as limited by the terms and conditions thereof, for any such loss if the latter amount be the larger.
SECTION 11.
OTHER INSURANCE
If
the Insured shall hold, as indemnity against any loss covered hereunder, any valid and enforceable insurance or suretyship, the
Underwriter shall be liable hereunder only for such amount of such loss which is in excess of the amount of such other insurance
or suretyship, not exceeding, however, the Limit of Liability of this Bond applicable to such loss.
SECTION 12.
DEDUCTIBLE
The
Underwriter shall not be liable under any of the Insuring Agreements of this Bond on account of loss as specified, respectively,
in sub-sections (a), (b), (c), (d) and (e) of Section 9, Non-Reduction And Nonaccumulation Of Liability And Total Liability, unless
the amount of such loss, after deducting the net amount of all reimbursement and/or recovery obtained or made by the insured,
other than from any Bond or Policy of insurance issued by an insurance company and covering such loss, or by the Underwriter on
account thereof prior to payment by the Underwriter of such loss, shall exceed the Deductible Amount set forth in Item 3 of the
Declarations hereof (herein called Deductible Amount) and then for such excess only, but in no event for more than the applicable
Limit of Liability stated in Item 3 of the Declarations.
FI 75 11 (Ed. 08/15)
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The Insured will bear,
in addition to the Deductible Amount, premiums on Lost Instrument Bonds as set forth in Section 7.
There shall be no deductible
applicable to any loss under Insuring Agreement A sustained by any Investment Company named as Insured herein.
SECTION 13. TERMINATION
The Underwriter may terminate
this Bond as an entirety by furnishing written notice specifying the termination date which cannot be prior to 90 days after the
receipt of such written notice by each Investment Company named as Insured and the Securities and Exchange Commission, Washington,
D.C. The Insured may terminate this Bond as an entirety by furnishing written notice to the Underwriter. When the Insured cancels,
the Insured shall furnish written notice to the Securities and Exchange Commission, Washington, D.C. prior to 90 days before
the effective date of the termination. The Underwriter shall notify all other Investment Companies named as Insured of the receipt
of such termination notice and the termination cannot be effective prior to 90 days after receipt of written notice by all other
Investment Companies. Premiums are earned until the termination date as set forth herein.
This Bond will terminate
as to any one Insured, (other than a registered management investment company), immediately upon taking over of such Insured by
a receiver or other liquidator or by State or Federal officials, or immediately upon the filing of a petition under any State
or Federal statute relative to bankruptcy or reorganization of the Insured, or assignment for the benefit of creditors of the
Insured, or immediately upon such Insured ceasing to exist, whether through merger into another entity, or by disposition of all
of its assets.
This Bond will terminate
as to any registered management investment company upon the expiration of 90 days after written notice has been given to the
Securities and Exchange Commission, Washington, D.C.
The
Underwriter shall refund the unearned premium computed as short rates in accordance with the standard short rate cancellation
tables if terminated by the Insured or pro rata if terminated for any other reason.
This Bond shall terminate
|
(a)
|
as
to any Employee as soon as any partner, officer or supervisory Employee of the Insured,
who is not in collusion with such Employee, shall learn of any dishonest or fraudulent act(s), including Larceny or Embezzlement on the part of such Employee without prejudice to the loss of any Property then in transit in the custody of such Employee and
upon the expiration of ninety (90) days after written notice has been given to the Securities
and Exchange Commission, Washington, D.C. (See Section 16(d)) and to the Insured Investment
Company, or
|
|
(b)
|
as
to any Employee 90 days after receipt by each Insured and by the Securities and Exchange
Commission of a written notice from the Underwriter of its desire to terminate this Bond
as to such Employee, or
|
|
(c)
|
as
to any person, who is a partner, officer or employee of any Electronic Data Processor
covered under this Bond, from and after the time that the Insured or any partner or officer
thereof not in collusion with such person shall have knowledge of information that such
person has committed any dishonest or fraudulent act(s), including Larceny or Embezzlement
in the service of the Insured or otherwise, whether such act be committed before or after
the time this Bond is effective.
|
SECTION 14. RIGHTS AFTER TERMINATION OR
CANCELLATION
At any time prior to the
termination or cancellation of this Bond as an entirety, whether by the Insured or the Underwriter, the Insured may give to
the Underwriter notice that it desires under this Bond an additional period of 12 months within which to discover loss sustained
by the Insured prior to the effective date of such termination or cancellation and shall pay an additional premium therefor.
Upon receipt of such
notice from the Insured, the Underwriter shall give its written consent thereto: provided, however, that such additional period
of time shall terminate immediately;
FI 75 11 (Ed. 08/15)
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(a)
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on
the effective date of any other insurance obtained by the Insured, its successor in business or any other party, replacing in whole or in part the insurance afforded by this
Bond, whether or not such other insurance provides coverage for loss sustained prior
to its effective date, or
|
|
(b)
|
upon
takeover of the Insured's business by any State or Federal official or agency, or by
any receiver or liquidator, acting or appointed for this purpose without the necessity
of the Underwriter giving notice of such termination. In the event that such additional
period of time is terminated, as provided above, the Underwriter shall refund any unearned
premium.
|
The right to purchase such
additional period for the discovery of loss may not be exercised by any State or Federal official or agency, or by any receiver
or liquidator, acting or appointed to take over the Insured's business for the operation or for the liquidation thereof or for
any other purpose.
SECTION 15. CENTRAL
HANDLING OF SECURITIES
Securities included in the
systems for the central handling of securities established and maintained by Depository Trust Company, Midwest Depository Trust
Company, Pacific Securities Depository Trust Company, and Philadelphia Depository Trust Company, hereinafter called Corporations,
to the extent of the Insured's interest therein as effective by the making of appropriate entries on the books and records of
such Corporations shall be deemed to be Property.
The words
"Employee" and "Employees" shall be deemed to include the officers, partners, clerks and other employees
of the New York Stock Exchange, Boston Stock Exchange, Midwest Stock Exchange, Pacific Stock Exchange and Philadelphia Stock
Exchange, hereinafter called Exchanges, and of the above named Corporations, and of any nominee in whose name is registered
any security included within the systems for the central handling of securities established and maintained by such
Corporations, and any employee of any recognized service company, while such officers, partners, clerks and other employees
and employees of service companies perform services for such Corporations in the operation of such systems. For the purpose
of the above definition a recognized service company shall be any company providing clerks or other personnel to said
Exchanges or Corporation on a contract basis.
The Underwriter shall
not be liable on account of any loss(es) in connection with the central handling of securities within the systems established
and maintained by such Corporations, unless such loss(es) shall be in excess of the amount(s) recoverable or recovered under
any Bond or Policy if insurance indemnifying such Corporations, against such loss(es), and then the Underwriter shall be liable
hereunder only for the Insured's share of such excess loss(es), but in no event for more than the Limit of Liability applicable
hereunder.
For the purpose of determining
the Insured's share of excess loss(es) it shall be deemed that the Insured has an interest in any certificate representing any
security included within such systems equivalent to the interest the Insured then has in all certificates representing the same
security included within such systems and that such Corporation shall use their best judgment in apportioning the amount(s)
recoverable or recovered under any Bond or Policy of insurance indemnifying such Corporations against such loss(es) in connection
with the central handling of securities within such systems among all those having an interest as recorded by appropriate entries in the books and records of such Corporations in Property involved in such loss(es) on the basis that each such interest
shall share in the amount(s) so recoverable or recovered in the ratio that the value of each such interest bears to the total
value of all such interests and that the Insured's share of such excess loss(es) shall be the amount of the Insured's interest
in such Property in excess of the amount(s) so apportioned to the Insured by such Corporations.
This Bond does not afford
coverage in favor of such Corporations or Exchanges or any nominee in whose name is registered any security included within the
systems for the central handling of securities established and maintained by such Corporations, and upon payment to the Insured
by the Underwriter on account of any loss(es) within the systems, an assignment of such of the Insured's rights and causes of
action as it may have against such Corporations or Exchanges shall to the extent of such payment, be given by the Insured to the
Underwriter, and the Insured shall execute all papers necessary to secure to the Underwriter the rights provided for herein.
FI 75 11 (Ed. 08/15)
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SECTION 16. ADDITIONAL COMPANIES
INCLUDED AS INSURED
If more than one
corporation, co-partnership or person or any combination of them be included as the Insured herein:
|
(a)
|
the
total liability of the Underwriter hereunder for loss or losses sustained by any one
or more or all of them shall not exceed the limit for which the Underwriter would be
liable hereunder if all such loss were sustained by any one of them.
|
|
(b)
|
the
one first named herein shall be deemed authorized to make, adjust and receive and enforce
payment of all claims hereunder and shall be deemed to be the agent of the others for
such purposes and for the giving or receiving of any notice required or permitted to
be given by the terms hereof, provided that the Underwriter shall furnish each named
Investment Company with a copy of the Bond and with any amendment thereto, together
with a copy of each formal filing of the settlement of each such claim prior to the
execution of such settlement,
|
|
(c)
|
the
Underwriter shall not be responsible for the proper application of any payment made hereunder
to said first named Insured,
|
|
(d)
|
knowledge
possessed or discovery made by any partner, officer or supervisory Employee of any Insured
shall for the purpose of Section 4 and Section 13 of this Bond constitute knowledge
or discovery by all the Insured, and
|
|
(e)
|
if
the first named Insured ceases for any reason to be covered under this Bond, then the
Insured next named shall thereafter be considered as the first named Insured for the
purposes of this Bond.
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SECTION 17. NOTICE AND CHANGE OF CONTROL
Upon the Insured's obtaining
knowledge of a transfer of its outstanding voting securities which results in a change in control (as set forth in Section
2(a) (9) of the Investment Company Act of 1940) of the Insured, the Insured shall within thirty (30) days of such knowledge
give written notice to the Underwriter setting forth:
|
(a)
|
the
names of the transferors and transferees (or the names of the beneficial owners if the
voting securities are requested in another name), and
|
|
(b)
|
the
total number of voting securities owned by the transferors and the transferees (or the
beneficial owners), both immediately before and after the transfer, and
|
|
(c)
|
the
total number of outstanding voting securities.
|
As used in this section,
control means the power to exercise a controlling influence over the management or Policies of the Insured.
Failure to give the required
notice shall result in termination of coverage of this Bond, effective upon the date of stock transfer for any loss in which any
transferee is concerned or implicated.
Such notice is not required
to be given in the case of an Insured which is an Investment Company.
SECTION 18. CHANGE OR MODIFICATION
This Bond or any instrument
amending or effecting same may not be changed or modified orally. No changes in or modification thereof shall be effective unless
made by written Endorsement issued to form a part hereof over the signature of the Underwriter's Authorized Representative. When
a Bond covers only one Investment Company no change or modification which would adversely affect the rights of the Investment
Company shall be effective prior to 60 days after written notification has been furnished to the Securities and Exchange Commission,
Washington, D.C. by the Insured or by the Underwriter. If more than one Investment Company is named as the Insured herein, the
Underwriter shall give written notice to each Investment Company and to the Securities and Exchange Commission, Washington, D.C.
not less than 60 days prior to the effective date of any change or modification which would adversely affect the rights of such
Investment Company.
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FI 88 01 (Ed. 10 11)
FORMS AND RIDERS
SCHEDULE
It is hereby understood and agreed the following forms
and riders are attached to and are a part of this bond:
Form No. / Edition
|
Date Added
*
or
Date
Deleted
|
Form Description
|
Rider No.
(if applicable)
|
FI7510
|
11-16
|
|
Investment
Company Bond Dec Page
|
|
FI7511
|
08-15
|
|
Investment
Company Bond Insuring Agreements
|
|
SRF9808
|
08-95
|
|
Rider
- Amended Section 4
|
1
|
SRF9808
|
08-95
|
|
Rider
- Amended Insuring Agreement F
|
2
|
FI7343
|
08-15
|
|
Joint
Insured List
|
3
|
FI7504
|
08-15
|
|
Newly
Created Investment Companies
|
4
|
FI7506
|
08-15
|
|
Insuring
Agreement (L) Computer Systems
|
5
|
FI7507
|
08-15
|
|
Insuring
Agreement (M) Automated Phone Systems
|
6
|
FI7508
|
08-15
|
|
Newly
Established Funds
|
7
|
FI7345
|
08-15
|
|
Confidential
Information And Data Breach Clarifying Rider
|
8
|
FI7339
|
06-14
|
|
Virtual
Or On-Line Peer To Peer Mediums Of Exchange Exclusion
|
9
|
FI7340
|
08-15
|
|
Economic
And Trade Sanctions Clause
|
|
FI7341
|
04-17
|
|
In-Witness
Clause
|
|
*
If not at inception
|
FI 88 01 (Ed. 10/11)
|
(Page
1 of 1)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
RIDER NO. 1
To be attached to and form part of Investment
Company Bond
No. FS 2346444 10 00
In favor of Barings Corporate Investors
Amended Section 4
It is agreed that:
|
1.
|
SECTION 4. is
deleted in its entirety and replaced with the following:
|
This bond is for the use and benefit only of
the Insured named in the Declarations and the Underwriter shall not be liable hereunder for loss sustained by anyone other than
the Insured unless the Insured, in its sole discretion and at its option, shall include such loss in the Insured's proof of loss.
As soon as practicable no later than 60 days after discovery of any loss hereunder the Insured shall give the Underwriter written
notice thereof and shall also within six months after such discovery furnish to the Underwriter affirmative proof of loss with
full particulars. If claim is made under this bond for loss of securities or shares, the Underwriter shall not be liable unless
each of such securities or shares is identified in such proof of loss by a certificate or bond number or, where such securities
or shares are uncertificated, by such identification means as agreed to by the Underwriter. The Underwriter shall have thirty
days after notice and proof of loss within which to investigate the claim, and this shall apply notwithstanding the loss is made
up wholly or in part of securities of which duplicates may be obtained. Legal proceedings for recovery of any loss hereunder shall
not be brought prior to the expiration of sixty days after such proof of loss is filed with the Underwriter nor after the expiration
of twenty-four months from the discovery of such loss, except that any action or proceeding to recover hereunder on account of
any judgment against the Insured in any suit mentioned in General Agreement C or to recover attorneys? fees paid in any such suit,
shall be begun within twenty-four months from the date upon which the judgment in such suit shall become final. If any limitation
embodied in this bond is prohibited by any law controlling the construction hereof, such limitation shall be deemed to be amended
so as to be equal to the minimum period of limitation permitted by such law.
Discovery occurs
when an officer with the title of Vice President or higher
|
(a.)
|
becomes aware of facts, or
|
|
(b.)
|
receives written notice of an actual or potential claim
by a third party which alleges that the Insured is liable under circumstance.
|
which would cause a reasonable person to assume
that a loss covered by the bond has been or will be incurred even though the exact amount or details of loss may not be then known.
|
2.
|
This rider shall
be come effective as of 12:01 a.m. on 11/04/2019 standard time.
|
SRF 9808 (Ed. 08/95)
|
(Page
1 of 1)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
RIDER NO. 2
To be attached to and form part of
Investment Company Bond
No. FS 2346444 10 00
In favor of Barings Corporate Investors
Amended Insuring Agreement F
It is agreed that:
|
1.
|
Insuring
Agreement (F) Counterfeit Currency, is hereby amended by deleting the words: "of
the United States of America or Canada", and substituting "of any country in
the world."
|
|
2.
|
This rider shall
become effective as of 12:01 a.m. on 11/04/2019 standard time.
|
SRF 9808 (Ed. 08/95)
|
(Page
1 of 1)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
FI 73 43 (Ed. 08/15)
RIDER NO. 3
JOINT INSURED LIST
To be attached to and form part of
INVESTMENT COMPANY BOND,
Bond No. FS 2346444 10 00
In favor of Barings Corporate Investors
It is agreed that:
|
1.
|
At
the request of the Insured, the Underwriter adds to the list of Insured under the attached
bond the following:
|
Barings Participation Investors
Barings Global Short Duration High Yield Fund
|
2.
|
Nothing
herein contained shall be held to vary, alter, waive, or extend any of the terms, conditions,
provisions, agreements, or limitations of the above mentioned bond other than as stated
herein.
|
|
3.
|
This Rider shall
become effective as of 12:01 a.m. on 11/04/2019 standard time.
|
FI
73 43 (Ed. 08/15)
|
(Page
1 of 1)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
FI 75 04 (Ed. 08/15)
RIDER NO. 4
NEWLY CREATED
INVESTMENT COMPANIES
To be attached to and form part of INVESTMENT
COMPANY BOND,
Bond No. FS 2346444 10 00
In favor of Barings Corporate Investors
It is agreed that:
|
1.
|
Item
1. Named of Insured on the Declarations Page shall include any existing Investment Company
or portfolios which are not listed under the Joint Insured Rider of the attached bond.
It shall also include any Newly Created Investment Company or portfolio provided that
the Insured shall submit to the Underwriter, following the end of the Bond Period, a
list of all newly created portfolios and copies of any prospectuses and statements of
additional information relating to such newly created Investment Companies or portfolios
unless said prospectus and statements of additional information have been previously
submitted.
|
Following the end of the Bond Period, any
newly created Investment Company or portfolio created during the Bond Period, will continue to be an Insured only if the Underwriter
is notified as set forth in the above paragraph, the information required herein is provided to the Underwriter, and the Underwriter
acknowledges the addition of such newly created Investment Company or portfolio to the bond by a Rider of this bond.
|
2.
|
It is further agreed
that the following definition is added to Conditions and Limitations - Section 1. Definitions:
|
(g) Newly created Investment
Company or portfolio shall mean any Investment Company or portfolio for which registration with the SEC has been declared.
|
3.
|
Nothing
herein contained shall be held to vary, alter, waive, or extend any of the terms, conditions,
provisions, agreements, or limitations of the above mentioned bond other than as stated
herein.
|
|
4.
|
This Rider shall
become effective as of 12:01 a.m. on 11/04/2019 standard time.
|
FI
75 04 (Ed. 08/15)
|
(Page
1 of 1)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
FI 75 06 (Ed. 08/15)
RIDER NO. 5
INSURING AGREEMENT
(L) COMPUTER SYSTEMS
To be attached to and form part of INVESTMENT
COMPANY BOND,
Bond No. FS 2346444 10 00
In favor of Barings Corporate Investors
It is agreed that:
|
1.
|
The attached bond
is hereby amended by adding to it an additional Insuring Agreement as follows:
|
INSURING AGREEMENT
(L) - COMPUTER SYSTEMS
Loss resulting directly from a fraudulent
|
(1)
|
entry of data
into, or
|
|
(2)
|
change
of data elements or programs within a Computer System; provided that fraudulent entry
or change causes
|
|
(a)
|
Property to
be transferred paid or delivered,
|
|
(b)
|
an account of
the Insured, or of its customer, to be added, deleted, debited or credited, or
|
|
(c)
|
an unauthorized
account or a fictitious account to be debited or credited;
|
|
(3)
|
voice
instructions or advices having been transmitted to the Insured or its agent(s) by telephone;
and provided further, the fraudulent entry or change is made or caused by an individual
acting with the manifest intent to:
|
|
(a)
|
cause the Insured
or its agent(s) to sustain a loss, and
|
|
(b)
|
obtain
financial benefit for that individual or for other persons intended by that individual
to receive a financial benefit,
|
|
(c)
|
and further provided
such voice instructions or advices:
|
|
(i)
|
were
made by a person who purported to represent an individual authorized to make such voice
instructions or advices; and
|
|
(ii)
|
were electronically
recorded by the Insured or its agent(s).
|
|
(4)
|
It
shall be a condition to recovery under the Computer Systems Rider that the Insured or
its agent(s) shall to the best of their ability electronically record all voice instructions
or advices received over the telephone. The Insured or its agent(s) warrant that they
shall make their best efforts to maintain the electronic recording system on a continuous
basis. Nothing, however, in this Rider shall bar the Insured from recovery where no recording
is available because of mechanical failure of the device used in making such recording,
or because of failure of the media used to record a conversation from any
cause, or error or omission of any Employee(s) or agent(s) of the Insured.
|
FI
75 06 (Ed. 08/15)
|
(Page
1 of 3)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
SCHEDULE OF SYSTEMS
Any System Utilized
by the Insured
|
2.
|
As used in this
Rider, Computer System means:
|
|
(a)
|
computers with
related peripheral components, including storage components, wherever located,
|
|
(b)
|
systems and applications
software,
|
|
(d)
|
related communication
networks or customer communication systems, and
|
|
(e)
|
related Electronic
Funds Transfer Systems,
|
by which data are electronically collected, transmitted,
processed, stored, and retrieved.
|
3.
|
In
addition to the Exclusions in the attached bond, the following Exclusions are applicable
to this Insuring Agreement:
|
|
(a)
|
loss resulting
directly or indirectly from the theft of confidential information, material or data:
and
|
|
(b)
|
loss
resulting directly or indirectly from entries or changes made by an individual authorized
to have access to a Computer System who acts in good faith on instructions, unless such
instructions are given to that individual by a software contractor (or by a partner,
officer or employee thereof) authorized by the Insured to design, develop, prepare, supply
service, write or implement programs for the Insured's Computer System.
|
|
4.
|
The following portions
of the attached bond are not applicable to this Rider:
|
|
(a)
|
the
initial paragraph of the bond preceding the Insuring Agreements which reads "...at
any time but discovered during the Bond Period."
|
|
(b)
|
Conditions
and Limitations - Section 9. Non-Reduction and Non-Accumulation of Liability and Total
Liability
|
|
(c)
|
Conditions and
Limitations - Section 10. Limit of Liability
|
|
5.
|
The
coverage afforded by this Rider applies only to loss discovered by the Insured during
the period this Rider is in force.
|
|
6.
|
All
loss or series of losses involving the fraudulent activity of one individual, or involving
fraudulent activity in which one individual is implicated, whether or not that individual
is specifically identified, shall be treated as one loss. A series of losses involving
unidentified individuals but arising from the same method of operation may be deemed
by the Underwriter to involve the same individual and in that event shall be treated
as one loss.
|
|
7.
|
The Limit of Liability
for the coverage provided by this Rider shall be $ 2,250,000.
|
|
8.
|
The
Underwriter shall be liable hereunder for the amount by which one loss shall be in excess
of $ 10,000. (herein called the Deductible Amount) but not in excess of the Limit of
Liability stated above.
|
FI
75 06 (Ed. 08/15)
|
(Page
2 of 3)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
|
9.
|
If
any loss is covered under this Insuring Agreement and any other Insuring Agreement or
Coverage, the maximum amount payable for such loss shall not exceed the largest amount
available under any one Insuring Agreement or Coverage.
|
|
10.
|
Coverage
under this Rider shall terminate upon termination or cancellation of the bond to which
this Rider is attached. Coverage under this Rider may also be terminated or cancelled
without canceling the bond as an entirety:
|
|
(a)
|
90
days after receipt by the Insured of written notice from the Underwriter of its desire
to terminate or cancel coverage under this Rider, or
|
|
(b)
|
immediately
upon receipt by the Underwriter of a written request from the Insured to terminate or
cancel coverage under this Rider.
|
The Underwriter shall refund to the Insured
the unearned premium for this coverage under this Rider. The refund shall be computed at short rates if this Rider is terminated
or cancelled or reduces by notice from, or at the insistence of the Insured.
|
11.
|
Conditions
and Limitations - Section 4. Loss-Notice-Proof-Legal Proceedings is amended by adding
the following sentence:
|
Proof of loss resulting from Voice Instructions
or advices covered under this bond shall include Electronic Recording of such Voice Instructions of advices.
|
12.
|
Notwithstanding
the foregoing, however, coverage afforded by this Rider is not designed to provide protection
against loss covered under a separate Electronic and Computer Crime Policy by whatever
title assigned or by whatever Underwriter written. Any loss which is covered under such
separate policy is excluded from coverage under this bond; and the Insured agrees to
make claim for such loss under its separate policy.
|
|
13.
|
Nothing
herein contained shall be held to vary, alter, waive, or extend any of the terms, conditions,
provisions, agreements, or limitations of the above mentioned bond other than as stated
herein.
|
|
14.
|
This Rider shall
become effective as of 12:01 a.m. on 11/04/2019 standard time.
|
FI
75 06 (Ed. 08/15)
|
(Page
3 of 3)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
FI 75 07 (Ed. 08/15)
RIDER NO. 6
INSURING AGREEMENT
(M) AUTOMATED PHONE SYSTEMS
To be attached to and form part of INVESTMENT
COMPANY BOND,
Bond No. FS 2346444 10 00
In favor of Barings Corporate Investors
It is agreed that:
|
1.
|
The attached bond
is hereby amended by adding to it an additional Insuring Agreement as follows:
|
INSURING AGREEMENT
(M) AUTOMATED PHONE SYSTEMS
Loss caused by an Automated
Phone System ("APS") Transaction, where the request for such APS Transaction is unauthorized or fraudulent and is made
with the manifest intent to deceive; provided, that the entity which receives such request generally maintains and follows during
the Bond Period all APS Designated Procedures with respect to APS Transaction. The unintentional isolated failure of such entity
to maintain and follow a particular APS Designated Procedure in a particular APS Designated Procedure in a particular instance
shall not preclude coverage under this Insuring Agreement, subject to the exclusions herein and in the bond.
|
1.
|
Definitions: The
following terms as used in this Insuring Agreement shall have the following meanings:
|
|
(a)
|
"APS Transaction"
means any APS Redemption, APS Exchange or APS Election.
|
|
(b)
|
"APS
Redemption" means any redemption of shares issued by an Investment Company which
is requested over the telephone by means of information transmitted by an individual
caller through use of a telephone keypad.
|
|
(c)
|
"APS
Election" means any election concerning dividend options available to Fund shareholders
which is made over the telephone by means of information transmitted by an individual
caller through use of a telephone keypad.
|
|
(d)
|
"APS
Exchange" means any exchange of shares in a registered account of one Fund into
shares in an identically registered account of another Fund in the same complex pursuant
to exchange privileges of the two Funds, which exchange is requested over the telephone
by means of information transmitted by an individual caller through use of a telephone
keypad.
|
|
(e)
|
"APS Designated
Procedures" means all of the following procedures:
|
|
(1)
|
Election
in Application: No APS Redemption shall be executed unless the shareholder to whose account
such an APS Redemption relates has previously elected by Official Designation to permit
such APS Redemption.
|
|
(2)
|
Logging:
All APS Transaction requests shall be logged or otherwise recorded, so as to preserve
all of the information transmitted by an individual caller through use of telephone keypad
in the course of such a request, and the records shall be retained for at least six months.
|
FI
75 07 (Ed. 08/15)
|
(Page
1 of 3)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
|
(a)
|
Information
contained in the records shall be capable of being retrieved through the following methods:
audio tape and or transactions stored on computer disks
|
|
(b)
|
Information
contained in the records shall be capable of being retrieved and produced within a reasonable
time after retrieval of specific information is requested, at a success rate of no loss
than 85 percent.
|
|
(3)
|
Identity
Test: The identity of the caller in any request for an APS Transaction shall be tested
before executing that APS Transaction by requiring the entry by the caller of a confidential
personal identification number ("PIN")
|
|
(a)
|
Limited
Attempts to Enter PIN: IF the caller fails to enter a correct PIN within three attempts,
the caller must not be allowed additional attempts during the same (telephone call/twenty-four
hour day) to enter the PIN. The caller may either be instructed to redial a customer
service representative or may be immediately connected to such a representative.
|
|
(4)
|
Written
Confirmation: A written confirmation of any APS Transaction shall be mailed to the shareholder(s)
to whose account such APS Transaction relates, at the original record address, by the
end of the Insured's next regular processing cycle, but in no event later than five business
days following such APS Transaction.
|
|
(5)
|
Access
to APS Equipment: Access to the equipment which permits the entity receiving the APS
Transaction request to process and effect the transaction shall be limited in the following
manner:
|
DSY Systems, Inc. and U.S. Bancorp Fund Services,
LLC
|
2.
|
Exclusions: It
is further understood and agreed that this extension shall not cover:
|
|
(a)
|
Any loss covered
under Insuring Agreement (A) Fidelity, of this bond;
|
|
(1)
|
The redemption
of shares, where the proceeds of such redemption are made payable to other-than
|
|
(i)
|
the shareholder
of record, or
|
|
(ii)
|
a person officially
Designated to receive redemption proceeds, or
|
|
(iii)
|
a bank account
officially Designated to receive redemption proceeds, or
|
|
(2)
|
The
redemption of shares, where the proceeds of such redemption are paid by check mailed
to any address, unless such address has either been
|
|
(i)
|
designated
by voice over the telephone or in writing without a signature guarantee, in either case
at least thirty(30) days prior to such redemption, or
|
|
(ii)
|
officially Designated,
or
|
|
(iii)
|
verified by any
other procedures which may be stated below in this Rider, or
|
|
(3)
|
The
redemption of shares, where the proceeds of such redemption are paid by wire transfer
to other than the shareholder's officially Designated bank account, or
|
|
(4)
|
the Intentional
failure to adhere to one or more APS Designated Procedures.
|
FI
75 07 (Ed. 08/15)
|
(Page
2 of 3)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
|
2.
|
Nothing
herein contained shall be held to vary, alter, waive, or extend any of the terms, conditions,
provisions, agreements, or limitations of the above mentioned bond other than as stated
herein.
|
|
3.
|
This Rider shall
become effective as of 12:01 a.m. on 11/04/2019 standard time.
|
FI
75 07 (Ed. 08/15)
|
(Page
3 of 3)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
FI 75 08 (Ed. 08/15)
RIDER NO. 7
NEWLY ESTABLISHED
FUNDS
To be attached to and form part of INVESTMENT
COMPANY BOND,
Bond No. FS 2346444 10 00
In favor of Barings Corporate Investors
It is agreed that:
|
1.
|
If
the Insured shall, while this bond is in force, establish any new funds other than by
consolidation or merger with, purchase or acquisition of assets or liabilities of another
institution, such funds shall automatically be covered, hereunder from the date of such
establishment without the payment of additional premium for the remainder of the Bond
Period.
|
|
2.
|
Notice
of any newly established funds during the Bond Period are to be made to the Underwriter
at the earliest practicable moment and prior to the expiration date of the attached bond.
|
|
3.
|
If the Insured
shall, while this bond is in force, require an increase in the Limit of Liability of
Insuring Agreement (A)
Fidelity in order to comply with the Securities and Exchange Commission Rule 17g-1 of the Investment Company Act of 1940
(17 Code of Federal Regulations § 270.17g-1) due to an increase in asset size of the currently named funds or via the addition
of newly established funds by the Insured under the bond, such increase in the Limit of Liability for Insuring Agreement (A) Fidelity
(as required) shall automatically be increased up to the minimum required and mandated by S.E.C. Rule 17g-1, but shall not exceed
an each and every loss Limit of Liability of $ 2,500,000 hereunder from the date of such increase without the payment of additional
premium for the remainder of the Bond Period.
|
|
4.
|
Nothing
herein contained shall be held to vary, alter, waive, or extend any of the terms, conditions,
provisions, agreements, or limitations of the above mentioned bond other than as stated
herein.
|
|
5.
|
This Rider shall
become effective as of 12:01 a.m. on 11/04/2019 standard time.
|
FI
75 08 (Ed. 08/15)
|
(Page
1 of 1)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
FI 73 45 (Ed. 08/15)
RIDER NO. 8
CONFIDENTIAL INFORMATION
AND DATA BREACH CLARIFYING RIDER
To be attached to and form part of Investment
Company Bond
Bond No. FS 2346444 10 00
In favor of Barings Corporate Investors
It is agreed that:
|
1.
|
CONDITIONS AND LIMITATIONS,
Section 2. Exclusions is amended to include:
|
Confidential Information:
Loss resulting from:
|
a)
|
Theft,
disappearance, destruction or disclosure of the confidential or personal information
of the Insured or another person or entity for which the Insured is legally liable including,
but not limited to patents, trade secrets, personal information, processing methods,
customer lists, financial information, credit card information, intellectual property,
health information, or any other type of non-public information.
|
For purposes of coverage
that may be attached to the Bond by Rider which pertains to Computer Systems, confidential information cannot be properly transferred.
A loss otherwise covered under the Computer Systems Rider (if attached) shall not be excluded by the fact that confidential information
was used to gain access to your computer system or to the computer system of your financial institution in order to cause the
fraudulent transfer.
|
b)
|
The
use of another person's or entity's confidential or personal information including but
not limited to, financial information, credit card information, health information or
any other type of non-public information.
|
Data Breach Costs:
Loss resulting from fees, costs, fines, penalties
and other expenses which are related to the access or disclosure of another person's or entity's confidential information, and
the obligations of the Insured to comply with federal and state privacy laws and Payment Card Industry Data Security Standards
(if applicable) arising from a data security breach, including, but not limited to, expenses related to notifying affected individuals
when the affected individuals' financial information, credit card information, health information or other type of non-public
information was stolen, accessed, downloaded or misappropriated while in the care, custody or control of the Insured.
|
2.
|
Nothing
herein contained shall be held to vary, alter, waive, or extend any of the terms, conditions
and limitations, or provisions of the attached bond other than as above stated.
|
|
3.
|
This Rider shall
become effective as of 12:01 a.m. on 11/04/2019 standard time.
|
FI
73 45 (Ed. 08/15)
|
(Page
1 of 1)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
FI 73 39 (Ed. 06/14)
RIDER NO. 9
VIRTUAL OR ON-LINE
PEER TO PEER MEDIUMS OF EXCHANGE EXCLUSION
To be attached to and form part of Investment
Company Bond
Bond No. FS 2346444 10 00
In favor of Barings Corporate Investors
This Rider amends the section entitled "Exclusions":
This bond does not cover:
|
1.
|
Loss of virtual
or on-line peer to peer mediums of exchange.
|
|
2.
|
Nothing
herein contained shall be held to vary, alter, waive, or extend any of the terms, conditions,
provisions, agreements, or limitations of the above mentioned bond other than as stated
herein.
|
|
3.
|
This Rider shall
become effective as of 12:01 a.m. on 11/04/2019 standard time.
|
FI
73 39 (Ed. 06/14)
|
(Page
1 of 1)
|
|
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
FI 73 40 (Ed. 08/15)
THIS RIDER CHANGES YOUR BOND.
PLEASE READ IT CAREFULLY.
ECONOMIC AND TRADE SANCTIONS CLAUSE
This insurance does not apply to the extent that
trade or economic sanctions or other laws or regulations prohibit us from providing insurance.
FI 73 40 (Ed. 08/15)
R * B0 * 11/14/2019 * FS 2346444 10 00
|
Great
American Insurance Company
|
566917
|
FI 73 41 (Ed. 04/17)
In Witness Clause
In Witness Whereof, we have caused this Financial Institution
Bond to be executed and attested, and, if required by state law, this Financial Institution Bond shall not be valid unless countersigned
by our authorized representative.
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PRESIDENT
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SECRETARY
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Copyright Great American Insurance Co., 2009
FI 73 41 (Ed. 04/17)
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