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Rating:Filings for Fundsters - November 8, 2016 Not Rated 0.0 Email Routing List Email & Route  Print Print
Tuesday, November 08, 2016

Filings for Fundsters - November 8, 2016

by: Ashley McHugh-Chiappone

Rebranding


On January 3, 2017, the Direxion Daily India Bull 3X Shares will undergo a name change and become the Direxion Daily MSCI India Bull 3X Shares. The new fund will also shift its strategy and no longer track the Indus India Index. Instead, it will track the MSCI India Index.

On January 9, 2017, the AB Growth and Income Fund will undergo a name change and become the AB Relative Value Fund. The new fund will also update it's principal investment strategies.

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Fund Mergers and Liquidations


On February 17, 2017, the MainStay High Yield Opportunities Fund will merge with and into the MainStay High Yield Corporate Bond Fund.

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Management


As of October 27, Lee Binks now serves as chief compliance officer of the Pine Grove Alternative Institutional Fund. Binks replaced Nadine Le Gall as CCO. Also as of October 27, Gino Malaspina has replaced Adam Waldstein as vice president and secretary.

On November 7, FIS Investor Services LLC will become the transfer agent for the Victory RS Partners Fund, the Victory RS Global Fund, the Victory RS Value Fund, the Victory Sophus Emerging Markets Fund, the Victory RS Large Cap Alpha Fund, the Victory Sophus Emerging Markets Small Cap Fund, the Victory RS Investors Fund Victory Sophus China Fund, the Victory Global Natural Resources Fund, the Victory INCORE Investment Quality Bond Fund, the Victory RS Small Cap Growth Fund, the Victory INCORE Low Duration Bond Fund, the Victory RS Select Growth Fund, the Victory High Yield Fund, the Victory RS Mid Cap Growth Fund, the Victory Tax-Exempt Fund, the Victory RS Growth Fund, the Victory High Income Municipal Bond Fund, the Victory RS Science and Technology Fund, the Victory Floating Rate Fund, the Victory RS Small Cap Equity Fund, the Victory Strategic Income Fund and the Victory RS International Fund. FIS is replacing Boston Financial Data Services, Inc, the funds' former transfer agent.

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Vishal Khanduja
Calvert Investments
VP, Lead Portfolio Manager, Head of Fixed Income

Portfolio Managers


Michael Weilheimer, Raphael Leeman and Vishal Khanduja are now co-PMs of the Calvert High Yield Bond Fund. Aidan Farrell, Christopher Madden and Jade Huang are now co-PMs of the Calvert International Opportunities Fund.

As of November 4, Steven Dray will no longer serve as a PM to the AlphaOne Small Cap Opportunities Fund.

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Exemptive Relief


Formula Folio Investments, LLC is requesting exemptive relief on behalf of the Northern Lights Fund Trust IV to participate in a master feeder program.

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New and Upcoming Funds


Brown Advisory LLC is launching the Brown Advisory Growth Equity Fund, the Brown Advisory Flexible Equity Fund, the Brown Advisory Equity Income Fund, the Brown Advisory Sustainable Growth Fund, the Brown Advisory Small-Cap Growth Fund, the Brown Advisory Small-Cap Fundamental Value Fund, the Brown Advisory Global Leaders Fund, the Brown Advisory Intermediate Income Fund, the Brown Advisory Total Return Fund, the Brown Advisory Strategic Bond Fund, the Brown Advisory Maryland Bond Fund, the Brown Advisory Tax Exempt Bond Fund, the Brown Advisory Mortgage Securities Fund, the Brown Advisory WMC Strategic European Equity Fund, the Brown Advisory - WMC Japan Alpha Opportunities Fund, the Brown Advisory Somerset Emerging Markets Fund and the Brown Advisory Emerging Markets Small-Cap Fund.

Advisors Preferred LLC is launching the Quantified Managed Income Fund, the Quantified All-Cap Equity Fund, the Quantified Market Leaders Fund, the Quantified Alternative Investment Fund and the Quantified STF Fund.

Hood River Capital Management LLC is launching the Hood River Small-Cap Growth Fund.

Advisors Asset Management, Inc is launching the AAM/HIMCO Short Duration Fund. AAM is also launching the AAM/Bahl & Gaynor Income Growth Fund and the AAM Select Income Fund.

SilverPepper LLC is launching the SilverPepper Commodity Strategies Global Macro Fund and the SilverPepper Merger Arbitrage Fund.

T. Rowe Price Associates, Inc is launching the T. Rowe Price Total Return Fund.

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Share Classes


As of November 7, the iShares Mortgage Real Estate Capped ETF, the iShares MSCI Global Gold Miners ETF, the iShares MSCI Global Metals & Mining Producers ETF, the iShares MSCI Italy Capped ETF, the iShares MSCI Japan ETF, the iShares MSCI Malaysia ETF, the iShares MSCI Russia Capped ETF, the iShares MSCI Singapore ETF, the iShares MSCI Taiwan ETF and the iShares MSCI United Kingdom ETF have updated their creation unit size and value.

On November 11, Transamerica Event Driven will offer Class I shares. The fund does not offer Class A shares.

On December 1, the institutional class shares for the JPMorgan Disciplined Equity Fund, the JPMorgan Diversified Fund, the JPMorgan U.S. Equity Fund, the JPMorgan U.S. Small Company Fund, the JPMorgan Value Advantage Fund, the JPMorgan Access Balanced Fund, the JPMorgan Access Growth Fund, the JPMorgan Small Cap Growth Fund and the JPMorgan Mid Cap Value Fund will be redesignated and renamed Class L Shares.

On April 3, 2017, the institutional shares for the JPMorgan SmartRetirement Income Fund, the JPMorgan SmartRetirement 2015 Fund, the JPMorgan SmartRetirement 2020 Fund, the JPMorgan SmartRetirement 2025 Fund, the JPMorgan SmartRetirement 2030 Fund, the JPMorgan SmartRetirement 2035 Fund, the JPMorgan SmartRetirement 2040 Fund, the JPMorgan SmartRetirement 2045 Fund, the JPMorgan SmartRetirement 2050 Fund, the JPMorgan SmartRetirement 2055 Fund and the JPMorgan SmartRetirement 2060 Fund will be redesignated and renamed the Class R5 shares.

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Subadvisors


One River Asset Management, LLC and YG Partners, LLC are now subadvisors of the Goldman Sachs Multi-Manager Alternatives Fund.

As of November 4, Osterweis Capital Management no longer serves as subadvisor to the Clearwater Core Equity Fund.

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Fees


The Grandeur Peak Emerging Markets Opportunities Fund, the Grandeur Peak Global Micro Cap Fund, the Grandeur Peak Global Opportunities Fund, the Grandeur Peak Global Reach Fund, the Grandeur Peak Global Stalwarts Fund, the Grandeur Peak International Opportunities Fund and the Grandeur Peak International Stalwarts Fund are updating the minimum initial investment for Investor Class and Institutional Class shares.

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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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