Securities and Exchange Commission June 18, 2014 – Federal Register Recent Federal Regulation Documents

WhiteHorse Finance, Inc., et al.; Notice of Application
Document Number: 2014-14204
Type: Notice
Date: 2014-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit a business development company (``BDC'') to co-invest with certain affiliated investment funds in portfolio companies. Applicants: WhiteHorse Finance, Inc. (the ``Company''), WhiteHorse Finance Warehouse, LLC (``WhiteHorse Warehouse''), H.I.G. Bayside Debt & LBO Fund II, L.P., H.I.G. Bayside Loan Opportunity Fund II, L.P., H.I.G. Bayside Loan Opportunity Fund III (Europe-Euro), L.P., H.I.G. Bayside Loan Opportunity Fund III (Europe-US$), L.P., WhiteHorse VI, Ltd., WhiteHorse VII, Ltd. and WhiteHorse VIII, Ltd. (collectively with H.I.G. Bayside Debt & LBO Fund II, L.P., H.I.G. Bayside Loan Opportunity Fund II, L.P., H.I.G. Bayside Loan Opportunity Fund III (Europe-Euro), L.P. and H.I.G. Bayside Loan Opportunity Fund III (Europe-US$), L.P., the ``Existing Private Funds''), H.I.G. WhiteHorse Advisers, LLC (the ``Company Adviser''), Bayside Capital, Inc. and H.I.G. WhiteHorse Capital, LLC (each, a ``Current Adviser to Private Funds'' and, collectively, the ``Current Advisers to Private Funds'' and, together with the Company Adviser, each, an ``Adviser'' and, together, the ``Advisers'') and H.I.G. Capital, L.L.C. (collectively, the ``Applicants'').
Absolute Shares Trust, et al.; Notice of Application
Document Number: 2014-14203
Type: Notice
Date: 2014-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: Applicants request an order that would (a) permit certain registered open-end management investment companies that operate as ``funds of funds'' to acquire shares of certain registered open-end management investment companies, registered closed-end management investment companies, business development companies as defined by section 2(a)(48) of the 1940 Act (``business development companies''), and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies and (b) permit certain registered open- end management investment companies relying on rule 12d1-2 under the 1940 Act to invest in certain financial instruments.
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