Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940, 24420-24421 [2021-09524]

Download as PDF 24420 Federal Register / Vol. 86, No. 86 / Thursday, May 6, 2021 / Notices (C) Clearing Agency’s Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments relating to this proposed rule change have not been solicited or received. DTC will notify the Commission of any written comments received by DTC. III. Date of Effectiveness of the Proposed Rule Change, and Timing for Commission Action Within 45 days of the date of publication of this notice in the Federal Register or within such longer period up to 90 days (i) as the Commission may designate if it finds such longer period to be appropriate and publishes its reasons for so finding or (ii) as to which the self-regulatory organization consents, the Commission will: (A) By order approve or disapprove such proposed rule change, or (B) institute proceedings to determine whether the proposed rule change should be disapproved. The foregoing rule change has become effective pursuant to Section 19(b)(3)(A) 17 of the Act and paragraph (f) 18 of Rule 19b–4 thereunder. At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. IV. Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: khammond on DSKJM1Z7X2PROD with NOTICES Electronic Comments • Use the Commission’s internet comment form (http://www.sec.gov/ rules/sro.shtml); or • Send an email to rule-comments@ sec.gov. Please include File Number SR– DTC–2021–007 on the subject line. Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549. All submissions should refer to File Number SR–DTC–2021–007. This file number should be included on the 17 15 18 17 U.S.C 78s(b)(3)(A). CFR 240.19b–4(f). VerDate Sep<11>2014 16:49 May 05, 2021 subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission’s internet website (http://www.sec.gov/ rules/sro.shtml). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for website viewing and printing in the Commission’s Public Reference Room, 100 F Street NE, Washington, DC 20549 on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of the filing also will be available for inspection and copying at the principal office of DTC and on DTCC’s website (http://dtcc.com/legal/sec-rulefilings.aspx). All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR–DTC– 2021–007 and should be submitted on or before May 27, 2021. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.19 J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–09526 Filed 5–5–21; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 34260] Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 April 30, 2021. The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of April 2021. A copy of each application may be obtained via the Commission’s website by searching for the file number, or for an applicant using the Company name 19 17 Jkt 253001 PO 00000 CFR 200.30–3(a)(12). Frm 00043 Fmt 4703 Sfmt 4703 box, at http://www.sec.gov/search/ search.htm or by calling (202) 551– 8090. An order granting each application will be issued unless the SEC orders a hearing. Interested persons may request a hearing on any application by emailing the SEC’s Secretary at Secretarys-Office@sec.gov and serving the relevant applicant with a copy of the request by email, if an email address is listed for the relevant applicant below, or personally or by mail, if a physical address is listed for the relevant applicant below. Hearing requests should be received by the SEC by 5:30 p.m. on May 25, 2021, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Pursuant to Rule 0–5 under the Act, hearing requests should state the nature of the writer’s interest, any facts bearing upon the desirability of a hearing on the matter, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission’s Secretary at Secretarys-Office@sec.gov. ADDRESSES: The Commission: Secretarys-Office@sec.gov. FOR FURTHER INFORMATION CONTACT: Shawn Davis, Assistant Director, at (202) 551–6413 or Chief Counsel’s Office at (202) 551–6821; SEC, Division of Investment Management, Chief Counsel’s Office, 100 F Street NE, Washington, DC 20549–8010. AllianzGI Institutional Multi-Series Trust [File No. 811–22975] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. On November 12, 2020, and December 9, 2020 applicant made liquidating distributions to its shareholders based on net asset value. Expenses of approximately $10,700 incurred in connection with the liquidation were paid by the applicant. Filing Date: The application was filed on March 11, 2021. Applicant’s Address: Craig.Ruckman@allianzgi.com. BMO LGM Frontier Markets Equity Fund [File No. 811–22882] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On September 30, 2020, December 31, 2020, and February 26, 2021 applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $15,000 incurred in connection with the liquidation were paid by the applicant’s investment adviser. E:\FR\FM\06MYN1.SGM 06MYN1 Federal Register / Vol. 86, No. 86 / Thursday, May 6, 2021 / Notices Filing Date: The application was filed on March 16, 2021. Applicant’s Address: michaelj.murphy@bmo.com. Duff & Phelps Utility & Corporate Bond Trust Inc. [File No. 811–07358] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to DNP Select Income Fund Inc., and on March 8, 2021 made a final distribution to its shareholders based on net asset value. Expenses of $594,526 incurred in connection with the reorganization were paid by the applicant. Filing Date: The application was filed on March 19, 2021. Applicant’s Address: akanter@ mayerbrown.com. GMO Series Trust [File No. 811–22564] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to GMO Trust, and on January 22, 2021, made a final distribution to its shareholders based on net asset value. Expenses of $745,500 incurred in connection with the reorganization were paid by the applicant’s investment adviser. Filing Dates: The application was filed on February 10, 2021 and amended on April 14, 2021. Applicant’s Address: Douglas.charton@gmo.com, Sarah.Clinton@ropesgray.com. Invesco Floating Rate Corporate Credit Fund [File No. 811–22511] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Dates: The application was filed on November 23, 2020 and amended on March 25, 2021. Applicant’s Address: Taylor.Edwards@invesco.com. khammond on DSKJM1Z7X2PROD with NOTICES Invesco Global Financial Services Fund [File No. 811–08887] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. VerDate Sep<11>2014 16:49 May 05, 2021 Jkt 253001 Filing Dates: The application was filed on November 23, 2020 and amended on March 25, 2021. Applicant’s Address: Taylor.Edwards@invesco.com. Mellon Optima L/S Strategy Fund, LLC. [811–21694] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On August 27, 2020, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $300,000 incurred in connection with the liquidation were paid by the applicant and the applicant’s liquidating trust. Filing Dates: The application was filed on December 16, 2020 and amended on April 8, 2021. Applicant’s Address: karen.spiegel@ srz.com. PNC Funds [811–04416 ] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to Federated Hermes Adviser Series, Federated Hermes MDT Series, Federated Hermes Intermediate Municipal Trust, Federated Hermes Short-Intermediate Duration Municipal Trust, Federated Hermes Money Market Obligations Trust, and Federated Hermes Total Return Series, Inc., and on November 15, 2019 made a final distribution to its shareholders based on net asset value. Expenses of $4,967,072.80 incurred in connection with the liquidation were paid by the applicant’s investment advisor, and/or their affiliates. Filing Dates: The application was filed on February 22, 2021 and amended on April 19, 2021. Applicant’s Address: Kathleen.nichols@ropesgray.com. Putnam Europe Equity Fund [File No. 811–05693] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to Putnam International Equity Fund, and on June 24, 2019 made a final distribution to its shareholders based on net asset value. Expenses of $379,570 incurred in connection with the reorganization were paid by the applicant, the acquiring fund, and the applicant’s investment adviser. Filing Date: The application was filed on March 3, 2021. Applicant’s Address: bryan.chegwidden@ropesgray.com. PO 00000 Frm 00044 Fmt 4703 Sfmt 4703 24421 Putnam Investors Fund [File No. 811– 00159] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to Putnam MultiCap Core Fund, and on June 25, 2018 made a final distribution to its shareholders based on net asset value. Expenses of $663,021 incurred in connection with the reorganization were paid by the applicant and the acquiring fund. Filing Date: The application was filed on March 3, 2021. Applicant’s Address: bryan.chegwidden@ropesgray.com. Stone Ridge Trust III [File No. 811– 23018] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to Stone Ridge All Asset Variance Premium Fund, a series of Stone Ridge Trust and on December 4, 2020, made a final distribution to its shareholders based on net asset value. Expenses of $238,877 incurred in connection with the reorganization were paid by the applicant. Filing Dates: The application was filed on February 18, 2021 and amended on April 14, 2021. Applicant’s Address: legalnotices@ stoneridgeam.com. USA Mutuals [811–10319] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to USA Mutuals Vitium Global Fund, and USA Mutuals Navigator Fund, each a series of Northern Lights Fund Trust IV, and on January 25, 2021 made a final distribution to its shareholders based on net asset value. Expenses of $215,417 incurred in connection with the reorganization were paid by the applicant’s investment advisor. Filing Dates: The application was filed on February 22, 2021 and amended on April 29, 2021. Applicant’s Address: legalnotices@ stoneridgeam.com. For the Commission, by the Division of Investment Management, pursuant to delegated authority. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–09524 Filed 5–5–21; 8:45 am] BILLING CODE 8011–01–P E:\FR\FM\06MYN1.SGM 06MYN1

Agencies

[Federal Register Volume 86, Number 86 (Thursday, May 6, 2021)]
[Notices]
[Pages 24420-24421]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-09524]


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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 34260]


Notice of Applications for Deregistration Under Section 8(f) of 
the Investment Company Act of 1940

April 30, 2021.
    The following is a notice of applications for deregistration under 
section 8(f) of the Investment Company Act of 1940 for the month of 
April 2021. A copy of each application may be obtained via the 
Commission's website by searching for the file number, or for an 
applicant using the Company name box, at http://www.sec.gov/search/search.htm or by calling (202) 551-8090. An order granting each 
application will be issued unless the SEC orders a hearing. Interested 
persons may request a hearing on any application by emailing the SEC's 
Secretary at [email protected] and serving the relevant 
applicant with a copy of the request by email, if an email address is 
listed for the relevant applicant below, or personally or by mail, if a 
physical address is listed for the relevant applicant below. Hearing 
requests should be received by the SEC by 5:30 p.m. on May 25, 2021, 
and should be accompanied by proof of service on applicants, in the 
form of an affidavit or, for lawyers, a certificate of service. 
Pursuant to Rule 0-5 under the Act, hearing requests should state the 
nature of the writer's interest, any facts bearing upon the 
desirability of a hearing on the matter, the reason for the request, 
and the issues contested. Persons who wish to be notified of a hearing 
may request notification by writing to the Commission's Secretary at 
[email protected].

ADDRESSES: The Commission: [email protected].

FOR FURTHER INFORMATION CONTACT: Shawn Davis, Assistant Director, at 
(202) 551-6413 or Chief Counsel's Office at (202) 551-6821; SEC, 
Division of Investment Management, Chief Counsel's Office, 100 F Street 
NE, Washington, DC 20549-8010.

AllianzGI Institutional Multi-Series Trust [File No. 811-22975]

    Summary: Applicant seeks an order declaring that it has ceased to 
be an investment company. On November 12, 2020, and December 9, 2020 
applicant made liquidating distributions to its shareholders based on 
net asset value. Expenses of approximately $10,700 incurred in 
connection with the liquidation were paid by the applicant.
    Filing Date: The application was filed on March 11, 2021.
    Applicant's Address: [email protected].

BMO LGM Frontier Markets Equity Fund [File No. 811-22882]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. On September 
30, 2020, December 31, 2020, and February 26, 2021 applicant made 
liquidating distributions to its shareholders based on net asset value. 
Expenses of $15,000 incurred in connection with the liquidation were 
paid by the applicant's investment adviser.

[[Page 24421]]

    Filing Date: The application was filed on March 16, 2021.
    Applicant's Address: [email protected].

Duff & Phelps Utility & Corporate Bond Trust Inc. [File No. 811-07358]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. The applicant 
has transferred its assets to DNP Select Income Fund Inc., and on March 
8, 2021 made a final distribution to its shareholders based on net 
asset value. Expenses of $594,526 incurred in connection with the 
reorganization were paid by the applicant.
    Filing Date: The application was filed on March 19, 2021.
    Applicant's Address: [email protected].

GMO Series Trust [File No. 811-22564]

    Summary: Applicant seeks an order declaring that it has ceased to 
be an investment company. The applicant has transferred its assets to 
GMO Trust, and on January 22, 2021, made a final distribution to its 
shareholders based on net asset value. Expenses of $745,500 incurred in 
connection with the reorganization were paid by the applicant's 
investment adviser.
    Filing Dates: The application was filed on February 10, 2021 and 
amended on April 14, 2021.
    Applicant's Address: [email protected], 
[email protected].

Invesco Floating Rate Corporate Credit Fund [File No. 811-22511]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. Applicant has 
never made a public offering of its securities and does not propose to 
make a public offering or engage in business of any kind.
    Filing Dates: The application was filed on November 23, 2020 and 
amended on March 25, 2021.
    Applicant's Address: [email protected].

Invesco Global Financial Services Fund [File No. 811-08887]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. Applicant has 
never made a public offering of its securities and does not propose to 
make a public offering or engage in business of any kind.
    Filing Dates: The application was filed on November 23, 2020 and 
amended on March 25, 2021.
    Applicant's Address: [email protected].

Mellon Optima L/S Strategy Fund, LLC. [811-21694]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. On August 27, 
2020, applicant made liquidating distributions to its shareholders 
based on net asset value. Expenses of $300,000 incurred in connection 
with the liquidation were paid by the applicant and the applicant's 
liquidating trust.
    Filing Dates: The application was filed on December 16, 2020 and 
amended on April 8, 2021.
    Applicant's Address: [email protected].

PNC Funds [811-04416 ]

    Summary: Applicant seeks an order declaring that it has ceased to 
be an investment company. The applicant has transferred its assets to 
Federated Hermes Adviser Series, Federated Hermes MDT Series, Federated 
Hermes Intermediate Municipal Trust, Federated Hermes Short-
Intermediate Duration Municipal Trust, Federated Hermes Money Market 
Obligations Trust, and Federated Hermes Total Return Series, Inc., and 
on November 15, 2019 made a final distribution to its shareholders 
based on net asset value. Expenses of $4,967,072.80 incurred in 
connection with the liquidation were paid by the applicant's investment 
advisor, and/or their affiliates.
    Filing Dates: The application was filed on February 22, 2021 and 
amended on April 19, 2021.
    Applicant's Address: [email protected].

Putnam Europe Equity Fund [File No. 811-05693]

    Summary: Applicant seeks an order declaring that it has ceased to 
be an investment company. The applicant has transferred its assets to 
Putnam International Equity Fund, and on June 24, 2019 made a final 
distribution to its shareholders based on net asset value. Expenses of 
$379,570 incurred in connection with the reorganization were paid by 
the applicant, the acquiring fund, and the applicant's investment 
adviser.
    Filing Date: The application was filed on March 3, 2021.
    Applicant's Address: [email protected].

Putnam Investors Fund [File No. 811-00159]

    Summary: Applicant seeks an order declaring that it has ceased to 
be an investment company. The applicant has transferred its assets to 
Putnam Multi-Cap Core Fund, and on June 25, 2018 made a final 
distribution to its shareholders based on net asset value. Expenses of 
$663,021 incurred in connection with the reorganization were paid by 
the applicant and the acquiring fund.
    Filing Date: The application was filed on March 3, 2021.
    Applicant's Address: [email protected].

Stone Ridge Trust III [File No. 811-23018]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. The applicant 
has transferred its assets to Stone Ridge All Asset Variance Premium 
Fund, a series of Stone Ridge Trust and on December 4, 2020, made a 
final distribution to its shareholders based on net asset value. 
Expenses of $238,877 incurred in connection with the reorganization 
were paid by the applicant.
    Filing Dates: The application was filed on February 18, 2021 and 
amended on April 14, 2021.
    Applicant's Address: [email protected].

USA Mutuals [811-10319]

    Summary: Applicant seeks an order declaring that it has ceased to 
be an investment company. The applicant has transferred its assets to 
USA Mutuals Vitium Global Fund, and USA Mutuals Navigator Fund, each a 
series of Northern Lights Fund Trust IV, and on January 25, 2021 made a 
final distribution to its shareholders based on net asset value. 
Expenses of $215,417 incurred in connection with the reorganization 
were paid by the applicant's investment advisor.
    Filing Dates: The application was filed on February 22, 2021 and 
amended on April 29, 2021.
    Applicant's Address: [email protected].

    For the Commission, by the Division of Investment Management, 
pursuant to delegated authority.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-09524 Filed 5-5-21; 8:45 am]
BILLING CODE 8011-01-P