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Wednesday, September 14, 2016

Filings for Fundsters - September 14, 2016

by: Ashley McHugh-Chiappone


As of August 23, Mark A. Elste resigned as chairman of the The 504 Fund, as well as president, principal executive officer, principal financial officer, principal accounting officer and as a member of the board’s valuation committee. George Stelljes, III will replace Elste as chairman. Robert O. Judge will replace Elste as president and principal executive officer. Constantine Andrew (Dean) Pelos will replace Elste as principal financial officer and principal accounting officer.


Portfolio Manager

As of September 12, Leonardo Anguiano has replaced Sam Arnold as co-PM of the Brookfield Global Listed Infrastructure Fund and the Brookfield Real Assets Securities Fund.

As of August 17, Stephen Mentzines no longer serves as PM of the Frontier MFG Core Infrastructure Fund.


Mergers & Acquisitions

As of September 12, the Nuveen Premium Income Municipal Fund 2 has merged with and into the Nuveen AMT-Free Quality Municipal Income Fund. Also, the Nuveen Premium Income Municipal Fund has merged with and into the Nuveen Quality Municipal Income Fund.



As of September 12, the Babson Capital Global Short Duration High Yield Fund underwent a name change to the Barings Global Short Duration High Yield Fund.


Mergers and Liquidations

On October 7, Direxion will close the Direxion Daily FTSE Developed Markets Bull 1.25X Shares, the Direxion Daily FTSE Emerging Markets Bull 1.25X Shares and the Direxion S&P 500® Volatility Response Shares. On October 14, the funds will liquidate.

On October 12, the Investment Partners Absolute Return Fund will close and liquidate.

On November 28, the MFS Institutional Large Cap Value Fund will close. On November 30, the fund will liquidate.



On April 3, 2017, the service fee for the Class R5 shares of the JPMorgan Emerging Markets Equity Fund will increase by 10 bps.



On September 30, the Hilton Capital Management, LLC will become the interim subadvisor to the Destra Dividend Total Return Fund. They are replacing Miller/Howard, who served as the previous subadvisor. A vote on October 1 will determine if this interim agreement will become permanent.

As of September 12, the Babson Capital Management LLC, who is subadvisor to the MassMutual Premier U.S. Government Money Market Fund, the MassMutual Premier Short-Duration Bond Fund, the MassMutual Premier Inflation-Protected and Income Fund, the MassMutual Premier Core Bond Fund, the MassMutual Premier Diversified Bond Fund, the MassMutual Premier High Yield Fund, the MassMutual Premier Balanced Fund, the MassMutual Premier Disciplined Value Fund, and the MassMutual Premier Disciplined Growth Fund, underwent a name change to Barings LLC.

As of September 1, the subadvisor to the Virtus Emerging Markets Equity Income Fund and Virtus Essential Resources Fund will undergo a name change from Kleinwort Benson Investors International, Ltd. to KBI Global Investors (North America) Ltd.


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 People on the Move 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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