March 29, 2022
U.S. Securities and Exchange Commission
100 F Street, NE
Washington, D.C. 20549-0506
Re: Rule 17g-1(g) Fidelity Bond Filing for:
| · | Brookfield
Real Assets Income Fund Inc. (File No. 811-23157) |
| · | Center
Coast Brookfield MLP & Energy Infrastructure Fund (File No. 811-22843) |
| · | Oaktree
Diversified Income Fund Inc. (File No. 811-23715) |
| · | Brookfield
Investment Funds (File No. 811-22558) |
Ladies and Gentlemen:
On behalf of the above-referenced registered investment companies (the
“Funds”), pursuant to Rule 17g-1 of the Investment Company Act of 1940, as amended, filed herewith are the following:
| i. | a copy of the Policy Declaration from Great American Insurance
Company showing the renewal of the current policy to 03/15/2023; |
| ii. | a copy of the resolutions of the Directors/Trustees of the Boards,
a majority of whom are not “interested persons” of the Funds, approving the amount, type, form and coverage of the Fidelity
Bond and the portion of the premium to be paid by each Fund; and |
| iii. | a copy of the Joint Fidelity Bond Agreement entered into by
the Funds, providing for the allocation of premiums and minimum level of recoveries among the Funds. |
If there are any questions, please contact the undersigned at 212.549.8367.
Very truly yours, |
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/s/ Thomas D. Peeney |
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Thomas D. Peeney |
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Secretary of the Funds |
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301 E. Fourth St., Cincinnati, OH 45202
Fidelity
/ Crime Division
800-545-4269 |
GAIG.com |
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© 2017 Great American Insurance Company |
0790-C (10/17) |
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IMPORTANT NOTICE
FIDELITY CRIME DIVISION CLAIMS
Should this account have a potential claim situation,
please contact:
Fidelity & Crime Claims Department
Great American Insurance Group
Five Waterside Crossing
Windsor, CT 06095
(860) 298-7330
(860) 688-8188 fax
CrimeClaims@gaig.com
SDM-683 (Ed. 08/14)
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FI 75 10 (Ed. 11/16)
INVESTMENT COMPANY BOND
GREAT AMERICAN INSURANCE COMPANY
(A Stock Insurance Company, Herein Called the Underwriter)
DECLARATIONS |
Bond No. FS 2346259 19 00 |
Item 1. |
Name
of Insured (herein called Insured): Brookfield Real Assets Income Fund Inc. |
Principal Address: |
Brookfield Place |
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250 Vesey Street 15th Floor |
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New York, NY 10281 |
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Item 2. |
Bond Period: from 12:01 a.m. on 03/15/2022 to 03/15/2023 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. |
Limit
of Liability - Subject to Sections 9, 10 and 12 hereof, |
Amount applicable to | |
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Limit of Liability | | |
Deductible | |
Insuring Agreement (A)-Fidelity | |
$ | 7,500,000 | | |
$ | 0 | |
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Insuring Agreement (B)-On Premises | |
$ | 7,500,000 | | |
$ | 25,000 | |
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Insuring Agreement (C)-In Transit | |
$ | 7,500,000 | | |
$ | 25,000 | |
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Insuring Agreement (D)-Forgery or Alteration | |
$ | 7,500,000 | | |
$ | 25,000 | |
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Insuring Agreement (E)-Securities | |
$ | 7,500,000 | | |
$ | 25,000 | |
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Insuring Agreement (F)-Counterfeit Currency | |
$ | 7,500,000 | | |
$ | 25,000 | |
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Insuring Agreement (G)-Stop Payment | |
$ | 100,000 | | |
$ | 5,000 | |
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Insuring Agreement (H)-Uncollectible Items of Deposit | |
$ | 100,000 | | |
$ | 5,000 | |
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Insuring Agreement (I)-Audit Expense | |
$ | 100,000 | | |
$ | 5,000 | |
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Insuring Agreement (J)-Telefacsimile Transmissions | |
$ | 7,500,000 | | |
$ | 25,000 | |
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Insuring Agreement (K)-Unauthorized Signatures | |
$ | 100,000 | | |
$ | 5,000 | |
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Optional Insuring Agreements and Coverages | |
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Insuring Agreement (L)-Computer Systems | |
$ | Not Covered | | |
$ | N/A | |
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Insuring Agreement (M)-Automated Phone Systems | |
$ | Not Covered | | |
$ | N/A | |
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Insuring Agreement (N)-Fraudulent Transfer Instructions | |
$ | Not Covered | | |
$ | N/A | |
FI 75 10 (Ed. 11/16) |
(Page
1 of 2) |
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Voice Initiated Transfer Fraud | |
$ | 7,500,000 | | |
$ | 25,000 | |
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Computer Systems Fraud | |
$ | 7,500,000 | | |
$ | 25,000 | |
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Fraudulent Transfer Instructions | |
$ | 7,500,000 | | |
$ | 25,000 | |
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Destruction of Data or Programs by Virus | |
$ | 7,500,000 | | |
$ | 25,000 | |
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Destruction of Data or Programs by Hacker | |
$ | 7,500,000 | | |
$ | 25,000 | |
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.
| Item 4. | 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: |
N/A
| Item 5. | The liability of the Underwriter is subject to the terms of
the following Riders attached hereto: |
See Form FI8801
| Item 6. | The Insured by the acceptance of this Bond gives to the Underwriter
terminating or cancelling prior Bond(s) or Policy(ies) No.(s) |
FS 2346259 18
such termination or cancellation to be effective as of the
time this Bond becomes effective.
FI 75 10 (Ed. 11/16) |
(Page
2 of 2) |
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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) 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.
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:
| (a) | to cause the Insured to sustain such loss; and |
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| (b) | 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. |
ON PREMISES
(B) 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.
Offices and Equipment
| (1) | 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) | 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. |
IN TRANSIT
(C) 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.
FI 75 11 (Ed. 08/15) |
(Page 1 of 13) |
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FORGERY OR ALTERATION
(D) | 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) | 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, |
| (1) | 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 |
| (b) | 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) | raised or otherwise altered, or lost, or stolen, or |
| (2) | 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 . |
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) |
(Page 2 of 13) |
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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) | 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. |
STOP PAYMENT
(G) | 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: |
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) |
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 In-sured'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. |
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) |
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 fradulent 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. |
TELEFACSIMILE TRANSMISSIONS
(J) |
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 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: |
FI 75 11 (Ed. 08/15) |
(Page 3 of 13) |
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| (1) | 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) | 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. |
"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) 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.
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)
ADDITIONAL offices OR EMPLOYEES- CONSOLIDATION OR MERGER-NOTICE
| (1) | 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) | 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. |
WARRANTY
| (B) | 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) | 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 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 |
FI 75 11 (Ed. 08/15) |
(Page 4 of 13) |
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| (1) | an Employee admits to being guilty of any dishonest or fraudulent act(s), including Larceny or Embezzlement;
or |
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| (2) | an Employee is adjudicated to be guilty of any dishonest or fraudulent act(s), including Larceny or Embezzlement; |
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| (3) | 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) 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.
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:
(a) Employee means:
| (1) | any of the Insured's officers, partners, or employees, and |
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| (2) | 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) | 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) | guest students pursuing their studies or duties in any of the Insured's offices, and |
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(5) | 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 |
FI 75 11 (Ed. 08/15) |
(Page 5 of 13) |
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| (6) | 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) | 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) | those persons so designated in section 15, Central Handling of Securities, and |
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| (9) | any officer, partner or Employee of |
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| (a) | an investment advisor, |
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| (b) | an underwriter (distributor), |
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| (c) | a transfer agent or shareholder accounting record-keeper, or |
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| (d) | 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. |
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.
| (b) | 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) | 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. |
FI 75 11 (Ed. 08/15) |
(Page 6 of 13) |
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| (d) | 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. |
| | |
| (e) | Items of Deposit means any one or more checks and drafts. |
| | |
SECTION 2. EXCLUSIONS
THIS BOND DOES NOT COVER:
(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). |
| |
(b) | 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. |
| |
(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. |
| |
(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. |
| |
(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). |
| |
(f) |
loss resulting from any violation by the Insured or by any Employee |
|
|
| (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. |
|
|
(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) | to do damage to the premises or Property of the Insured, except
when covered under Insuring Agreement (A). |
| | |
(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). |
| |
(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). |
| |
(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
(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.
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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 therin, 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.
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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. |
Sub-section (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.
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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;
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| (a) | 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.
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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. |
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 - Voice Initiated Transfer Fraud |
1 |
SRF9808 |
08-95 |
|
Rider - Counterfeit Currency Revision |
2 |
SRF9808 |
08-95 |
|
Rider - Loss Reporting Threshold Rider |
3 |
SRF9808 |
08-95 |
|
Rider - Computer Systems Fraud |
4 |
SRF9808 |
08-95 |
|
Rider - Fraudulent Transfer Instructions |
5 |
SRF9808 |
08-95 |
|
Rider - Computer Virus Rider |
6 |
SRF9808 |
08-95 |
|
Rider - Computer Hacker Rider |
7 |
SRF9808 |
08-95 |
|
Rider - Amended Section 4 Rider |
8 |
SRF9808 |
08-95 |
|
Rider - Confidential Information/Data Breach Exclusion |
9 |
FI7344 |
08-15 |
|
General Rider - Exclude all Non-Fungible Tokens |
10 |
FI7343 |
08-15 |
|
Joint Insured List |
11 |
FI7504 |
08-15 |
|
Newly Created Investment Companies |
12 |
FI7340 |
08-15 |
|
Economic And Trade Sanctions Clause |
|
FI7341 |
04-17 |
|
In-Witness Clause |
|
* If not at inception |
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RIDER NO. 1
To be attached to and form part of Investment Company Bond
No. FS 2346259 19 00
In favor of Brookfield Real Assets Income Fund Inc.
Voice Initiated Transfer Fraud
The attached bond is amended by adding an Insuring Agreement as follows:
VOICE INITIATED TRANSFER FRAUD
Loss resulting directly from the Insured having, in good
faith, transferred funds from a Customer's account through a Computer System covered under the terms of the Computer System Fraud Insuring
Agreement in reliance upon a fraudulent voice instruction transmitted by telephone which was purported to be fro
| (1) | an officer, director, partner or employee of a Customer of the Insured who was
authorized by the Customer to instruct the Insured to make such transfer, |
| (2) | an individual person who is a Customer of the Insured, or |
| (3) | an Employee of the Insured in another office of the Insured who was authorized by the Insured to instruct
other Employees of the Insured to transfer Funds, and was received by an Employee of the Insured specifically designated to receive and
act upon such instructions, |
but the voice instruction was not from a person described in (1), (2),
or (3) above, provided that
| (i) | such voice instruction was electronically recorded by the Insured and required password(s) or code word(s) given; an |
| (ii) | if the transfer was in excess of $25,000 the voice instruction was verified by a call-back according
to a prearranged procedure. |
In this Insuring Agreement:
| (A) | Customer means an entity or individual which has a written agreement with the Insured authorizing the
Insured to rely on voice instructions to make transfers and which has provided the Insured with the Names of persons authorized to initiate
such transfers and with which the Insured has established an instruction verification mechanism. |
| (B) | Funds means Money on deposit in an account. |
| 2. | In addition to the Conditions and Limitations in the bond and
Computer Systems Fraud Insuring Agreement rider, the following provisions are applicable to the Voice Initiated Transfer Fraud Insuring
Agreement: |
This Insuring Agreement does not cover loss
resulting directly or indirectly from the assumption of liability by the Insured by contract unless the liability arises from a loss
covered by this Insuring Agreement and would be imposed on the Insured regardless of the existence of the contract.
SRF 9808 (Ed. 08/95) |
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Proof of loss for claim under the Voice Initiated Transfer
Fraud Insuring Agreement must include electronic recordings of such voice instructions and the verification call-back, if such call was
required.
| 3. | Nothing herein contained shall be held to vary, alter, waive or extend any of the terms, conditions,
provisions, agreements or limitations of the bond, other than as stated herein. |
| 4. | This rider shall become effective as of 12:01 a.m. on 03/15/2022 standard time. |
F.9808 (Ed. 08/95) |
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RIDER NO. 2
To be attached to and form part of Investment Company Bond
No. FS 2346259 19 00
In favor of Brookfield Real Assets Income Fund Inc.
Counterfeit Currency Revision
| 1. | Insuring Agreement (F), Counterfeit Currency is deleted in its entirety and replaced by the following: |
COUNTERFEIT CURRENCY
(F) Loss resulting directly from the receipt by the Insured,
in good faith of any counterfeit money.
| 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 03/15/2022 standard time. |
SRF 9808 (Ed. 08/95) |
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RIDER NO. 3
To be attached to and form part of Investment Company Bond
No. FS 2346259 19 00
In favor of Brookfield Real Assets Income Fund Inc.
Loss Reporting Threshold Rider
| 1. | Section 12-DEDUCTIBLE AMOUNT- is amended by adding the following paragraph: |
"The Insured shall, in the time and manner prescribed in
this Bond, give the Underwriter notice of any loss which is in excess of $25,000, except those involving any Investment Company
herein named as an Insured, which will require all losses to be reported. Such loss shall be of the kind covered by the terms of this
bond, whether or not the Underwriter is liable therefore. Upon request of the Underwriter, the Insured shall file a brief statement with
the Underwriter giving particulars concerning such loss."
| 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 03/15/2022 standard time. |
SRF 9808 (Ed. 08/95) |
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RIDER NO. 4
To be attached to and form part of Investment Company Bond
No. FS 2346259 19 00
In favor of Brookfield Real Assets Income Fund Inc.
Computer Systems Fraud
The attached bond is amended by adding an Insuring Agreement
as follows:
COMPUTER SYSTEMS FRAUD
| Loss resulting directly from a fraudulent |
| | |
| (1) | entry of Electronic Data or Computer Program into, or |
| (2) | change of Electronic Data or Computer Program within |
any Computer System utilized by the Insured, whether
owned or leased; or any Computer System identified in the application for this bond; or a Computer System first used by the Insured during
the Bond Period, as provided by the General Agreement B of this Bond;
| provided that the entry or change causes |
| | |
| (i) | Property to be transferred paid or delivered, |
| (ii) | an account of the Insured, or of its customer, to be added,
deleted, debited or credited, or |
| (iii) | an unauthorized account or a fictitious account to be debited
or credited |
In this Insuring Agreement, fraudulent entry or change shall include
such entry or change made by an Employee of the Insured acting in good faith on an instruction from a software contractor who has a written
agreement with the Insured to design, implement or service programs for a Computer System covered by this Insuring Agreement.
| 2. | In addition to the Conditions and Limitations in the bond, the
following, applicable to the Computer Systems Fraud Insuring Agreement, are added: |
DEFINITIONS
(A) | Computer Program means a set of related electronic instructions which direct the operations and functions
of a computer or devices connected to it which enable the computer or devices to receive, process, store or send Electronic Data; |
| |
(B) | Computer System means: |
| (1) computers with related peripheral components, including storage components wherever
located, |
| (2) systems and applications software, |
SRF 9808 (Ed. 08/95) |
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| (3) terminal devices, and |
| (4) related communication networks including, but not limited to, email and the Internet |
| |
| by which
electronic Data are electronically collected, transmitted, processed, stored and retrieved; |
(C) | Electronic Data means facts or information converted to a form
usable in a Computer System by Computer Programs, and which is stored on magnetic tapes or disks, or optical storage disks or other bulk
media. |
EXCLUSIONS
(A) | loss resulting directly or indirectly from the assumption of
liability by the Insured by contract unless the liability arises from a loss covered by the Computer Systems Fraud Insuring Agreement
and would be imposed on the Insured regardless of the existence of the contract; |
| |
(B) | loss resulting directly or indirectly from negotiable instruments,
securities, documents or other written instruments which bear a forged signature, or are counterfeit, altered or otherwise fraudulent
and which are used as source documentation in the preparation of Electronic Data or manually keyed into a data terminal; |
| |
(C) | loss resulting directly or indirectly from |
| (1) | mechanical failure, faulty construction, error in design, latent defect, fire, wear or tear, gradual deterioration, electrical disturbance
or electrical surge which affects a Computer System, or |
| | |
| (2) | failure or breakdown of electronic data processing media, or |
| | |
| (3) | error or omission in programming or processing; |
(D) | loss resulting directly or indirectly from the input of Electronic
Data into a Computer System terminal device either on the premises of a customer of the Insured or under the control of such a customer
by a person who has authorized access to the customer's authentication mechanism; |
| |
(E) | loss resulting directly or indirectly from the theft of confidential
information. |
SINGLE LOSS LIMIT OF LIABILITY
All loss or series of losses involving the fraudulent acts
of one individual, or involving fraudulent acts in which one individual is implicated, whether or not that individual is specifically
identified, shall be treated as a Single Loss and subject to the Single Loss Limit of Liability listed in the Declarations of the attached
bond. A series of losses involving unidentified individuals but arising from the same method of operation shall be deemed to involve the
same individual and in that event shall be treated as a Single Loss and subject to the Single Loss Limit of Liability.
3. This rider shall become effective as of 12:01 a.m. on 03/15/2022
standard time.
F.9808 (Ed. 08/95) |
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RIDER NO. 5
To be attached to and form part of Investment Company Bond
No. FS 2346259 19 00
In favor of Brookfield Real Assets Income Fund Inc.
Fraudulent Transfer Instructions
1. It is agreed that the following Insuring Agreement is added to the
above Bond:
FRAUDULENT TRANSFER INSTRUCTIONS
Loss resulting directly from the Insured having, in good
faith, transferred Money on deposit in a Customer's account, or a Customer's Certificated Securities, in reliance upon a fraudulent Instruction
transmitted to the Insured via electronic mail; provided, however that
(1) | The fraudulent instruction purports, and reasonably appears,
to have originated from: |
| (a) | such Customer, |
| (b) | an Employee acting on instructions of such Customer; or |
| (c) | another financial institution acting on behalf of such Customer
with authority to make such instructions; and |
| | |
(2) | The sender of the fraudulent instruction verified the instruction
with the password, PIN, or other security code of such Customer; and |
| |
(3) | The sender was not, in fact, such Customer, was not authorized
to act on behalf of such Customer, and was not an Employee of the Insured; and |
| |
(4) | The instruction was received by an Employee of the Insured specifically
authorized by the Insured to receive and act upon such instructions; and |
| |
(5) | For any transfer exceeding the amount set forth in item 7 of
this Rider, the Insured verified the instruction via a call back to a predetermined telephone number set forth in the Insured's written
agreement with such Customer or other verification procedure approved in writing by the Underwriter; and |
| |
(6) | The Insured preserved a contemporaneous record of the call back,
if any, and of the instruction which verifies use of the authorized password, PIN or other security code of the Customer. |
| |
2. | As used in this Rider, Customer means a natural person or entity
which has a written agreement with the Insured authorizing the Insured to transfer Money on deposit in an account or Certificated Securities
in reliance upon instructions transmitted to the Insured via the means utilized to transmit the fraudulent instruction. |
| |
3. | It shall be a condition precedent to coverage under this Insuring
Agreement that the Insured assert any available claims, offsets or defenses against such Customer, any financial institution or any other
party to the transaction. |
| |
4. | The following additional Exclusions are added to the Bond applicable
only to this Insuring Agreement: |
| |
| (a) | loss resulting directly or indirectly from the fraudulent instruction
if the sender, or anyone acting in collusion with the sender, ever had authorized access to such Customer's
password, PIN or other security code; and |
| | |
SRF 9808 (Ed. 08/95) |
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|
(b) | loss resulting directly or indirectly from the fraudulent alteration
of an instruction to initiate an automated clearing house (ACH) entry, or group of ACH entries, transmitted as an electronic message,
or as an attachment to an electronic message, sent via the Internet, unless: |
|
| |
|
| (1) | each ACH entry was individually verified via the call back procedure without regard to the amount of
the entry; or |
|
| | |
|
| (2) | the instruction was formatted, encoded or encrypted so that any alteration in the ACH entry or group
of ACH entries would be apparent to the Insured. |
|
| | |
5. | For purposes of this Insuring
Agreement, all loss or losses involving one natural person or entity, or one group of natural persons or
entities acting together, shall be a Single Loss without regard to the number of transfers or the number
of instructions involved. A series of losses involving unidentified natural persons or entities but arising
from the same method of operation shall be deemed to involve the same natural person or entity and shall
be treated as Single Loss. |
| |
6. | The Limit of Liability and Deductible amount applicable to
loss under this Insuring Agreement is as stated in the Declarations of the attached bond. |
| |
7. | The amount of any single transfer for which verification via a call back will be required
is: $25,000. |
| |
8. | This rider shall become effective as of 12:01 a.m. on 03/15/2022 standard time. |
F.9808 (Ed. 08/95) |
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087357
RIDER NO. 6
To be attached to and form part of Investment Company Bond
No. FS 2346259 19 00
In favor of Brookfield Real
Assets Income Fund Inc.
Computer Virus Rider
1. | The attached Bond is amended to include the following additional Insuring Agreement: |
DESTRUCTION OF DATA
OR PROGRAMS BY VIRUS
Loss resulting directly from the malicious destruction of, or
damage to, Electronic Data or Computer Programs owned by the Insured or for which the Insured is legally liable while stored within a
Computer System that is owned or operated by those named as Insured if such destruction or damage was caused by a computer program or
similar instruction which was written or altered to incorporate a hidden instruction designed to destroy or damage Electronic Data or
Computer Programs in the Computer System in which the computer program or instruction so written or so altered is used.
The Liability of the Underwriter
shall be limited to the cost of duplication of such Electronic Data or Computer Programs from other Electronic Data or Computer Programs,
which shall have been furnished by the Insured.
In the event, however, that
destroyed or damaged Computer Programs cannot be duplicated from other Computer Programs, the Underwriter will pay the cost incurred
for computer time, computer programmers, consultants or other technical specialists as is reasonably necessary to restore the Computer
Programs to substantially the previous level of operational capability.
Additional Definition:
"Electronic Data" means facts or information
converted to a form usable in a Computer System by Computer Programs and which is stored on magnetic tapes or disks or optical storage
disks or other bulk media.
2. | The Limit of Liability and Deductible amount applicable to loss under this Insuring Agreement is as
stated in the Declarations of the attached bond. |
| |
3. | Nothing herein contained shall be held to vary, alter, waive or extend any of the terms, conditions,
provisions, agreements, or limitations of the attached bond other than as above stated. |
| |
4. | This rider shall become effective as of 12:01 a.m. on 03/15/2022 standard time. |
| |
SRF 9808 (Ed. 08/95) |
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RIDER NO. 7
To be attached to and form part of Investment Company Bond
No. FS 2346259 19 00
In favor of Brookfield Real Assets Income Fund Inc.
Computer Hacker Rider
1. | The attached Bond is amended to include the following additional Insuring
Agreement: |
DESTRUCTION OF DATA
OR PROGRAMS BY HACKER
Loss resulting directly from the malicious destruction of, or damage
to Electronic Data or Computer Programs owned by the Insured or for which the Insured is legally liable while stored within a Computer
System that is owned or operated by those named as Insured.
The liability of the Underwriter shall be limited to the
cost of duplication of such Electronic Data or Computer Programs from other Electronic Data or Computer Programs, which shall have been
furnished by the Insured.
In the event, however, that destroyed or damaged Computer
Programs cannot be duplicated from other Computer Programs, the Underwriter will pay the cost incurred for computer time, computer programmers,
consultants or other technical specialists as is reasonably necessary to restore the Computer Programs to substantially the previous level
of operational capability.
Additional Definition:
"Electronic Data" means facts or information converted
to a form usable in a Computer System by Computer Programs and which is stored on magnetic tapes or disks or optical storage disks or
other bulk media.
2. | The Limit of Liability and Deductible amount applicable to loss under this Insuring Agreement is as
stated in the Declarations of the attached bond. |
| |
3. | Nothing herein contained shall be held to vary, alter, waive or extend any of the terms, conditions,
provisions, agreements, or limitations of the attached bond other than as above stated. |
| |
4. | This rider shall become effective as of 12:01 a.m. on 03/15/2022 standard time. |
| |
SRF 9808 (Ed. 08/95) |
(Page 1 of 1 ) |
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RIDER NO. 8
To be attached to and form part of Investment Company Bond
No. FS 2346259 19 00
In favor of Brookfield Real Assets Income Fund Inc.
Amended Section 4 Rider
In the second paragraph of Section 4- LOSS-NOTICE-PROOF -LEGAL
PROCEEDINGS of the Conditions and Limitations, the word "Insured" is deleted and replaced by: "General Counsel, Risk Manager
of Insurance or the Equivalent of the Insured".
2. This rider shall become effective as of 12:01 a.m. on 03/15/2022
standard time.
SRF 9808 (Ed. 08/95) |
(Page 1 of 1 ) |
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RIDER NO. 9
To be attached to and form part of Investment Company Bond
No. FS 2346259 19 00
In favor of Brookfield Real Assets Income Fund Inc.
Confidential Information/Data Breach Exclusion
It is agreed that:
Exclusion (n)
Loss resulting from:
a. the theft, disappearance, destruction
or disclosure of your or another person's or entity's confidential or personal information including, but not limited to patent, trade
secrets, personal information, processing methods, customer lists, financial information, credit information, intellectual property, health
information or any other type of non-public information, provided, however this exclusion shall not apply to loss arising out of the use
of such information to support or facilitate the commission of an act otherwise covered by this policy. Furthermore, for the purposes
of Insuring Agreement 5., confidential information cannot itself be the other property transferred, but a loss otherwise covered under
Insuring Agreement 5., shall not be excluded by the fact that the 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, provided, however this exclusion shall not apply to loss arising out of the use
of such information to support or facilitate the commission of an act otherwise covered by this policy.
Exclusion (o)
Data Breach Costs
Loss resulting from fees, costs, fines, penalties and other
expenses incurred by you which are related to the access or disclosure of another person's or entity's confidential information, and our
obligations 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 your care, custody or control.
2. This rider shall become effective as of 12:01 a.m. on 03/15/2022
standard time.
SRF 9808 (Ed. 08/95) | (Page 1 of 1) | |
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RIDER NO. 10
Exclude all Non-Fungible Tokens
To be attached to and form part of Investment Company Bond
Bond No. FS 2346259 19 00
In favor of Brookfield Real Assets Income Fund Inc.
In favor of This Rider amends Section 2. Exclusions to include
the following:
1. It is agreed that this bond does not afford coverage
under any of the Insuring Agreements for any loss, damage, claim, occurrence, or suit that arises out of, is in any way related to, or
involves, in whole or in part, any Non-Fungible Token. All coverage for Non-Fungible Tokens is excluded from all Insuring Agreements.
2. Section 1. Definition is amended to include:
Non-Fungible Token, also known as "NFT,"
means any unique digital identifier connected to any digital ledger technology which may be used to certify authenticity or ownership
of anything, including but not limited to any digital, tangible, or intangible item, but cannot be substituted or exchanged for any similar
item.
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.
This Rider shall become effective as of 12:01 a.m. on 03/15/2022 standard
time.
FI 73 44 (Ed. 08/15) | (Page 1 of 1) | |
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RIDER NO. 11
JOINT INSURED LIST
To be attached to and form part of INVESTMENT COMPANY BOND,
Bond No. FS 2346259 19 00
In favor of Brookfield Real Assets
Income Fund Inc.
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: |
| |
Brookfield Real Assets Income Fund Inc.
Brookfield Global Listed Infrastructure Fund
Brookfield Global Listed Real Estate Fund
Brookfield
Real Assets Securities Fund
Brookfield Global Renewables & Sustainable Infrastructure Fund
Center Coast Brookfield Midstream Focus Fund
Center Coast Brookfield MLP & Energy Infrastructure
Fund
Oaktree Emerging Markets Equity Fund
Oaktree Diversified Income Fund
Inc.
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 03/15/2022 standard time. |
FI 73 43 (Ed. 08/15) | (Page 1 of 1) | |
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RIDER NO. 12
NEWLY CREATED INVESTMENT COMPANIES
To be attached to and form part of INVESTMENT COMPANY
BOND,
Bond No. FS 2346259 19 00
In favor of Brookfield Real Assets Income Fund Inc.
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 03/15/2022 standard time. |
FI 75 04 (Ed. 08/15) | (Page 1 of 1) | |
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087357
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.
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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.
|
|
PRESIDENT |
SECRETARY |
Copyright Great American Insurance Co., 2009
FI 73 41 (Ed. 04/17)
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