ICAP Bond (5-98)
Form 17-02-1421 (Ed. 5-98) Page 17 of 19
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Conditions And Limitations
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Termination
(continued)
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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:
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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
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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.
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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
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Other Insurance
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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:
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a. the ASSURED,
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b. a
Transportation Company
, or
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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.
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Conformity
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15. If any limitation within this Bond is prohibited by any law controlling this Bonds
construction, such limitation shall be deemed to be amended so as to equal the minimum period of limitation provided by such law.
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Change or Modification
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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.
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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.
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ICAP Bond (5-98)
Form 17-02-1421 (Ed. 5-98) Page 18 of 19
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Conditions And Limitations
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Change or Modification
(continued)
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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.
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ICAP Bond (5-98)
Form 17-02-1421 (Ed. 5-98) Page 19 of 19
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ENDORSEMENT/RIDER
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Effective date of
this endorsement/rider: December 15, 2012
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FEDERAL INSURANCE COMPANY
Endorsement/Rider No. 1 DFI
To be attached to and
form a part of Bond No. 81951486
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Issued to: U S GLOBAL INVESTORS FUNDS
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.
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The paragraph titled Other Property in Section 9, Valuation, is deleted in its entirety.
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2.
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The third paragraph in Section 16, Change or Modification, is deleted in its entirety and replaced with the following:
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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.
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/s/ W. Andrew Macan
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/s/ Paul J. Krump
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Secretary
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President
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Countersigned
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/s/ Paul N. Morrissette
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by
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Authorized Representative
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17-02-2437
(12/2006) rev.
Page 1
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FEDERAL INSURANCE COMPANY
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Endorsement No: 2 DFI
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Bond Number: 81951486
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NAME OF ASSURED: U S GLOBAL INVESTORS FUNDS
TEXAS AMENDATORY ENDORSEMENT
It is agreed that this Bond is amended by adding an
additional paragraph to Section 13., Termination, as follows:
The COMPANY may not terminate or refuse to renew this Bond solely
because the ASSURED is an elected official.
This Endorsement applies to loss discovered after 12:01 a.m. on December 15, 2012.
ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED.
Date: December 12, 2012
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/s/ W. Andrew Macan
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/s/ Paul J. Krump
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Secretary
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President
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Countersigned
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/s/ Paul N. Morrissette
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by
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Authorized Representative
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State Amendatory-General Use Form 17-02-1429 (Ed. 1-97)
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FEDERAL INSURANCE COMPANY
Endorsement No.: 3 DFI
Bond Number:
81951486
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NAME OF ASSURED: U S GLOBAL INVESTORS FUNDS
UNAUTHORIZED SIGNATURE ENDORSEMENT
It is agreed that this Bond is amended as follows:
1.
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By adding the following INSURING CLAUSE:
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12.
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Unauthorized Signature
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Loss
resulting directly from the ASSURED having accepted, paid or cashed any check or
Withdrawal Order
made or drawn on or against the account of the ASSUREDS customer which bears the signature or endorsement of one other than a person whose
name and signature is on file with the ASSURED as a signatory on such account.
It shall be a condition precedent to the
ASSUREDS right of recovery under this INSURING CLAUSE that the ASSURED shall have on file signatures of all the persons who are signatories on such account.
2.
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By adding to Section 1., Definitions, the following:
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f.
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Instruction
means a written order to the issuer of an
Uncertificated Security
requesting that the transfer, pledge or release from pledge of the specified
Uncertificated Security
be registered.
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g.
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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:
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(1)
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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
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(2)
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of a type commonly dealt in on securities exchanges or markets, and
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(3)
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either one of a class or series or by its terms divisible into a class or series of shares, participations, interests or obligations.
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ICAP Bond
Form 17-02-5602 (Ed. 10-03) Page 1
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h.
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Withdrawal Order
means a non-negotiable instrument, other than an
Instruction
, signed by a customer of the ASSURED authorizing the ASSURED to debit the
customers account in the amount of funds stated therein.
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This Endorsement applies to loss discovered after 12:01 a.m. on
December 15, 2012.
ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED.
Date: December 12, 2012
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/s/ W. Andrew Macan
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/s/ Paul J. Krump
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Secretary
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President
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Countersigned
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/s/ Paul N. Morrissette
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by
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Authorized Representative
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ICAP Bond
Form 17-02-5602 (Ed. 10-03) Page 2
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FEDERAL INSURANCE COMPANY
Endorsement No.: 4 DFI
Bond Number:
81951486
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NAME OF ASSURED: U S GLOBAL INVESTORS FUNDS
TELEFACSIMILE INSTRUCTION FRAUD ENDORSEMENT
It is agreed that this Bond is amended as
follows:
1.
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By adding the following INSURING CLAUSE:
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13.
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Telefacsimile Instruction
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Loss
resulting directly from the ASSURED having transferred, paid or delivered any funds or other
Property
or established any credit, debited any account or given any value on the faith of any fraudulent instructions sent by a
Customer
,
financial institution or another office of the ASSURED by
Telefacsimile
directly to the ASSURED authorizing or acknowledging the transfer, payment or delivery of funds or
Property
or the establishment of a credit or the debiting of an
account or the giving of value by the ASSURED where such
Telefacsimile
instructions:
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a.
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bear a valid test key exchanged between the ASSURED and a
Customer
or another financial institution with authority to use such test key for
Telefacsimile
instructions in the ordinary course of business, but which test key has been wrongfully obtained by a person who was not authorized to initiate, make, validate or authenticate a test key arrangement, and
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b.
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fraudulently purport to have been sent by such
Customer
or financial institution when such
Telefacsimile
instructions were transmitted without the
knowledge or consent of such
Customer
or financial institution by a person other than such
Customer
or financial institution and which bear a
Forgery
of a signature, provided that the
Telefacsimile
instruction was
verified by a direct call back to an employee of the financial institution, or a person thought by the ASSURED to be the
Customer
, or an employee of another financial institution.
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2.
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By deleting from Section 1., Definitions, the definition of
Customer
in its entirety, and substituting the following:
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d.
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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
or
Telefacsimile
Instruction.
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ICAP Bond
Form 17-02-2367 (Rev. 10-03) Page 1
3.
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By adding to Section 1., Definitions, the following:
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h.
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Telefacsimile
means a system of transmitting written documents by electronic signals over telephone lines to equipment maintained by the ASSURED for the purpose
of reproducing a copy of said document.
Telefacsimile
does not mean electronic communication sent by Telex or similar means of communication, or through an electronic communication system or through an automated clearing house.
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4.
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By adding to Section 3., Specific Exclusions Applicable to All Insuring Clauses Except Insuring Clause 1. the following:
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4a.
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loss resulting directly or indirectly from
Telefacsimile
instructions provided, however, this exclusion shall not apply to this INSURING CLAUSE.
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This Endorsement applies to loss discovered after 12:01 a.m. on December 15, 2012.
ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED.
Date: December 12, 2012
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/s/ W. Andrew Macan
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/s/ Paul J. Krump
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Secretary
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President
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Countersigned
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/s/ Paul N. Morrissette
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by
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Authorized Representative
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ICAP Bond
Form 17-02-2367 (Rev. 10-03) Page 2
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FEDERAL INSURANCE COMPANY
Endorsement No.: 5 DFI
Bond Number:
81951486
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NAME OF ASSURED: U S GLOBAL INVESTORS FUNDS
STOP PAYMENT ORDER OR REFUSAL TO PAY CHECK ENDORSEMENT
It is agreed that this Bond is
amended as follows:
1.
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By adding the following INSURING CLAUSE:
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14.
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Stop Payment Order or Refusal to Pay Check
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Loss resulting directly from the ASSURED being legally liable to pay compensatory damages for:
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a.
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complying or failing to comply with notice from any customer of the ASSURED or any authorized representative of such customer, to stop payment on any check or draft
made or drawn upon or against the ASSURED by such customer or by any authorized representative of such customer, or
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b.
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refusing to pay any check or draft made or drawn upon or against the ASSURED by any customer of the ASSURED or by any authorized representative of such customer.
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2.
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By adding the following Specific Exclusion:
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Section 4.A. Specific Exclusions Applicable to INSURING CLAUSE 14
This Bond does not directly or indirectly cover:
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a.
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liability assumed by the ASSURED by agreement under any contract, unless such liability would have attached to the ASSURED even in the absence of such agreement,
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(1)
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libel, slander, wrongful entry, eviction, defamation, false arrest, false imprisonment, malicious prosecution, assault or battery,
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(2)
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sickness, disease, physical bodily harm, mental or emotional distress or anguish, or death of any person, or
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This Endorsement applies
to loss discovered after 12:01 a.m. on December 15, 2012.
ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED.
Date: December 12, 2012
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/s/ W. Andrew Macan
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/s/ Paul J. Krump
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Secretary
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President
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Countersigned
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/s/ Paul N. Morrissette
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by
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Authorized Representative
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ICAP Bond
Form 17-02-2365 (Ed. 10-00)
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FEDERAL INSURANCE COMPANY
Endorsement No. 6 DFI
Bond Number:
81951486
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NAME OF ASSURED: U S GLOBAL INVESTORS FUNDS
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:
ITEM 2.
LIMITS OF LIABILITY-DEDUCTIBLE AMOUNTS:
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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INSURING CLAUSE
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SINGLE LOSS
LIMIT OF LIABILITY
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DEDUCTIBLE
AMOUNT
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1. Employee
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$
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10,000,000
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$
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N/A
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2. On Premises
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$
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10,000,000
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$
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100,000`
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3. In Transit
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$
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10,000,000
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$
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100,000
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4. Forgery or Alteration
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$
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10,000,000
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$
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100,000
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5. Extended Forgery
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$
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10,000,000
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$
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100,000
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6. Counterfeit Money
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$
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10,000,000
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$
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100,000
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7. 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. Computer System
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$
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10,000,000
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$
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None
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9. Voice Initiated Funds Transfer Instruction
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$
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10,000,000
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$
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100,000
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10. Uncollectible Items of Deposit
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$
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50,000
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$
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5,000
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11. Audit Expense
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$
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50,000
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$
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5,000
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12. Unauthorized Signature
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$
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1,000,000
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$
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25,000
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13. Telefacsimile Instruction
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$
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10,000,000
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$
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100,000
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14. Stop Payment
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$
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50,000
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$
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2,500
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This Endorsement applies to loss discovered after 12:01 a.m. on December 15, 2012.
ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED.
Date: December 12, 2012
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/s/ W. Andrew Macan
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/s/ Paul J. Krump
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Secretary
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President
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Countersigned
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/s/ Paul N. Morrissette
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by
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Authorized Representative
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Effective date of
this endorsement/rider: December 15, 2012
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ENDORSEMENT/RIDER
FEDERAL INSURANCE COMPANY
Endorsement/Rider No. 7 DFI
To be attached to and
form
a part of Bond No. 81951486
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Issued to: U S GLOBAL INVESTORS FUNDS
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 Bond shall remain unchanged.
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/s/ W. Andrew Macan
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/s/ Paul J. Krump
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Secretary
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President
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Countersigned
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/s/ Paul N. Morrissette
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by
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Authorized Representative
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14-02-9228 (02/2010)
Page 1
FEDERAL INSURANCE COMPANY
Endorsement No: 8 DFI
Bond Number: 81951486
NAME OF ASSURED: U S GLOBAL INVESTORS FUNDS
NAME OF ASSURED ENDORSEMENT
It is agreed that the NAME OF ASSURED in the DECLARATIONS is amended to read as follows:
U S
Global Investors Funds
7900 Callaghan Road
San Antonio, TX. 78229
U.S. Global Investors Funds:
Eastern European Fund
Global Emerging Markets
Fund
Holmes Growth Fund
Global Mega
Trends Fund
U. S. Treasury Securities Cash
U. S. Government Securities Savings Fund
Near-Term Tax Free Fund
Tax Free Fund
All American Equity Fund
China Region Fund
Global Resources
Fund
World Precious Minerals Fund
Gold and Precious Metals Fund
This Endorsement
applies to loss discovered after 12:01 a.m. on December 15, 2012.
ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED.
Date: December 12, 2012
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/s/ W. Andrew Macan
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/s/ Paul J. Krump
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Secretary
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President
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Countersigned
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/s/ Paul N. Morrissette
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by
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Authorized Representative
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ICAP Bond
Form 17-02-0949 (Rev. 1-97) Page 1
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 (Chubbs 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)
POLICYHOLDER
DISCLOSURE NOTICE OF
TERRORISM INSURANCE COVERAGE
(for policies with no terrorism exclusion or sublimit)
You are hereby notified that, under the Terrorism Risk Insurance Act (the Act), effective December 26, 2007, 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, in concurrence with the Secretary of State and the Attorney General 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.
However, if aggregate insured losses attributable to terrorist acts certified under the Act exceed
$100 billion in a Program Year (January 1 through December 31), the Treasury shall not make any payment for any portion of the amount of such losses that exceeds
$100 billion.
10-02-1281 (Ed. 1/2003)
If aggregate insured losses attributable to terrorist acts certified under the Act exceed $100 billion in a
Program Year (January 1 through December 31) 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 policys 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. 1/2003)
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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