Lord Abbett & Co. LCC, et al., 15488 [2023-05044]
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15488
Federal Register / Vol. 88, No. 48 / Monday, March 13, 2023 / Notices
[Investment Company Act Release No.
34850; File No. 812–15380]
Lord Abbett & Co. LCC, et al.
March 7, 2023.
Securities and Exchange
Commission (‘‘Commission’’ or ‘‘SEC’’).
ACTION: Notice.
ddrumheller on DSK120RN23PROD with NOTICES1
AGENCY:
Notice of application for an order
under sections 17(d) and 57(i) of the
Investment Company Act of 1940 (the
‘‘Act’’) and rule 17d–1 under the Act to
permit certain joint transactions
otherwise prohibited by sections 17(d)
and 57(a)(4) of the Act and rule 17d–1
under the Act.
SUMMARY OF APPLICATION: Applicants
request an order to permit certain
business development companies and
closed-end management investment
companies to co-invest in portfolio
companies with each other and with
certain affiliated investment entities.
APPLICANTS: Lord Abbett & Co. LLC,
Lord Abbett Credit Opportunities Fund,
Lord Abbett Special Situations Income
Fund, Lord Abbett Floating Rate High
Income Fund, Lord Abbett Bank Loan
Trust, Lord Abbett International Small
Cap Trust, Lord Abbett Short Duration
Credit Trust, Lord Abbett Small Cap
Growth Trust.
FILING DATES: The application was filed
on August 23, 2022 and amended on
December 29, 2022.
HEARING OR NOTIFICATION OF HEARING:
An order granting the requested relief
will be issued unless the Commission
orders a hearing. Interested persons may
request a hearing on any application by
emailing the Commission’s Secretary at
Secretarys-Office@sec.gov and serving
the Applicants 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 Commission
by 5:30 p.m. on April 3, 2023, and
should be accompanied by proof of
service on the 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
emailing the Commission’s Secretary at
Secretarys-Office@sec.gov.
VerDate Sep<11>2014
19:32 Mar 10, 2023
Jkt 259001
The Commission:
Secretarys-Office@sec.gov Applicants:
Lawrence B. Stoller, Lord, Abbett & Co.
LLC lstoller@LordAbbett.com; Michael
G. Doherty, Ropes & Gray LLP
michael.doherty@ropesgray.com; Bryan
Chegwidden, Ropes & Gray LLP
bryan.chegwidden@ropesgray.com.
FOR FURTHER INFORMATION CONTACT:
Barbara T. Heussler, Senior Counsel, or
Daniele Marchesani, Assistant Chief
Counsel, at (202) 551–6825 (Division of
Investment Management, Chief
Counsel’s Office).
SUPPLEMENTARY INFORMATION: For
Applicants’ representations, legal
analysis, and conditions, please refer to
Applicants’ first amended and restated
application, dated December 29, 2022,
which may be obtained via the
Commission’s website by searching for
the file number at the top of this
document, or for an Applicant using the
Company name search field on the
SEC’s EDGAR system. The SEC’s
EDGAR system may be searched at,
https://www.sec.gov/edgar/searchedgar/
legacy/companysearch.html. You may
also call the SEC’s Public Reference
Room at (202) 551–8090.
ADDRESSES:
SECURITIES AND EXCHANGE
COMMISSION
For the Commission, by the Division of
Investment Management, under delegated
authority.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–05044 Filed 3–10–23; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–97056; File No. SR–
NYSECHX–2023–10]
Self-Regulatory Organizations; NYSE
Chicago, Inc.; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To Amend Section FIFTH
of Its Certificate of Incorporation
March 7, 2023.
Pursuant to Section 19(b)(1) 1 of the
Securities Exchange Act of 1934 (the
‘‘Act’’) 2 and Rule 19b–4 thereunder,3
notice is hereby given that, on February
23, 2023, the NYSE Chicago, Inc.
(‘‘NYSE Chicago’’ or the ‘‘Exchange’’)
filed with the Securities and Exchange
Commission (the ‘‘Commission’’) the
proposed rule change as described in
Items I and II below, which Items have
been prepared by the Exchange. The
Commission is publishing this notice to
U.S.C. 78s(b)(1).
2 15 U.S.C. 78a.
3 17 CFR 240.19b–4.
Frm 00120
Fmt 4703
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to (a) amend
Section FIFTH of its certificate of
incorporation to provide that the board
of directors of its ultimate parent or that
board’s compensation committee may
fix the compensation of the board of
directors of the Exchange, and (b) make
certain clarifying, technical and
conforming changes to the certificate of
incorporation. The proposed rule
change is available on the Exchange’s
website at www.nyse.com, at the
principal office of the Exchange, and at
the Commission’s Public Reference
Room.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission, the
self-regulatory organization included
statements concerning the purpose of,
and basis for, the proposed rule change
and discussed any comments it received
on the proposed rule change. The text
of those statements may be examined at
the places specified in Item IV below.
The Exchange has prepared summaries,
set forth in sections A, B, and C below,
of the most significant parts of such
statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and the
Statutory Basis for, the Proposed Rule
Change
1. Purpose
The Exchange proposes to (a) amend
Section FIFTH of the Second Amended
and Restated Certificate of Incorporation
of the Exchange (‘‘Certificate’’) to
provide that the board of directors of its
ultimate parent, Intercontinental
Exchange, Inc. (‘‘ICE,’’ and its board of
directors, the ‘‘ICE Board’’), or the
compensation committee of the ICE
Board (the ‘‘ICE Compensation
Committee’’) may fix the compensation
of the Board of Directors of the
Exchange (the ‘‘Exchange Board’’), and
(b) make certain clarifying, technical
and conforming changes to the
Certificate.
The changes described herein would
become operative upon the Certificate
becoming effective pursuant to its filing
with the Secretary of State of the State
of Delaware.
Proposed Amendment to Section FIFTH
Currently, the sole stockholder of the
Exchange, NYSE Chicago Holdings, Inc.
1 15
PO 00000
solicit comments on the proposed rule
change from interested persons.
Sfmt 4703
E:\FR\FM\13MRN1.SGM
13MRN1
]]>Agencies
[Federal Register Volume 88, Number 48 (Monday, March 13, 2023)]
[Notices]
[Page 15488]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-05044]
[[Page 15488]]
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SECURITIES AND EXCHANGE COMMISSION
[Investment Company Act Release No. 34850; File No. 812-15380]
Lord Abbett & Co. LCC, et al.
March 7, 2023.
AGENCY: Securities and Exchange Commission (``Commission'' or
``SEC'').
ACTION: Notice.
-----------------------------------------------------------------------
Notice of application for an order under sections 17(d) and 57(i)
of the Investment Company Act of 1940 (the ``Act'') and rule 17d-1
under the Act to permit certain joint transactions otherwise prohibited
by sections 17(d) and 57(a)(4) of the Act and rule 17d-1 under the Act.
Summary of Application: Applicants request an order to permit certain
business development companies and closed-end management investment
companies to co-invest in portfolio companies with each other and with
certain affiliated investment entities.
Applicants: Lord Abbett & Co. LLC, Lord Abbett Credit Opportunities
Fund, Lord Abbett Special Situations Income Fund, Lord Abbett Floating
Rate High Income Fund, Lord Abbett Bank Loan Trust, Lord Abbett
International Small Cap Trust, Lord Abbett Short Duration Credit Trust,
Lord Abbett Small Cap Growth Trust.
Filing Dates: The application was filed on August 23, 2022 and amended
on December 29, 2022.
Hearing or Notification of Hearing: An order granting the requested
relief will be issued unless the Commission orders a hearing.
Interested persons may request a hearing on any application by emailing
the Commission's Secretary at [email protected] and serving the
Applicants 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 Commission by 5:30 p.m. on April 3,
2023, and should be accompanied by proof of service on the 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 emailing the Commission's Secretary at
[email protected].
ADDRESSES: The Commission: [email protected] Applicants:
Lawrence B. Stoller, Lord, Abbett & Co. LLC [email protected];
Michael G. Doherty, Ropes & Gray LLP [email protected];
Bryan Chegwidden, Ropes & Gray LLP [email protected].
FOR FURTHER INFORMATION CONTACT: Barbara T. Heussler, Senior Counsel,
or Daniele Marchesani, Assistant Chief Counsel, at (202) 551-6825
(Division of Investment Management, Chief Counsel's Office).
SUPPLEMENTARY INFORMATION: For Applicants' representations, legal
analysis, and conditions, please refer to Applicants' first amended and
restated application, dated December 29, 2022, which may be obtained
via the Commission's website by searching for the file number at the
top of this document, or for an Applicant using the Company name search
field on the SEC's EDGAR system. The SEC's EDGAR system may be searched
at, https://www.sec.gov/edgar/searchedgar/legacy/companysearch.html. You
may also call the SEC's Public Reference Room at (202) 551-8090.
For the Commission, by the Division of Investment Management,
under delegated authority.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-05044 Filed 3-10-23; 8:45 am]
BILLING CODE 8011-01-P
