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Tuesday, November 22, 2016

Filings for Fundsters - November 22, 2016

by: Ashley McHugh-Chiappone


On December 1, the Buffalo Discovery Fund, the Buffalo Dividend Focus Fund, the Buffalo Flexible Income Fund, the Buffalo Growth Fund, the Buffalo International Fund, the Buffalo Large Cap Fund and the Buffalo Mid Cap Fund are amending their redemption fee policies.


John Streur
Calvert Investments
President and CEO

Exemptive Relief

PIMCO is requesting exemptive relief to participate in a master-feeder program.



On June 9, the Calvert VP SRI Mid Cap Growth Portfolio underwent a name change and became the Calvert VIP SRI Mid Cap Portfolio.

On December 12, the Dhandho Junoon ETF, of the Elevation ETF Trust will be reorganized into a fund of the same name under the Cambria ETF Trust.

On December 16, the Target VIP Portfolio, a member of the Ohio National Fund, will undergo a name change and become the S&P MidCap 400 Index Portfolio. Additionally, Geode Capital Management, Inc will replace First Trust Advisors L.P. as subadvisor to the fund.

On January 17, 2017, the Dreyfus Municipal Cash Management Plus will undergo a name change and become the Dreyfus AMT-Free Municipal Cash Management Plus.

On March 17, 2017, the Oppenheimer Equity Fund will merge with and into the Oppenheimer Main Street Fund.


Investment Strategy

On January 1, 2017, the International Equity Fund, a member of Northern Funds, will update its principal investment strategies. The fund will also update its contractual expense limitation.

On February 1, 2017, the Virtus Quality Large-Cap Value Fund will update its investment objective and principal investment strategies. The fund will also undergo a name change and become the Virtus Global Quality Dividend Fund.

On March 9, 2017, fund shareholders for the Dreyfus Third Century Fund and the Dreyfus Socially Responsible Growth Fund are voting to update the fund's investment strategy. If approved, the changes will take effect on May 1, 2017.


Fund Mergers and Liquidations

As of November 21, the CWC Small Cap Aggressive Value Fund, a member of the Northern Lights Fund Trust, has terminated and liquidated.

On December 12, the Centre Multi-Asset Real Return Fund will be terminated and liquidated. The Centre Global ex-U.S. Equity Fund has also been terminated and liquidated.

On December 19, Natixis' Seeyond Multi-Asset Allocation Fund will terminate and liquidate.On December 21, the ASG Global Macro Fund (from Natixis' AlphaSimplex Group) will terminate and liquidate.

On December 29, the Henderson International Select Equity Fund and the Henderson Unconstrained Bond Fund will be terminated and liquidated.

On December 30, the Frost Kempner Treasury and Income Fund will terminate and liquidate.


Check our last Filings For Fundsters column (previously called Stork and Reaper) for more SEC filing updates. For the latest new hires and fund launches, explore our Follow The Fundsters, The Next Gig, and New Fund Fuss columns. If you have a fund filing, a mutual fund launch, a product change or a new hire that you would like to announce, please contact the MFWire team at editors@investmentwires.com. 

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