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Thursday, October 13, 2016

Filings for Fundsters - October 13, 2016

by: Ashley McHugh-Chiappone


On January 1, 2017, the GMO Debt Opportunities Fund will become the GMO Opportunistic Income Fund. The fund will also undergo a shift in investment strategy.

On October 28, the John Hancock Core High Yield Fund will reorganize into the John Hancock Focused High Yield Fund. The reorganized fund will be renamed John Hancock High Yield Fund.


Daniel Ekins
Deutsche Asset Management
Portfolio Manager and Regional Head, Real Estate Securities - Asia Pacific

Investment Strategy

On December 10, the Day Hagan Tactical Allocation Fund of ETFs will shift their investment strategy.



As of September 30, Michael McCauley no longer serves as a trustee for the Clough Funds Trust. As of October 6, Clifford Weber serves as the trust’s lead independent trustee, and James Maxwell serves as the chairman of the board’s nominating and governance committee.


Share Classes

Certain funds in the Guggenheim Funds Trust, including the Guggenheim Alpha Opportunity Fund, the Guggenheim Diversified Income Fund, the Guggenheim Floating Rate Strategies Fund, the Guggenheim High Yield Fund, the Guggenheim Investment Grade Bond Fund, the Guggenheim Large Cap Value Fund, the Guggenheim Limited Duration Fund, the Guggenheim Macro Opportunities Fund, the Guggenheim Market Neutral Real Estate Fund, the Guggenheim Mid Cap Value Institutional Fund, the Guggenheim Municipal Income Fund, the Guggenheim Risk Managed Real Estate Fund, the Guggenheim Small Cap Value Fund, the Guggenheim StylePlus—Large Core Fund, the Guggenheim StylePlus—Mid Growth Fund and the Guggenheim World Equity Income Fund, will no longer offer Class R6 shares. The Guggenheim Total Return Bond Fund is still offering Class R6 shares.



As of October 1, Foreside Fund Services, LLC serves as distributor for the Third Avenue Value Fund, the Third Avenue Small-Cap Value Fund, the Third Avenue Real Estate Value Fund and the Third Avenue International Value Fund. They are replacing M.J. Whitman LLC.


Fund Mergers and Liquidations

On October 28, the AdvisorShares EquityPro ETF will terminate and liquidate.



On December 5, Thompson, Siegel & Walmsley LLC will become a subadvisor to the Transamerica Small/Mid Cap Value. They will also become a subadvisor to the Transamerica Systematic Small/Mid Cap Value VP.

As of October 1, Lazard Asset Management LLC replaced NorthRoad Capital Management LLC as subadvisor to the International Stock Fund, which is a part of the Ultra Series Fund. Lazard Frères & Co. LLC is the investment advisor to the fund.


New and Upcoming Funds

Ivy NextShares is launching the Ivy Focused Growth NextShares, the Ivy Focused Value NextShares and the Ivy Energy NextShares.


Exchange Listings

On October 24, the Reaves Utilities ETF will no longer be listed on the NASDAQ, and will instead transfer its primary listing to the NYSE Arca.


Portfolio Managers

On January 1, 2017, Michael Reinartz will become the sole PM of the Strategic Advisers Short Duration Fund, managed, in part, by T.Rowe Price.

On October 17, Kiva Patten will no longer serve as a PM for the Great-West U.S. Government Mortgage Securities Fund and the Great-West Short Duration Bond Fund and the Great-West Bond Index Fund.

Daniel Ekins will remain a co-PM of the Deutsche Global Real Estate Securities Fund until December 30. He will reportedly leave the firm after December 30.


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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