201 Rouse Boulevard
Philadelphia, Pennsylvania 19112
April 11, 2018
Via EDGAR
U.S. Securities and Exchange Commission
100 F Street, N.E.
Washington, D.C. 20549
Re: Rule 17g-1 Filing For Corporate Capital Trust, Inc.
Ladies and Gentlemen:
On behalf of Corporate
Capital Trust, Inc. (the “
Company
”) and pursuant to Rule 17g-1(g)(1) under the Investment Company Act of 1940,
as amended (the “
1940 Act
”), I hereby submit for filing with the U.S. Securities and Exchange Commission:
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1.
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a Certificate of Secretary, dated April 11, 2018, which sets forth the resolutions of a majority
of the board of directors of the Company who are not “interested persons” (as defined in the 1940 Act), approving the
amount, type, form and coverage of the fidelity bond (the “
Bond
”) and the premium to be paid therefor, and a
statement as to the period for which the premium has been paid under the Bond, attached hereto as
Exhibit A
; and
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2.
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a copy of the Bond, attached hereto as
Exhibit B
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Very truly yours,
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/s/ Philip Davidson
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Philip Davidson
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General Counsel and Secretary
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EXHIBIT A
CERTIFICATE OF SECRETARY
OF
CORPORATE CAPITAL TRUST, INC.
The undersigned,
Philip Davidson, General Counsel and Secretary of Corporate Capital Trust, Inc. (the “
Company
”), does hereby
certify as follows:
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A.
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This certificate is being delivered to the U.S. Securities and Exchange Commission (the “
SEC
”)
in connection with the filing of the Company’s fidelity bond (the “
Bond
”) pursuant to Rule 17g-1 of the
Investment Company Act of 1940, as amended (the “
1940 Act
”), and the SEC is entitled to rely upon this certificate
for purposes of the filing.
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B.
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The undersigned is the duly elected, qualified and acting General Counsel and Secretary of the
Company, has custody of the corporate records of the Company, and is a proper officer to make this certification.
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C.
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The following resolutions regarding the Bond were duly adopted on February 26, 2018 by
the board of directors of the Company, including a majority of the board of directors who are not “interested persons”
of the Company (as defined in the 1940 Act), approving the amount, type, form and coverage of the Bond, and the premium to be paid
therefor; and the resolutions are in full force and effect and have been so since such date:
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RESOLVED, that the
Company, together with the following subsidiaries: CCT Dublin Funding Designated Activity Company; CCT Funding LLC; CCT Holdings
LLC; CCT New York Funding, LLC; CCT SE II LLC; CCT SE III LLC; CCT SE IV LLC; CCT SE V LLC; CCT SE VI LLC; CCT SE VII LLC; CCT
Tokyo Funding LLC; FCF LLC; Halifax Funding LLC; Paris Funding LLC; Strategic Credit Opportunities Partners, LLC; Charlotte Funding
LLC; Jersey City Funding LLC; CSCOP SE III LLC; CSCOP SE IV LLC shall be named as an insured under a fidelity bond against such
types of losses as are included in standard fidelity bonds covering the officers and the other employees of the Company and containing
such provisions as required by Rule 17g-1 promulgated under the 1940 Act; and it is further
RESOLVED, that
the Board, including all directors who are not “interested persons” of the Company (as defined in the 1940 Act), hereby
determines that the terms and amount of the fidelity bond coverage to be issued by the Chubb Group of Insurance Companies, a reputable
fidelity insurance company (the “
Provider
”), having an aggregate coverage of $2.5 million, covering the
officers and employees of the Company in accordance with Rule 17g-1 under the 1940 Act for the policy period of April 4, 2018
to April 4, 2019 (the “Bond”), is reasonable in form and amount, after due consideration of all factors deemed
relevant by the Board, including, but not limited to, the amount of the Bond, the expected value of the aggregated assets of the
Company to which any person covered under the Bond may have access, the amount of the premium for the Bond, the type and terms
of the arrangements made for the custody and safekeeping of Company’s assets, and the nature of the securities in the Company’s
portfolio; and it is further
RESOLVED, that the
Bond be, and the same hereby is, approved by the Board, including all directors who are not “interested persons” of
the Company (as defined in the 1940 Act), in substantially the form as provided in the materials provided to the Board, with such
further changes therein as the officers of the Company may determine to be necessary or desirable and proper with the advice of
Company counsel; and it is further
RESOLVED, that the
officers of the Company be, and each of them hereby is, authorized, empowered and directed to obtain the Bond and pay the amount
of the premium therefor and any and all other payments related thereto, not to exceed an aggregate of $10,000; and it is further
RESOLVED, that the
officers of the Company be, and each hereby is, authorized and directed to execute such documents and take such other action as
may be deemed necessary or desirable and proper to effect the foregoing resolutions and the Company’s purchase of the Bond
from the Provider; and it is further
RESOLVED, that the
Corporate Secretary or any Assistant Secretary of the Company is hereby designated as the officer responsible for making the necessary
filings and giving the notices with respect the Bond required by paragraph (g) of Rule 17g-1 under the 1940 Act.
IN WITNESS WHEREOF, the undersigned
has executed this certificate on this 11th day of April, 2018.
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/s/ Philip Davidson
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Philip Davidson
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General Counsel and Secretary
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EXHIBIT B
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AON RISK INSURANCE SERVICES
WEST, INC.
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ATTN:
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Joseph McGoldrick
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707 WILSHIRE BLV., #2600
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LOS ANGELES, CA 90017
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INSURED:
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CORPORATE CAPITAL TRUST, INC.
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PRODUCT:
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DFIBond
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POLICY NO:
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82473060
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TRANSACTION:
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NL
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Chubb Group of Insurance Companies
202B Hall’s Mill Road
Whitehouse
Station, NJ 08889
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DECLARATIONS
FINANCIAL INSTITUTION INVESTMENT
COMPANY ASSET PROTECTION BOND
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NAME OF ASSURED (including its
Subsidiaries
):
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Bond Number: 82473060
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CORPORATE CAPITAL TRUST, INC.
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555 CALIFORNIA STREET, 50TH FLOOR
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FEDERAL INSURANCE COMPANY
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SAN FRANCISCO, CA 94104
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Incorporated under the laws of Indiana
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a stock insurance company herein called
the COMPANY
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Capital Center, 251 North Illinois,
Suite 1100
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Indianapolis,
IN 46204-1927
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ITEM 1.
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BOND PERIOD: from 12:01
a.m. on April 4, 2018
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to
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12:01 a.m. on April
4, 2019
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ITEM 2.
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LIMITS OF LIABILITY--DEDUCTIBLE AMOUNTS:
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If “Not Covered” is inserted
below opposite any specified INSURING CLAUSE, such INSURING CLAUSE and any other reference shall be deemed to be deleted.
There shall be no deductible applicable to any loss under INSURING CLAUSE 1. sustained by any Investment Company.
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SINGLE LOSS
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DEDUCTIBLE
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INSURING CLAUSE
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LIMIT OF LIABILITY
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AMOUNT
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1.
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Employee
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$
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2,500,000
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$
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0
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2.
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On Premises
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$
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2,500,000
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$
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25,000
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3.
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In Transit
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$
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2,500,000
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$
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25,000
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4.
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Forgery or Alteration
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$
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2,500,000
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$
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25,000
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5.
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Extended Forgery
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$
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2,500,000
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$
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25,000
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6.
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Counterfeit Money
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$
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2,500,000
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$
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25,000
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7.
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Threats to Person
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$
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Not Covered
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$
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N/A
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8.
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Computer System
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$
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2,500,000
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$
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25,000
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9.
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Voice Initiated Funds Transfer
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Instruction
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$
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2,500,000
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$
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25,000
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10.
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Uncollectible Items of Deposit
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$
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100,000
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$
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10,000
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11.
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Audit Expense
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$
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100,000
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$
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10,000
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ITEM 3.
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THE LIABILITY OF THE COMPANY IS ALSO SUBJECT TO THE
TERMS OF THE FOLLOWING ENDORSEMENTS EXECUTED SIMULTANEOUSLY HEREWITH:
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O THE TERMS OF THE FOLLOWING
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ENDORSEMENTS EXECUTED
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SIMULTANEOUSLY HEREWITH:
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IN WITNESS WHEREOF, THE COMPANY
has caused
this Bond to be signed by its authorized officers, but it shall not be valid unless also signed by an authorized representative
of the Company.
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Secretary
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President
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Countersigned by
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April
4, 2018
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Authorized Representative
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ICAP
Bond (5-98) - Federal
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Form 17-02-1421 (Ed. 5-98)
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Page 1 of 1
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The COMPANY, in consideration of
payment of the required premium, and in reliance on the APPLICATION and all other statements made and information furnished
to the COMPANY by the ASSURED, and subject to the DECLARATIONS made a part of this Bond and to all other terms and conditions
of this Bond, agrees to pay the ASSURED for:
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Insuring
Clauses
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Employee
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1.
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Loss resulting directly from
Larceny
or
Embezzlement
committed by any
Employee
, alone or in collusion with others.
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On
Premises
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2.
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Loss of
Property
resulting
directly from robbery, burglary, false pretenses, common law or statutory larceny, misplacement, mysterious unexplainable
disappearance, damage, destruction or removal, from the possession, custody or control of the ASSURED, while such
Property
is lodged or deposited at premises located anywhere.
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In
Transit
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3.
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Loss of
Property
resulting
directly from common law or statutory larceny, misplacement, mysterious unexplainable disappearance, damage or destruction,
while the
Property
is in transit anywhere:
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a.
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in an armored motor vehicle, including
loading and unloading thereof,
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b.
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in the custody of a natural person
acting as a messenger of the ASSURED, or
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c.
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in the custody of a
Transportation
Company
and being transported in a conveyance other than an armored motor vehicle provided, however, that covered
Property
transported in such manner is limited to the following:
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(1)
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written records,
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(2)
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securities issued in registered form, which are
not endorsed or are restrictively endorsed, or
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(3)
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negotiable instruments not payable to bearer,
which are not endorsed or are restrictively endorsed.
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Coverage under this INSURING CLAUSE
begins immediately on the receipt of such
Property
by the natural person or
Transportation Company
and ends
immediately on delivery to the premises of the addressee or to any representative of the addressee located anywhere.
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ICAP
Bond (5-98)
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Form 17-02-1421 (Ed. 5-98)
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Page 1 of 19
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Insuring
Clauses
(continued)
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Forgery
Or Alteration
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4.
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Loss resulting directly from:
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a.
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Forgery
on, or fraudulent
material alteration of, any bills of exchange, checks, drafts, acceptances, certificates of deposits, promissory notes, due
bills, money orders, orders upon public treasuries, letters of credit, other written promises, orders or directions to pay
sums certain in money, or receipts for the withdrawal of
Property
, or
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b.
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transferring, paying or delivering
any funds or other
Property
, or establishing any credit or giving any value in reliance on any written instructions,
advices or applications directed to the ASSURED authorizing or acknowledging the transfer, payment, delivery or receipt of
funds or other
Property
, which instructions, advices or applications fraudulently purport to bear the handwritten signature
of any customer of the ASSURED, or shareholder or subscriber to shares of an
Investment Company
, or of any financial
institution or
Employee
but which instructions, advices or applications either bear a
Forgery
or have been fraudulently
materially altered without the knowledge and consent of such customer, shareholder, subscriber, financial institution or
Employee
;
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excluding, however, under this INSURING
CLAUSE any loss covered under INSURING CLAUSE 5. of this Bond, whether or not coverage for INSURING CLAUSE 5. is provided
for in the DECLARATIONS of this Bond.
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For the purpose of this INSURING
CLAUSE, a mechanically reproduced facsimile signature is treated the same as a handwritten signature.
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Extended
Forgery
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5.
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Loss resulting directly from the
ASSURED having, in good faith, and in the ordinary course of business, for its own account or the account of others in any
capacity:
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a.
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acquired, accepted or received, sold
or delivered, or given value, extended credit or assumed liability, in reliance on any original
Securities, documents or
other written instruments
which prove to:
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(1)
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bear a
Forgery
or a fraudulently material
alteration,
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(2)
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have been lost or stolen, or
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(3)
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be
Counterfeit
, or
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b.
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guaranteed in writing or witnessed
any signatures on any transfer, assignment, bill of sale, power of attorney, guarantee, endorsement or other obligation upon
or in connection with any
Securities, documents or other written instruments
.
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Actual physical possession, and continued
actual physical possession if taken as collateral, of such
Securities, documents or other written instruments
by an
Employee, Custodian,
or a Federal or State chartered deposit institution of the ASSURED is a condition precedent to
the ASSURED having relied on such items. Release or return of such collateral is an acknowledgment by the ASSURED that it
no longer relies on such collateral.
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ICAP
Bond (5-98)
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Form 17-02-1421 (Ed. 5-98)
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Page 2 of 19
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Insuring
Clauses
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Extended
Forgery
(continued)
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For the purpose of this INSURING
CLAUSE, a mechanically reproduced facsimile signature is treated the same as a handwritten signature.
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Counterfeit
Money
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6.
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Loss resulting directly from the
receipt by the ASSURED in good faith of any
Counterfeit
money.
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Threats
To Person
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7.
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Loss resulting directly from surrender
of
Property
away from an office of the ASSURED as a result of a threat communicated to the ASSURED to do bodily harm
to an
Employee
as defined in SECTION 1.e. (1), (2) and (5), a
Relative
or invitee of such
Employee
, or
a resident of the household of such
Employee
, who is, or allegedly is, being held captive provided, however, that prior
to the surrender of such
Property:
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a.
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the
Employee
who receives
the threat has made a reasonable effort to notify an officer of the ASSURED who is not involved in such threat, and
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b.
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the ASSURED has made a reasonable
effort to notify the Federal Bureau of Investigation and local law enforcement authorities concerning such threat.
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It is agreed that for purposes of
this INSURING CLAUSE, any
Employee
of the ASSURED, as set forth in the preceding paragraph, shall be deemed to be an
ASSURED hereunder, but only with respect to the surrender of money, securities and other tangible personal property in which
such
Employee
has a legal or equitable interest.
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Computer
System
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8.
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Loss resulting directly from fraudulent:
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a.
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entries of data into, or
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b.
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changes of data elements or programs
within,
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a
Computer System,
provided
the fraudulent entry or change causes:
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(1)
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funds or other property to be transferred, paid
or delivered,
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(2)
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an account of the ASSURED or of its customer
to be added, deleted, debited or credited, or
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(3)
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an unauthorized account or a fictitious account
to be debited or credited.
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ICAP
Bond (5-98)
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Form 17-02-1421 (Ed. 5-98)
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Page 3 of 19
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Insuring
Clauses
(continued)
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Voice Initiated
Funds
Transfer Instruction
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9.
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Loss resulting directly from
Voice Initiated Funds Transfer Instruction
directed to the ASSURED authorizing the transfer of dividends or redemption proceeds of
Investment Company
shares from a
Customer’s
account, provided such
Voice Initiated Funds Transfer Instruction
was:
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a.
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received at the ASSURED’S offices by those
Employees
of the ASSURED specifically authorized to receive the
Voice Initiated Funds Transfer Instruction
,
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b.
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made by a person purporting to be a
Customer
,
and
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c.
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made by said person for the purpose of causing
the ASSURED or
Customer
to sustain a loss or making an improper personal financial gain for such person or any other
person.
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In order for coverage to apply under this INSURING CLAUSE, all
Voice Initiated Funds Transfer Instructions
must be received and processed in accordance with the Designated Procedures outlined in the APPLICATION furnished to the COMPANY.
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Uncollectible
Items of Deposit
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10.
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Loss resulting directly from the ASSURED having credited an account of a customer, shareholder or subscriber on the faith of any
Items of Deposit
which prove to be uncollectible, provided that the crediting of such account causes:
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a.
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redemptions or withdrawals to be permitted,
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b.
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shares to be issued, or
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c.
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dividends to be paid,
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from an account of an
Investment Company
.
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In order for coverage to apply under this INSURING CLAUSE, the ASSURED must hold
Items of Deposit
for the minimum number of days stated in the APPLICATION before permitting any redemptions or withdrawals, issuing any shares or paying any dividends with respect to such
Items of Deposit
.
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Items of Deposit
shall not be deemed uncollectible until the ASSURED’S standard collection procedures have failed.
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Audit
Expense
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11.
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Expense incurred by the ASSURED for that part of the cost of audits or examinations required by any governmental regulatory authority or self-regulatory organization to be conducted by such authority, organization or their appointee by reason of the discovery of loss sustained by the ASSURED and covered by this Bond.
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ICAP
Bond (5-98)
|
|
Form
17-02-1421 (Ed. 5-98)
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Page
4 of 19
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General Agreements
Additional Companies
Included As Assured
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A.
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If more than one corporation, or
Investment Company
, or any combination of them is included as the ASSURED herein:
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(1)
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The total liability of the COMPANY under this
Bond for loss or losses sustained by any one or more or all of them shall not exceed the limit for which the COMPANY would
be liable under this Bond if all such loss were sustained by any one of them.
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(2)
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Only the first named ASSURED shall be deemed
to be the sole agent of the others for all purposes under this Bond, including but not limited to the giving or receiving
of any notice or proof required to be given and for the purpose of effecting or accepting any amendments to or termination
of this Bond. The COMPANY shall furnish each
Investment Company
with a copy of the Bond and with any amendment thereto,
together with a copy of each formal filing of claim by any other named ASSURED and notification of the terms of the settlement
of each such claim prior to the execution of such settlement.
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(3)
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The COMPANY shall not be responsible for the
proper application of any payment made hereunder to the first named ASSURED.
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(4)
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Knowledge possessed or discovery made by any
partner, director, trustee, officer or supervisory employee of any ASSURED shall constitute knowledge or discovery by all
the ASSUREDS for the purposes of this Bond.
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(5)
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If the first named ASSURED ceases for any reason
to be covered under this Bond, then the ASSURED next named on the APPLICATION shall thereafter be considered as the first
named ASSURED for the purposes of this Bond.
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Representation
Made By Assured
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B.
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The ASSURED represents that all information it has furnished in the APPLICATION for this Bond or otherwise is complete, true and correct. Such APPLICATION and other information constitute part of this Bond.
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The ASSURED must promptly notify the COMPANY of any change in any fact or circumstance which materially affects the risk assumed by the COMPANY under this Bond.
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Any intentional misrepresentation, omission, concealment or incorrect statement of a material fact, in the APPLICATION or otherwise, shall be grounds for recision of this Bond.
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ICAP
Bond (5-98)
|
|
Form
17-02-1421 (Ed. 5-98)
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Page
5 of 19
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General
Agreements
(continued)
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Additional Offices
Or Employees - Consolidation, Merger Or Purchase Or Acquisition Of Assets Or Liabilities - Notice To Company
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C.
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If the ASSURED, other
than an
Investment Company
, while this Bond is in force, merges or consolidates with, or purchases or acquires assets
or liabilities of another institution, the ASSURED shall not have the coverage afforded under this Bond for loss which has:
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(1)
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occurred
or will occur on premises, or
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(2)
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been
caused or will be caused by an employee, or
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(3)
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arisen or will arise
out of the assets or liabilities,
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of such
institution, unless the ASSURED:
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a.
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gives
the COMPANY written notice of the proposed consolidation, merger or purchase or acquisition of assets or liabilities prior
to the proposed effective date of such action, and
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b.
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obtains the written
consent of the COMPANY to extend some or all of the coverage provided by this Bond to such additional exposure, and
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c.
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on obtaining such
consent, pays to the COMPANY an additional premium.
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Change
Of Control - Notice To Company
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D.
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When
the ASSURED learns of a change in control (other than in an
Investment Company
), as set forth in Section 2(a) (9) of
the Investment Company Act of 1940, the ASSURED shall within sixty (60) days give written notice to the COMPANY setting forth:
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(1)
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the names
of the transferors and transferees (or the names of the beneficial owners if the voting securities are registered in another
name),
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(2)
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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
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(3)
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the total number
of outstanding voting securities.
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Failure
to give the required notice shall result in termination of coverage for any loss involving a transferee, to be effective on
the date of such change in control.
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Court
Costs And Attorneys’ Fees
|
E.
|
The COMPANY
will indemnify the ASSURED for court costs and reasonable attorneys’ fees incurred and paid by the ASSURED in defense,
whether or not successful, whether or not fully litigated on the merits and whether or not settled, of any claim, suit or
legal proceeding with respect to which the ASSURED would be entitled to recovery under this Bond. However, with respect to
INSURING CLAUSE 1., this Section shall only apply in the event that:
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(1)
|
an
Employee
admits to being guilty of
Larceny or Embezzlement
,
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(2)
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an
Employee
is adjudicated to be guilty of
Larceny or Embezzlement
, or
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ICAP Bond (5-98)
|
|
Form 17-02-1421 (Ed. 5-98)
|
Page 6 of 19
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General
Agreements
Court
Costs And Attorneys’ Fees
(continued)
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(3)
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in the
absence of 1 or 2 above, an arbitration panel agrees, after a review of an agreed statement of facts between the COMPANY and
the ASSURED, that an
Employee
would be found guilty of
Larceny or Embezzlement
if such
Employee
were
prosecuted.
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The ASSURED
shall promptly give notice to the COMPANY of any such suit or legal proceeding and at the request of the COMPANY shall furnish
copies of all pleadings and pertinent papers to the COMPANY. The COMPANY may, at its sole option, elect to conduct the defense
of all or part of such legal proceeding. The defense by the COMPANY shall be in the name of the ASSURED through attorneys
selected by the COMPANY. The ASSURED shall provide all reasonable information and assistance as required by the COMPANY for
such defense.
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If the
COMPANY declines to defend the ASSURED, no settlement without the prior written consent of the COMPANY nor judgment against
the ASSURED shall determine the existence, extent or amount of coverage under this Bond.
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If the amount demanded
in any such suit or legal proceeding is within the DEDUCTIBLE AMOUNT, if any, the COMPANY shall have no liability for court
costs and attorney’s fees incurred in defending all or part of such suit or legal proceeding.
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If the amount demanded
in any such suit or legal proceeding is in excess of the LIMIT OF LIABILITY stated in ITEM 2. of the DECLARATIONS for the
applicable INSURING CLAUSE, the COMPANY’S liability for court costs and attorney’s fees incurred in defending
all or part of such suit or legal proceedings is limited to the proportion of such court costs and attorney’s fees incurred
that the LIMIT OF LIABILITY stated in ITEM 2. of the DECLARATIONS for the applicable INSURING CLAUSE bears to the total of
the amount demanded in such suit or legal proceeding.
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If the amount demanded
is any such suit or legal proceeding is in excess of the DEDUCTIBLE AMOUNT, if any, but within the LIMIT OF LIABILITY stated
in ITEM 2. of the DECLARATIONS for the applicable INSURING CLAUSE, the COMPANY’S liability for court costs and attorney’s
fees incurred in defending all or part of such suit or legal proceedings shall be limited to the proportion of such court
costs or attorney’s fees that the amount demanded that would be payable under this Bond after application of the DEDUCTIBLE
AMOUNT, bears to the total amount demanded.
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Amounts paid by the
COMPANY for court costs and attorneys’ fees shall be in addition to the LIMIT OF LIABILITY stated in ITEM 2. of the
DECLARATIONS.
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|
ICAP Bond (5-98)
|
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Form 17-02-1421 (Ed. 5-98)
|
Page 7 of 19
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Conditions and
Limitations
|
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Definitions
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1.
|
As used in this Bond:
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a.
|
Computer System
means a computer and all input, output, processing, storage, off-line media libraries, and communication facilities which are connected to the computer and which are under the control and supervision of the operating system(s) or application(s) software used by the ASSURED.
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b.
|
Counterfeit
means an imitation of an actual valid original which is intended to deceive and be taken as the original.
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c.
|
Custodian
means the institution designated by an
Investment Company
to maintain possession and control of its assets.
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d.
|
Customer
means an individual, corporate, partnership, trust customer, shareholder or subscriber of an
Investment Company
which has a written agreement with the ASSURED for
Voice Initiated Funds Transfer Instruction
.
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e.
|
Employee
means:
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(1)
|
an officer of the
ASSURED,
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(2)
|
a natural person
while in the regular service of the ASSURED at any of the ASSURED’S premises and compensated directly by the ASSURED
through its payroll system and subject to the United States Internal Revenue Service Form W-2 or equivalent income reporting
plans of other countries, and whom the ASSURED has the right to control and direct both as to the result to be accomplished
and details and means by which such result is accomplished in the performance of such service,
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(3)
|
a guest student pursuing
studies or performing duties in any of the ASSURED’S premises,
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(4)
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an attorney retained
by the ASSURED and an employee of such attorney while either is performing legal services for the ASSURED,
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(5)
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a natural person
provided by an employment contractor to perform employee duties for the ASSURED under the ASSURED’S supervision at any
of the ASSURED’S premises,
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(6)
|
an employee of an
institution merged or consolidated with the ASSURED prior to the effective date of this Bond,
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(7)
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a director or trustee
of the ASSURED, but only while performing acts within the scope of the customary and usual duties of any officer or other
employee of the ASSURED or while acting as a member of any committee duly elected or appointed to examine or audit or have
custody of or access to
Property
of the ASSURED, or
|
ICAP Bond (5-98)
|
|
Form 17-02-1421 (Ed. 5-98)
|
Page 8 of 19
|
Conditions
and
Limitations
|
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Definitions
(continued)
|
(8)
|
each natural
person, partnership or corporation authorized by written agreement with the ASSURED to perform services as electronic data
processor of checks or other accounting records related to such checks but only while such person, partnership or corporation
is actually performing such services and not:
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a.
|
creating, preparing, modifying
or maintaining the ASSURED’S computer software or programs, or
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b.
|
acting as transfer agent or in any other agency
capacity in issuing checks, drafts or securities for the ASSURED,
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(9)
|
any partner, officer or employee
of an investment advisor, an underwriter (distributor), a transfer agent or shareholder accounting recordkeeper, or an administrator,
for an
Investment Company
while performing acts coming within the scope of the customary and usual duties of an officer
or employee of an
Investment Company
or acting as a member of any committee duly elected or appointed to examine, audit
or have custody of or access to
Property
of
an Investment Company
.
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The term
Employee
shall not include any
partner, officer or employee of a transfer agent, shareholder accounting recordkeeper or administrator:
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a.
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which is not an “affiliated
person” (as defined in Section 2(a) of the Investment Company Act of 1940) of an
Investment Company
or of the
investment advisor or underwriter (distributor) of such
Investment Company
, or
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b
.
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which is a “bank” (as defined in
Section 2(a) of the Investment Company Act of 1940).
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This Bond does not afford
coverage in favor of the employers of persons as set forth in e. (4), (5) and (8) above, and upon payment to the ASSURED by
the COMPANY resulting directly from
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 ASSURED’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 ASSURED to the COMPANY, and the ASSURED shall execute all papers necessary to secure to the COMPANY the rights
provided for herein.
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Each employer of persons as
set forth in e.(4), (5) and (8) above and the partners, officers and other employees of such employers shall collectively
be deemed to be one person for all the purposes of this Bond; excepting, however, the fifth paragraph of Section 13.
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Independent contractors not specified in e.(4),
(5) or (8) above, intermediaries, agents, brokers or other representatives of the same general character shall not be considered
Employees
.
|
ICAP
Bond (5-98)
|
|
Form 17-02-1421 (Ed. 5-98)
|
Page 9 of 19
|
Conditions
and
Limitations
Definitions
(continued)
|
f.
|
Forgery
means the signing
of the name of another natural person with the intent to deceive but does not mean a signature which consists in whole or
in part of one’s own name, with or without authority, in any capacity for any purpose.
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g.
|
Investment Company
means any investment
company registered under the Investment Company Act of 1940 and listed under the NAME OF ASSURED on the DECLARATIONS.
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h.
|
Items of Deposit
means one or more checks
or drafts drawn upon a financial institution in the United States of America.
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i.
|
Larceny or Embezzlement
means larceny
or embezzlement as defined in Section 37 of the Investment Company Act of 1940.
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j.
|
Property
means money, revenue and other
stamps; securities; including any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of deposit,
certificate of interest or participation in any profit-sharing agreement, collateral trust certificate, preorganization certificate
or subscription, transferable share, investment contract, voting trust certificate, certificate of deposit for a security,
fractional undivided interest in oil, gas, or other mineral rights, any interest or instruments commonly known as a security
under the Investment Company Act of 1940, any other certificate of interest or participation in, temporary or interim certificate
for, receipt for, guarantee of, or warrant or right to subscribe to or purchase any of the foregoing; bills of exchange; acceptances;
checks; withdrawal orders; money orders; travelers’ letters of credit; bills of lading; abstracts of title; insurance
policies, deeds, mortgages on real estate and/or upon chattels and interests therein; assignments of such policies, deeds
or mortgages; other valuable papers, including books of accounts and other records used by the ASSURED in the conduct of its
business (but excluding all electronic data processing records); and, all other instruments similar to or in the nature of
the foregoing in which the ASSURED acquired an interest at the time of the ASSURED’S consolidation or merger with, or
purchase of the principal assets of, a predecessor or which are held by the ASSURED for any purpose or in any capacity and
whether so held gratuitously or not and whether or not the ASSURED is liable therefor.
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k.
|
Relative
means the spouse of an
Employee
or partner of the ASSURED and any unmarried child supported wholly by, or living in the home of, such
Employee
or partner and being related to them by blood, marriage or legal guardianship.
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l.
|
Securities, documents or other written instruments
means original (including original counterparts) negotiable or non-negotiable instruments, or assignments thereof, which
in and of themselves represent an equitable interest, ownership, or debt and which are in the ordinary course of business
transferable by delivery of such instruments with any necessary endorsements or assignments.
|
ICAP
Bond (5-98)
|
|
Form 17-02-1421 (Ed. 5-98)
|
Page 10 of 19
|
Conditions
and
Limitations
Definitions
(continued)
|
m.
|
Subsidiary
means any
organization that, at the inception date of this Bond, is named in the APPLICATION or is created during the BOND PERIOD and
of which more than fifty percent (50%) of the outstanding securities or voting rights representing the present right to vote
for election of directors is owned or controlled by the ASSURED either directly or through one or more of its subsidiaries.
|
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n.
|
Transportation Company
means any organization which provides its own or its leased vehicles for transportation or which provides freight forwarding
or air express services.
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o.
|
Voice Initiated Election
means any election
concerning dividend options available to
Investment Company
shareholders or subscribers which is requested by voice
over the telephone.
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p.
|
Voice Initiated Redemption
means any redemption
of shares issued by an
Investment Company
which is requested by voice over the telephone.
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|
q.
|
Voice Initiated Funds Transfer Instruction
means any
Voice Initiated Redemption
or
Voice Initiated Election
.
|
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|
|
For the purposes of these definitions, the singular includes the plural and the plural includes the singular, unless otherwise indicated.
|
General Exclusions -
Applicable
to All Insuring
|
2.
|
This bond does not directly
or indirectly cover:
|
Clauses
|
a.
|
loss not reported to the COMPANY in writing within
sixty (60) days after termination of this Bond as an entirety;
|
|
b.
|
loss due to riot or civil
commotion outside the United States of America and Canada, or any loss due to military, naval or usurped power, war or insurrection.
This Section 2.b., however, shall not apply to loss which occurs in transit in the circumstances recited in INSURING CLAUSE
3., provided that when such transit was initiated there was no knowledge on the part of any person acting for the ASSURED
of such riot, civil commotion, military, naval or usurped power, war or insurrection;
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|
|
c.
|
loss resulting from the effects of nuclear fission
or fusion or radioactivity;
|
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|
|
d.
|
loss of potential income including, but not limited
to, interest and dividends not realized by the ASSURED or by any customer of the ASSURED;
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|
|
|
e.
|
damages of any type for which the ASSURED is
legally liable, except compensatory damages, but not multiples thereof, arising from a loss covered under this Bond;
|
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|
|
f.
|
costs, fees and expenses incurred by the ASSURED
in establishing the existence of or amount of loss under this Bond, except to the extent covered under INSURING CLAUSE 11.;
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|
|
g.
|
loss resulting from indirect or consequential
loss of any nature;
|
ICAP
Bond (5-98)
|
|
Form 17-02-1421 (Ed. 5-98)
|
Page 11 of 19
|
Conditions
and
Limitations
General Exclusions -
Applicable
to All Insuring
Clauses
(continued)
|
h.
|
loss resulting from dishonest acts by any member of the Board of Directors or Board of Trustees of the ASSURED who is not an
Employee
, acting alone or in collusion with others;
|
i.
|
loss, or that part of any
loss, resulting solely from any violation by the ASSURED or by any
Employee
:
|
|
|
(1) of any law regulating:
|
|
a.
|
the issuance, purchase or sale of securities,
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|
b.
|
securities transactions on security or commodity
exchanges or the over the counter market,
|
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|
|
c.
|
investment companies,
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|
|
|
d.
|
investment advisors, or
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|
(2) of
any rule or regulation made pursuant to any such law; or
|
|
j.
|
loss of confidential information, material or
data;
|
|
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|
|
k.
|
loss resulting from voice requests or instructions
received over the telephone, provided however, this Section 2.k. shall not apply to INSURING CLAUSE 7. or 9.
|
Specific Exclusions -
Applicable
To All Insuring
|
3.
|
This Bond does not directly
or indirectly cover:
|
Clauses
Except Insuring
Clause 1.
|
a.
|
loss caused by an
Employee
,
provided, however, this Section 3.a. shall not apply to loss covered under INSURING CLAUSE 2. or 3. which results directly
from misplacement, mysterious unexplainable disappearance, or damage or destruction of
Property
;
|
|
|
|
|
b.
|
loss through the surrender of property away from
premises of the ASSURED as a result of a threat:
|
|
(1)
|
to do bodily harm to any natural
person, except loss of
Property
in transit in the custody of any person acting as messenger of the ASSURED, provided
that when such transit was initiated there was no knowledge by the ASSURED of any such threat, and provided further that this
Section 3.b. shall not apply to INSURING CLAUSE 7., or
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|
|
(2)
|
to do damage to the premises or
Property
of the ASSURED;
|
|
c.
|
loss resulting from payments
made or withdrawals from any account involving erroneous credits to such account;
|
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|
|
|
d.
|
loss involving
Items of Deposit
which
are not finally paid for any reason provided however, that this Section 3.d. shall not apply to INSURING CLAUSE 10.;
|
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|
|
e.
|
loss of property while in the mail;
|
ICAP
Bond (5-98)
|
|
Form 17-02-1421 (Ed. 5-98)
|
Page 12 of 19
|
Conditions
and
Limitations
Specific
Exclusions - Applicable To All Insuring Clauses Except Insuring Clause 1.
(continued)
|
f.
|
loss
resulting from the failure for any reason of a financial or depository institution, its receiver or other liquidator to pay
or deliver funds or other
Property
to the ASSURED provided further that this Section 3.f. shall not apply to loss of
Property
resulting directly from robbery, burglary, misplacement, mysterious unexplainable disappearance, damage, destruction
or removal from the possession, custody or control of the ASSURED.
|
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|
g.
|
loss of
Property
while in the custody of a
Transportation Company
, provided however, that this Section 3.g. shall not apply to INSURING
CLAUSE 3.;
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|
h.
|
loss resulting from
entries or changes made by a natural person with authorized access to a
Computer System
who acts in good faith on instructions,
unless such instructions are given to that person by a software contractor or its partner, officer, or employee authorized
by the ASSURED to design, develop, prepare, supply, service, write or implement programs for the ASSURED’s
Computer
System
; or
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|
i.
|
loss resulting directly
or indirectly from the input of data into a
Computer System
terminal, either on the premises of the customer of the
ASSURED or under the control of such a customer, by a customer or other person who had authorized access to the customer’s
authentication mechanism.
|
Specific Exclusions
- Applicable To All Insuring Clauses Except Insuring Clauses 1., 4., And 5.
|
4.
|
This
bond does not directly or indirectly cover:
|
|
|
|
a.
|
loss
resulting from the complete or partial non-payment of or default on any loan whether such loan was procured in good faith
or through trick, artifice, fraud or false pretenses; provided, however, this Section 4.a. shall not apply to INSURING CLAUSE
8.;
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|
b.
|
loss resulting from
forgery or any alteration;
|
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|
|
c.
|
loss involving a
counterfeit provided, however, this Section 4.c. shall not apply to INSURING CLAUSE 5. or 6.
|
Limit Of Liability/Non-
Reduction And Non- Accumulation Of Liability
|
5.
|
At all
times prior to termination of this Bond, this Bond shall continue in force for the limit stated in the applicable sections
of ITEM 2. of the DECLARATIONS, notwithstanding any previous loss for which the COMPANY may have paid or be liable to pay
under this Bond provided, however, that the liability of the COMPANY under this Bond with respect to all loss resulting from:
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|
|
|
|
a.
|
any one
act of burglary, robbery or hold-up, or attempt thereat, in which no
Employee
is concerned or implicated, or
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|
|
b.
|
any one unintentional
or negligent act on the part of any one person resulting in damage to or destruction or misplacement of
Property
, or
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|
|
|
|
c.
|
all acts, other than
those specified in a. above, of any one person, or
|
ICAP
Bond (5-98)
|
|
Form
17-02-1421 (Ed. 5-98)
|
Page
13 of 19
|
Conditions
and
Limitations
Limit
Of Liability/Non- Reduction And Non- Accumulation Of Liability
(continued)
|
d.
|
any one
casualty or event other than those specified in a., b., or c. above,
|
|
|
shall
be deemed to be one loss and shall be limited to the applicable LIMIT OF LIABILITY stated in ITEM 2. 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.
|
|
|
|
All acts,
as specified in c. above, of any one person which
|
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|
|
i.
|
directly or indirectly
aid in any way wrongful acts of any other person or persons, or
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|
ii.
|
permit the continuation
of wrongful acts of any other person or persons
|
|
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|
whether
such acts are committed with or without the knowledge of the wrongful acts of the person so aided, and whether such acts are
committed with or without the intent to aid such other person, shall be deemed to be one loss with the wrongful acts of all
persons so aided.
|
Discovery
|
6.
|
This
Bond applies only to loss first discovered by an officer of the ASSURED during the BOND PERIOD. Discovery occurs at the earlier
of an officer of the ASSURED being aware of:
|
|
|
|
|
|
a.
|
facts
which may subsequently result in a loss of a type covered by this Bond, or
|
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|
|
b.
|
an actual or potential
claim in which it is alleged that the ASSURED is liable to a third party,
|
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|
regardless
of when the act or acts causing or contributing to such loss occurred, even though the amount of loss does not exceed the
applicable DEDUCTIBLE AMOUNT, or the exact amount or details of loss may not then be known.
|
Notice
To Company - Proof - Legal Proceedings Against Company
|
7.
|
a.
|
The ASSURED
shall give the COMPANY notice thereof at the earliest practicable moment, not to exceed sixty (60) days after discovery of
loss, in an amount that is in excess of 50% of the applicable DEDUCTIBLE AMOUNT, as stated in ITEM 2. of the DECLARATIONS.
|
|
|
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|
|
b.
|
The ASSURED shall
furnish to the COMPANY proof of loss, duly sworn to, with full particulars within six (6) months after such discovery.
|
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|
|
c.
|
Securities listed
in a proof of loss shall be identified by certificate or bond numbers, if issued with them.
|
|
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|
|
d.
|
Legal proceedings
for the recovery of any loss under this Bond shall not be brought prior to the expiration of sixty (60) days after the proof
of loss is filed with the COMPANY or after the expiration of twenty-four (24) months from the discovery of such loss.
|
|
|
|
|
|
|
e.
|
This Bond affords
coverage only in favor of the ASSURED. No claim, suit, action or legal proceedings shall be brought under this Bond by anyone
other than the ASSURED.
|
ICAP
Bond (5-98)
|
|
Form
17-02-1421 (Ed. 5-98)
|
Page
14 of 19
|
Conditions
and
Limitations
Notice
To Company - Proof - Legal Proceedings Against Company
(continued)
|
|
f.
|
Proof
of loss involving
Voice Initiated Funds Transfer Instruction
shall include electronic recordings of such instructions.
|
Deductible
Amount
|
8.
|
The COMPANY
shall not be liable under any INSURING CLAUSES of this Bond on account of loss unless the amount of such loss, after deducting
the net amount of all reimbursement and/or recovery obtained or made by the ASSURED, other than from any Bond or policy of
insurance issued by an insurance company and covering such loss, or by the COMPANY on account thereof prior to payment by
the COMPANY of such loss, shall exceed the DEDUCTIBLE AMOUNT set forth in ITEM 3. of the DECLARATIONS, and then for such excess
only, but in no event for more than the applicable LIMITS OF LIABILITY stated in ITEM 2. of the DECLARATIONS.
|
|
|
|
|
|
There shall be no
deductible applicable to any loss under INSURING CLAUSE 1. sustained by any Investment Company.
|
Valuation
|
9.
|
BOOKS
OF ACCOUNT OR OTHER RECORDS
|
|
|
|
|
|
The value of any
loss of
Property
consisting of books of account or other records used by the ASSURED in the conduct of its business
shall be the amount paid by the ASSURED for blank books, blank pages, or other materials which replace the lost books of account
or other records, plus the cost of labor paid by the ASSURED for the actual transcription or copying of data to reproduce
such books of account or other records.
|
|
|
|
|
|
The value of any
loss of
Property
other than books of account or other records used by the ASSURED in the conduct of its business, for
which a claim is made shall be determined by the average market value of such
Property
on the business day immediately
preceding discovery of such loss provided, however, that the value of any
Property
replaced by the ASSURED with the
consent of the COMPANY and prior to the settlement of any claim for such
Property
shall be the actual market value
at the time of replacement.
|
|
|
|
|
|
In the case of a
loss of interim certificates, warrants, rights or other securities, the production of which is necessary to the exercise of
subscription, conversion, redemption or deposit privileges, the value of them shall be the market value of such privileges
immediately preceding their expiration if said loss 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.
|
|
|
|
|
|
OTHER PROPERTY
|
|
|
|
|
|
The value of any
loss of
Property
, other than as stated above, shall be the actual cash value or the cost of repairing or replacing
such
Property
with
Property
of like quality and value, whichever is less.
|
|
|
|
ICAP
Bond (5-98)
|
|
Form
17-02-1421 (Ed. 5-98)
|
Page
15 of 19
|
Conditions
and
Limitations
(continued)
Securities
Settlement
|
10.
|
In the event of a loss of securities covered under this Bond, the COMPANY may, at its sole discretion, purchase replacement securities, tender the value of the securities in money, or issue its indemnity to effect replacement securities.
|
|
|
|
|
|
|
The indemnity required from the ASSURED under the terms of this Section against all loss, cost or expense arising from the replacement of securities by the COMPANY’S indemnity shall be:
|
|
|
|
|
|
|
a.
|
for securities having
a value less than or equal to the applicable DEDUCTIBLE AMOUNT - one hundred (100%) percent;
|
|
|
|
|
|
|
b.
|
for securities having
a value in excess of the DEDUCTIBLE AMOUNT but within the applicable LIMIT OF LIABILITY - the percentage that the DEDUCTIBLE
AMOUNT bears to the value of the securities;
|
|
|
|
|
|
|
c.
|
for securities having
a value greater than the applicable LIMIT OF LIABILITY - the percentage that the DEDUCTIBLE AMOUNT and portion in excess of
the applicable LIMIT OF LIABILITY bears to the value of the securities.
|
|
|
|
|
|
|
The value referred to in Section 10.a., b., and c. is the value in accordance with Section 9, Valuation, regardless of the value of such securities at the time the loss under the COMPANY’S indemnity is sustained.
|
|
|
|
|
|
|
The COMPANY is not required to issue its indemnity for any portion of a loss of securities which is not covered by this Bond; however, the COMPANY may do so as a courtesy to the ASSURED and at its sole discretion.
|
|
|
|
|
|
|
The ASSURED shall pay the proportion of the Company’s premium charge for the Company’s indemnity as set forth in Section 10.a., b., and c. No portion of the LIMIT OF LIABILITY shall be used as payment of premium for any indemnity purchased by the ASSURED to obtain replacement securities.
|
Subrogation
- Assignment – Recovery
|
11.
|
In the event of a payment under this Bond, the COMPANY shall be subrogated to all of the ASSURED’S rights of recovery against any person or entity to the extent of such payment. On request, the ASSURED shall deliver to the COMPANY an assignment of the ASSURED’S rights, title and interest and causes of action against any person or entity to the extent of such payment.
|
|
|
|
|
|
|
Recoveries, whether effected by the COMPANY or by the ASSURED, shall be applied net of the expense of such recovery in the following order:
|
|
|
|
|
|
|
a.
|
first, to the satisfaction
of the ASSURED’S loss which would otherwise have been paid but for the fact that it is in excess of the applicable LIMIT
OF LIABILITY,
|
|
|
|
|
|
|
b.
|
second, to the COMPANY
in satisfaction of amounts paid in settlement of the ASSURED’S claim,
|
|
|
|
|
|
|
c.
|
third, to the ASSURED
in satisfaction of the applicable DEDUCTIBLE AMOUNT, and
|
ICAP
Bond (5-98)
|
|
Form
17-02-1421 (Ed. 5-98)
|
Page
16 of 19
|
Conditions and
Limitations
Subrogation
- Assignment –
Recovery
|
|
|
|
d.
|
fourth, to the ASSURED in satisfaction of any loss suffered by the ASSURED which was not covered under this Bond.
|
(continued)
|
|
|
|
Recovery from reinsurance or indemnity of the COMPANY shall not be deemed a recovery under this section.
|
|
|
|
|
|
|
Cooperation Of Assured
|
|
12.
|
|
At the COMPANY’S request and at reasonable times and places designated by the COMPANY, the ASSURED shall:
|
|
|
|
|
|
|
|
|
|
|
a.
|
submit to examination by the COMPANY and subscribe to the same under oath,
|
|
|
|
|
|
|
|
|
|
|
b.
|
produce for the COMPANY’S examination all pertinent records, and
|
|
|
|
|
|
|
|
|
|
|
c.
|
cooperate with the COMPANY in all matters pertaining to the loss.
|
|
|
|
|
|
|
|
|
|
|
The ASSURED shall execute all papers and render assistance to secure to the COMPANY the rights and causes of action provided for under this Bond. The ASSURED shall do nothing after loss to prejudice such rights or causes of action.
|
|
|
|
|
|
|
Termination
|
|
13.
|
|
If the Bond is for a sole ASSURED, it shall not be terminated unless written notice shall have been given by the acting party to the affected party and to the Securities and Exchange Commission, Washington, D.C., not less than sixty (60) days prior to the effective date of such termination.
|
|
|
|
|
|
|
|
|
|
|
If the Bond is for a joint ASSURED, it shall not be terminated unless written
notice shall have been given by the acting party to the affected party, and by the COMPANY to all ASSURED
Investment Companies
and to the Securities and Exchange Commission, Washington, D.C., not less than sixty (60) days prior to the effective
date of such termination.
|
|
|
|
|
|
|
|
|
|
|
This Bond will terminate as to any one ASSURED, other than an
Investment Company
:
|
|
|
|
|
|
|
|
|
|
|
a.
|
immediately on the taking over of such ASSURED by a receiver or other liquidator or by State or Federal officials, or
|
|
|
|
|
|
|
|
|
|
|
b.
|
immediately on the filing of a petition under any State or Federal statute relative to bankruptcy or reorganization of the ASSURED, or assignment for the benefit of creditors of the ASSURED, or
|
|
|
|
|
|
|
|
|
|
|
c.
|
immediately upon such ASSURED ceasing to exist, whether through merger into another entity, disposition of all of its assets or otherwise.
|
|
|
|
|
|
|
|
|
|
|
The COMPANY shall refund the unearned premium computed at short rates in accordance with the standard short rate cancellation tables if terminated by the ASSURED or pro rata if terminated for any other reason.
|
ICAP
Bond (5-98)
|
|
Form 17-02-1421 (Ed. 5-98)
|
Page 17 of 19
|
Conditions and
Limitations
Termination
(continued)
|
|
|
|
If any partner, director, trustee, or officer or supervisory employee of an ASSURED
not acting in collusion with an
Employee
learns of any dishonest act committed by such
Employee
at any time,
whether in the employment of the ASSURED or otherwise, whether or not such act is of the type covered under this Bond, and
whether against the ASSURED or any other person or entity, the ASSURED:
|
|
|
|
|
|
|
|
|
|
|
a.
|
shall immediately remove such
Employee
from a position that would enable such
Employee
to cause the ASSURED to suffer a loss covered by this Bond; and
|
|
|
|
|
|
|
|
|
|
|
b.
|
within forty-eight (48) hours of learning that an
Employee
has committed any dishonest
act, shall notify the COMPANY, of such action and provide full particulars of such dishonest act.
|
|
|
|
|
|
|
|
|
|
|
The COMPANY may terminate coverage as respects any
Employee
sixty (60)
days after written notice is received by each ASSURED
Investment Company
and the Securities and Exchange Commission,
Washington, D.C. of its desire to terminate this Bond as to such
Employee
.
|
|
|
|
|
|
|
Other Insurance
|
|
14.
|
|
Coverage under this Bond shall apply only as excess over any valid and collectible insurance, indemnity or suretyship obtained by or on behalf of:
|
|
|
|
|
|
|
|
|
|
|
a.
|
the ASSURED,
|
|
|
|
|
|
|
|
|
|
|
b.
|
a
Transportation Company
, or
|
|
|
|
|
|
|
|
|
|
|
c.
|
another entity on whose premises the loss occurred or which employed the person causing the
loss or engaged the messenger conveying the
Property
involved.
|
|
|
|
|
|
|
Conformity
|
|
15.
|
|
If any limitation within this Bond is prohibited by any law controlling this Bond’s construction, such limitation shall be deemed to be amended so as to equal the minimum period of limitation provided by such law.
|
|
|
|
|
|
|
Change or Modification
|
|
16.
|
|
This Bond or any instrument amending or affecting this Bond may not be changed or modified orally. No change in or modification of this Bond shall be effective except when made by written endorsement to this Bond signed by an authorized representative of the COMPANY.
|
|
|
|
|
|
|
|
|
|
|
If this Bond is for a sole ASSURED, no change or modification which would adversely affect the rights of the ASSURED shall be effective prior to sixty (60) days after written notice has been furnished to the Securities and Exchange Commission, Washington, D.C., by the acting party.
|
ICAP
Bond (5-98)
|
|
Form 17-02-1421 (Ed. 5-98)
|
Page 18 of 19
|
Conditions And
Limitations
Change
or Modification
(continued)
|
If
this Bond is for a joint ASSURED, no charge or modification which would adversely affect the rights of the ASSURED shall be
effective prior to sixty (60) days after written notice has been furnished to all insured
Investment Companies
and
to the Securities and Exchange Commission, Washington, D.C., by the COMPANY.
|
ICAP
Bond (5-98)
|
|
Form 17-02-1421 (Ed. 5-98)
|
Page 19 of 19
|
|
ENDORSEMENT/RIDER
|
Effective date of
|
|
|
this endorsement/rider: April 4,
2018
|
FEDERAL INSURANCE COMPANY
|
|
|
|
|
|
Endorsement/Rider No.
|
1
|
|
|
|
|
|
|
|
|
To be attached to and
|
|
|
|
|
form a part of Bond No.
|
82473060
|
|
|
|
|
|
Issued to: CORPORATE CAPITAL
TRUST, INC.
|
|
|
|
DELETING
VALUATION-OTHER PROPERTY AND AMENDING CHANGE OR MODIFICATION ENDORSEMENT
In
consideration of the premium charged, it is agreed that this Bond is amended as follows:
|
1.
|
The
paragraph titled Other Property in Section 9, Valuation, is deleted in its entirety.
|
|
2.
|
The
third paragraph in Section 16, Change or Modification, is deleted in its entirety and replaced with the following:
|
If
this Bond is for a joint ASSURED, no change or modification which would adversely affect the rights of the ASSURED shall be effective
prior to sixty (60) days after written notice has been furnished to all insured
Investment Companies
and the Securities
and Exchange Commission, Washington, D.C., by the COMPANY.
The
title and any headings in this endorsement/rider are solely for convenience and form no part of the terms and conditions of coverage.
All
other terms, conditions and limitations of this Bond shall remain unchanged.
|
|
|
|
|
|
|
|
Authorized Representative
|
|
|
|
17-02-2437 (12/2006) rev.
|
Page 1
|
|
|
ENDORSEMENT/RIDER
|
Effective date of
|
|
|
this endorsement/rider: April 4,
2018
|
FEDERAL INSURANCE COMPANY
|
|
|
|
|
|
Endorsement/Rider No.
|
2
|
|
|
|
|
|
|
|
|
To be attached to and
|
|
|
|
|
form a part of Bond No.
|
82473060
|
|
|
|
|
|
Issued to: CORPORATE CAPITAL
TRUST, INC.
|
|
|
|
AMEND
DISCOVERY AND NOTICE ENDORSEMENT
In
consideration of the premium charged, it is agreed that this Bond is amended as follows:
|
(1)
|
Section
6., Discovery, is deleted in its entirety and replaced it with the following:
|
Discovery
This
Bond applies only to loss first discovered by the Chief Financial Officer, Chief Executive Officer or head of Audit of the ASSURED
during the BOND PERIOD. Discovery occurs at the earlier of the Chief Financial Officer, Chief Executive Officer or head of Audit
of the ASSURED being aware of:
|
a.
|
facts
which may subsequently result in a loss of a type covered by this Bond, or
|
|
b.
|
an
actual or potential claim in which it is alleged that the ASSURED is liable to a third
party,
|
regardless
of when the act or acts causing or contributing to such loss occurred, even though the amount of loss does not exceed the applicable
DEDUCTIBLE AMOUNT, or the exact amount or details of loss may not then be known.
|
(2)
|
Section
7., Notice to Company-Proof-Legal Proceedings Against Company, is amended by deleting
paragraph a. and replacing it with the following:
|
|
a.
|
The
ASSURED shall give the COMPANY notice thereof at the earliest practicable moment, not
to exceed ninety (90) days after discovery of loss by Chief Financial Officer, Chief
Executive Officer or head of Audit of the ASSURED, in an amount that is in excess of
fifty percent (50%) of the applicable DEDUCTIBLE AMOUNT, as stated in ITEM 2. of the
DECLARATIONS.
|
The
title and any headings in this endorsement/rider are solely for convenience and form no part of the terms and conditions of coverage.
All other terms, conditions and limitations of
this Bond shall remain unchanged.
|
|
|
|
|
|
|
|
Authorized Representative
|
|
|
|
14-02-14521 (08/2008)
|
Page 1
|
|
|
ENDORSEMENT/RIDER
|
Effective date of
|
|
|
this endorsement/rider: April 4,
2018
|
FEDERAL INSURANCE COMPANY
|
|
|
|
|
|
Endorsement/Rider No.
|
3
|
|
|
|
|
|
|
|
|
To be attached to and
|
|
|
|
|
form a part of Bond No.
|
82473060
|
|
|
|
|
|
Issued to: CORPORATE CAPITAL
TRUST, INC.
|
|
|
|
AUTOMATIC
INCREASE IN LIMITS ENDORSEMENT
In
consideration of the premium charged, it is agreed that GENERAL AGREEMENTS, Section C. Additional Offices Or Employees-Consolidation,
Merger Or Purchase Or Acquisition Of Assets Or Liabilities-Notice To Company, is amended by adding the following subsection:
Automatic
Increase in Limits for Investment Companies
If
an increase in bonding limits is required pursuant to rule 17g-1 of the Investment Company Act of 1940 (“the Act”),
due to:
|
(i)
|
the
creation of a new
Investment Company
, other than by consolidation or merger with,
or purchase or acquisition of assets or liabilities of, another institution; or
|
|
(ii)
|
an
increase in asset size of current
Investment Companies
covered under this Bond,
|
then
the minimum required increase in limits shall take place automatically without payment of additional premium for the remainder
of the BOND PERIOD.
The
title and any headings in this endorsement/rider are solely for convenience and form no part of the terms and conditions of coverage.
All
other terms, conditions and limitations of this Bond shall remain unchanged.
|
|
|
|
|
|
|
|
Authorized Representative
|
14-02-14098 (04/2008)
|
Page 1
|
|
|
ENDORSEMENT/RIDER
|
Effective date of
|
|
|
this endorsement/rider: April 4,
2018
|
FEDERAL INSURANCE COMPANY
|
|
|
|
|
|
Endorsement/Rider No.
|
4
|
|
|
|
|
|
|
|
|
To be attached to and
|
|
|
|
|
form a part of Bond No.
|
82473060
|
|
|
|
|
|
Issued to: CORPORATE CAPITAL
TRUST, INC.
|
|
|
|
FRAUDULENT
TRANSFER INSTRUCTIONS ENDORSEMENT
(For
use with the ICAP bond)
In
consideration of the premium charged, it is agreed that this bond is amended as follows:
|
(1)
|
The
following Insuring Clause is added:
|
FRAUDULENT
TRANSFER INSTRUCTIONS
Loss
resulting directly from the ASSURED having, in good faith, transferred money on deposit in a
Customer’s
account,
or a
Customer’s Certificated Security
or
Uncertificated Security
, in reliance upon a fraudulent instruction
transmitted to the ASSURED via telefacsimile, telephone or electronic mail; provided, however, that:
|
A.
|
the
fraudulent instruction purports, and reasonably appears, to have originated from:
|
|
ii.
|
an
Employee
acting on instructions of such
Customer
, or
|
|
iii.
|
another
financial institution acting on behalf of such
Customer
with authority to make
such instructions; and
|
|
B.
|
the
sender of the fraudulent instruction verified the instruction with the password, PIN,
or other security code of such
Customer
; and
|
|
C.
|
the
sender was not, in fact, such
Customer
, was not authorized to act on behalf of
such
Customer
, and was not an
Employee
; and
|
|
D.
|
the
instruction was received by an
Employee
specifically authorized by the ASSURED
to receive and act upon such instructions; and
|
|
E.
|
for
any transfer exceeding the amount set forth in paragraph (8) of this endorsement, the
ASSURED verified the instructions via a call back to a predetermined telephone number
set forth in the ASSURED’s written agreement with such
Customer
or other
verification procedure approved in writing by the COMPANY; and
|
14-02-21330 (10/2014)
|
Page 1
|
|
|
F.
|
the
ASSURED preserved a contemporaneous record of the call back, if any, and the instruction
which verifies use of the authorized password, PIN or other security code of the
Customer
.
|
|
(2)
|
For
the purposes of the coverage afforded by this endorsement, the following terms shall
have the following meanings:
|
Certificated
Security
means a share, participation or other interest in property of, or an enterprise of, the issuer or an obligation of
the issuer, which is:
|
(1)
|
represented
by an instrument issued in bearer or registered form, and
|
|
(2)
|
of
a type commonly dealt in on securities exchanges or markets or commonly recognized in
any area in which it is issued or dealt in as a medium for investment, and
|
|
(3)
|
either
one of a class or series or by its terms divisible into a class or series of shares,
participations, interests or obligations.
|
Customer
means any individual, corporate partnership, proprietor, trust customer, shareholder or subscriber of an
Investment Company
which has a written agreement with the ASSURED authorizing the ASSURED to transfer
Money
on deposit in an account or
Certificated Security
or
Uncertificated Security
in reliance upon instructions transmitted to the ASSURED via telefacsimile,
telephone or electronic mail to transmit the fraudulent instruction.
Uncertificated
Security
means a share, participation or other interest in property of or an enterprise of the issuer or an obligation of
the issuer, which is:
|
(1)
|
not
represented by an instrument and the transfer of which is registered on books maintained
for that purpose by or on behalf of the issuer, and
|
|
(2)
|
of
a type commonly dealt in on securities exchanges or markets, and
|
|
(3)
|
either
one of a class or series or by its terms divisible into a class or series of shares,
participations, interests or obligations.
|
|
(3)
|
It
shall be a condition precedent to coverage under this Insuring Clause that the ASSURED
assert any available claims, offsets or defenses against such
Customer
, any financial
institution or any other party to the transaction.
|
|
(4)
|
Solely
with respect to the Fraudulent Transfer Instruction Insuring Clause, the following Exclusions
are added:
|
|
A.
|
Loss
resulting directly or indirectly from a 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
|
|
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:
|
|
i.
|
each
ACH entry was individually verified via the call back procedure without regard to the
amount of the entry; or
|
|
ii.
|
the
instruction was formatted, encoded or encrypted so that any altercation in the ACH entry
or group of ACH entries would be apparent to the ASSURED.
|
14-02-21330 (10/2014)
|
Page 2
|
|
|
(5)
|
Solely
with respect to the Fraudulent Transfer Instruction Insuring Clause, Exclusion 2.k. is
deleted and replaced with the following:
|
|
k.
|
loss
resulting from voice requests or instructions received over the telephone, provided however,
this Section 2.k. shall not apply to INSURING CLAUSE 7. or 9. or the Fraudulent Transfer
Instruction Insuring Clause.
|
|
(6)
|
For
the purposes of the Fraudulent Transfer Instruction Insuring Clause, 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.
|
|
(7)
|
For
the purposes of the Fraudulent Transfer Instruction Insuring Clause, the Single Loss
Limit of Liability shall be $ 2,500,000. The Deductible Amount shall be
$ 25,000.
|
|
(8)
|
The
amount of any single transfer for which verification via call back will be required is:
$ 25,000.
|
The
title and any headings in this endorsement/rider are solely for convenience and form no part of the terms and conditions of coverage.
All other terms, conditions and limitations of
this Bond shall remain unchanged.
|
|
|
|
|
|
|
|
Authorized Representative
|
14-02-21330 (10/2014)
|
Page 3
|
|
|
FEDERAL INSURANCE COMPANY
|
|
|
|
|
|
Endorsement No.:
|
5
|
|
|
|
|
|
|
|
|
Bond Number:
|
82473060
|
|
|
|
|
|
NAME OF ASSURED: CORPORATE
CAPITAL TRUST, INC.
|
|
|
|
AMENDING
DEFINITION OF EMPLOYEE-FORMER EMPLOYEES ENDORSEMENT
It
is agreed that this Bond is amended by adding to the definition of
Employee
in Section 1., Definitions, the following:
(10)
|
a
natural person who resigns, retires or is terminated from the service of the ASSURED
during the BOND PERIOD provided that this applies:
|
|
a.
|
for
a period of sixty (60) days subsequent to such resignation, retirement or termination
but not beyond the date of expiration or termination of the Bond; and
|
|
b.
|
if
such resignation, retirement or termination has not arisen from or in connection with
the discovery by the ASSURED of any actual or alleged dishonest, fraudulent or criminal
act(s) of such person.
|
This
Endorsement applies to loss discovered after 12:01 a.m. on April 4, 2018.
ALL
OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED.
|
|
|
Date: April 4,
2018
|
By
|
|
|
|
Authorized Representative
|
ICAP Bond
Form 17-02-2335 (Ed. 10-00)
|
|
|
|
FEDERAL INSURANCE COMPANY
|
|
|
|
|
|
Endorsement No.:
|
6
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Bond Number:
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82473060
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NAME OF ASSURED: CORPORATE
CAPITAL TRUST, INC.
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PREAMBLE
– REPRESENTATIONS MADE BY ASSURED ENDORSEMENT
It
is agreed that this Bond is amended as follows:
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1.
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By
deleting in its entirety the Preamble on Page 1 of the Bond and substituting the following:
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“The
COMPANY, in consideration of payment of the required premium and subject to the DECLARATIONS made a part of this Bond and to all
other terms and conditions of this Bond, agrees to pay the ASSURED for:”
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2.
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By
deleting in its entirety General Agreement B., Representations Made By Assured, and substituting
the following:
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“B.
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Representations
Made By Assured
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No
statement made by or on behalf of the ASSURED, whether contained in the APPLICATION or otherwise, shall be deemed to be a warranty
of anything except that the statement is true to the best of the knowledge and behalf of the person making the statement.
Any
intentional misrepresentation, omission, concealment or incorrect statement of a material fact, in the APPLICATION or otherwise,
shall be grounds for recision of this Bond.”
This
Endorsement applies to loss discovered after 12:01 a.m. on April 4, 2018.
ALL
OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED.
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Date: April 4,
2018
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By
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Authorized Representative
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ICAP Bond
Form 17-02-2360 (Ed. 10-00)
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FEDERAL INSURANCE COMPANY
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Endorsement No.
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7
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Bond Number:
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82473060
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NAME OF ASSURED: CORPORATE CAPITAL TRUST, INC.
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REVISE
ITEM 2. ENDORSEMENT
It
is agreed that this Bond is amended by deleting ITEM 2. in its entirety on the DECLARATIONS and substituting the following:
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ITEM 2.
LIMITS OF LIABILITY-DEDUCTIBLE AMOUNTS:
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If "Not Covered"
is inserted below opposite any specified INSURING CLAUSE, such INSURING CLAUSE and any other reference to such INSURING CLAUSE
in this Bond shall be deemed to be deleted.
There shall be no deductible applicable to any loss under INSURING CLAUSE 1
sustained by any Investment Company
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SINGLE LOSS
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DEDUCTIBLE
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INSURING CLAUSE
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LIMIT OF LIABILITY
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AMOUNT
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1
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Employee
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$
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2,500,000
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$
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0
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2
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On Premises
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$
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2,500,000
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$
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25,000
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3
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In Transit
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$
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2,500,000
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$
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25,000
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4
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Forgery or Alteration
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$
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2,500,000
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$
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25,000
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5
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Extended Forgery
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$
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2,500,000
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$
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25,000
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6
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Counterfeit Money
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$
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2,500,000
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$
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25,000
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7
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Threats to Person
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$
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Not Covered
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$
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N/A
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8
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Computer System
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$
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2,500,000
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$
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25,000
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9
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Voice Initiated Funds Transfer Instruction
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$
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2,500,000
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$
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25,000
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10
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Uncollectible Items of Deposit
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$
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100,000
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$
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10,000
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11.
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Audit Expense
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$
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100,000
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$
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10,000
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12.
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Fraudulent Transfer Instructions
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$
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2,500,000
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$
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25,000
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This Endorsement applies to loss discovered after
12:01 a.m. on April 4, 2018.
ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN
UNCHANGED.
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Date:
April 4, 2018
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By
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Authorized Representative
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ICAP
Bond
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Form
17-02-1582 (Ed. 5-98)
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Page 1
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FEDERAL INSURANCE COMPANY
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Endorsement No:
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8
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Bond Number:
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82473060
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NAME OF ASSURED: CORPORATE CAPITAL TRUST, INC.
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PREMIUM ENDORSEMENT
It is agreed that:
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1
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The
premium for this Bond for the period April 4, 2018 to April 4, 2019 is:
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Premium:
Seven thousand dollars and 00/100 ($7,000.00)
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2
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It
is further agreed that this premium is subject to change during this period if amendments are made to this Bond at the request
of the ASSURED.
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This Endorsement applies to loss discovered after
12:01 a.m. on April 4, 2018.
ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED.
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Date:
April 4, 2018
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By
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Authorized Representative
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ICAP
Bond
Form 17-02-0735 (Rev. 1-97)
ENDORSEMENT/RIDER
Effective date of
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this endorsement/rider: April 4, 2018
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FEDERAL INSURANCE COMPANY
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Endorsement/Rider No.
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9
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To be attached to and
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form a part of Bond No.
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82473060
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Issued to: CORPORATE CAPITAL TRUST, INC.
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NAME OF ASSURED ENDORSEMENT
In consideration of the premium charged, it is agreed that the NAME OF ASSURED in the Declarations for
this Bond is deleted and replaced with the following:
NAMED OF ASSURED (including its
Subsidiaries):
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CCT Dublin Funding Designated Activity Company
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CCT Funding LLC; CCT Holdings LLC
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CCT New York Funding, LLC
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CCT SE II LLC; CCT SE III LLC
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CCT SE IV LLC
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CCT SE V LLC
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CCT SE VI LLC
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CCT SE VII LLC
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CCT Tokyo Funding LLC
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FCF LLC
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Halifax Funding LLC
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Paris Funding LLC
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Strategic Credit Opportunities Partners, LLC
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Charlotte Funding LLC
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Jersey City Funding LLC
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CSCOP SE III LLC
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CSCOP SE IV LLC
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T
he title and any headings in
this endorsement/rider are solely for convenience and form no part of the terms and conditions of coverage.
All
other terms, conditions and limitations of this Bond shall remain unchanged.
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Authorized Representative
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14-02-15007 (04/2009)
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Page 1
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ENDORSEMENT/RIDER
Effective date of
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this endorsement/rider: April 4, 2018
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FEDERAL INSURANCE COMPANY
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Endorsement/Rider No.
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10
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To be attached to and
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form a part of Bond No.
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82473060
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Issued to: CORPORATE CAPITAL TRUST, INC.
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PRO RATA CANCELLATION ENDORSEMENT
In consideration
of the premium charged, it is agreed that, notwithstanding anything to the contrary in the
policy
or any endorsements thereto, in the event that this policy is cancelled, any premium refund due to the insured shall be computed
on a pro rata basis. However, the refund may be less than pro rata if the insurer has made a loan to the insured for the purpose
of payment of premiums for this policy.
The cancellation will be effective even if a refund has not been made or offered.
The title and any headings in this endorsement/rider
are solely for convenience and form no part of the terms and conditions of coverage.
All other terms, conditions and limitations of
this Bond shall remain unchanged.
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Authorized Representative
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14-02-19726 (01/2013)
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Page 1
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ENDORSEMENT/RIDER
Effective date of
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this endorsement/rider: April 4, 2018
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FEDERAL INSURANCE COMPANY
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Endorsement/Rider No.
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11
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To be attached to and
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form a part of Policy No.
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82473060
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Issued to: CORPORATE CAPITAL TRUST, INC.
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COMPLIANCE WITH APPLICABLE TRADE SANCTION LAWS
It is agreed that this insurance does not apply
to the extent that trade or economic sanctions or other similar laws or regulations prohibit the coverage provided by this insurance.
The title and any headings in this endorsement/rider
are solely for convenience and form no part of the terms and conditions of coverage.
All other terms, conditions and limitations of
this Policy shall remain unchanged.
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Authorized Representative
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14-02-9228 (2/2010)
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Page 1
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FEDERAL INSURANCE COMPANY
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Endorsement No.:
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12
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Bond Number:
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82473060
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NAME OF ASSURED: CORPORATE CAPITAL TRUST,
INC.
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AMENDING DEFINITION OF EMPLOYEE-CONSULTANT ENDORSEMENT
It is agreed that this bond is amended by adding
to the definition of
Employee
in Section 1., Definitions, the following:
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(11)
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a
consultant retained by the ASSURED and an employee of such consultant while either is
performing consulting services for the ASSURED pursuant to a written contract.
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This Endorsement applies to loss discovered after
12:01 a.m. on April 4, 2018.
ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN
UNCHANGED.
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Date:
April 4, 2018
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By
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Authorized Representative
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ICAP
Bond
Form
17-02-2336 (Ed. 10-00)
POLICYHOLDER
DISCLOSURE NOTICE OF
TERRORISM
INSURANCE COVERAGE
(for
policies with no terrorism exclusion or sublimit)
Insuring Company: FEDERAL INSURANCE
COMPANY
You
are hereby notified that, under the Terrorism Risk Insurance Act (the “Act”), this policy makes available to you insurance
for losses arising out of certain acts of terrorism. Terrorism is defined as any act certified by the Secretary of the Treasury
of the United States, to be an act of terrorism; to be a violent act or an act that is dangerous to human life, property or infrastructure;
to have resulted in damage within the United States, or outside the United States in the case of an air carrier or vessel or the
premises of a United States Mission; and to have been committed by an individual or individuals as part of an effort to coerce
the civilian population of the United States or to influence the policy or affect the conduct of the United States Government
by coercion.
You
should know that the insurance provided by your policy for losses caused by acts of terrorism is partially reimbursed by the United
States under the formula set forth in the Act. Under this formula, the United States pays 85% of covered terrorism losses that
exceed the statutorily established deductible to be paid by the insurance company providing the coverage. Beginning in 2016, the
Federal share will be reduced by 1% per year until it reaches 80%, where it will remain.
However,
if aggregate insured losses attributable to terrorist acts certified under the Act exceed $100 billion in a calendar year, the
Treasury shall not make any payment for any portion of the amount of such losses that exceeds $100 billion.
10-02-1281 (Ed. 03/2015)
If
aggregate insured losses attributable to terrorist acts certified under the Act exceed $100 billion in a calendar year and we
have met our insurer deductible under the Act, we shall not be liable for the payment of any portion of the amount of such
losses that exceeds $100 billion, and in such case insured losses up to that amount are subject to pro rata allocation in
accordance with procedures established by the Secretary of the Treasury.
The
portion of your policy’s annual premium that is attributable to insurance for such acts of terrorism is: $
-0-.
If
you have any questions about this notice, please contact your agent or broker.
10-02-1281 (Ed. 03/2015)
Important
Notice:
The
SEC Requires Proof of Your Fidelity Insurance Policy
Your
company is now required to file an electronic copy of your fidelity insurance coverage (Chubb’s ICAP Bond policy) to the
Securities and Exchange Commission (SEC), according to rules adopted by the SEC on June 12, 2006.
Chubb
is in the process of providing your agent/broker with an electronic copy of your insurance policy as well as instructions on how
to submit this proof of fidelity insurance coverage to the SEC. You can expect to receive this information from your agent/broker
shortly.
The
electronic copy of your policy is provided by Chubb solely as a convenience and does not affect the terms and conditions of coverage
as set forth in the paper policy you receive by mail. The terms and conditions of the policy mailed to you, which are the same
as those set forth in the electronic copy, constitute the entire agreement between your company and Chubb.
If you have any questions, please contact your
agent or broker.
Form 14-02-12160 (ed. 7/2006)
IMPORTANT
NOTICE TO POLICYHOLDERS
All
of the members of the Chubb Group of Insurance companies doing business in the United States (hereinafter “Chubb”)
distribute their products through licensed insurance brokers and agents (“producers”). Detailed information regarding
the types of compensation paid by Chubb to producers on US insurance transactions is available under the Producer Compensation
link located at the bottom of the page at www.chubb.com, or by calling 1-866-588-9478. Additional information may be available
from your producer.
Thank
you for choosing Chubb.
10-02-1295 (ed. 6/2007)
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