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- build_trainset gains --radius (chars each side of the cited name) and --out; merge-gap scales with radius. Default 600 unchanged. - trainset_3x + train/val/test_3x.jsonl: same 10,519 triples and same trust split, but ~3x more surrounding prose per triple (~47 -> ~132 tokens/triple, median ~3.7k tokens/sample). Keeps the 100% name-in-text guarantee. - DATASET.md documents both context sizes. Co-Authored-By: Claude Opus 4.8 (1M context) <noreply@anthropic.com>
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{"sample_id": "0000277751:ALL", "cik": "0000277751", "trust_name": "JANUS INVESTMENT FUND", "input_text": "t-Effective Amendment No. 335\nand/or\nREGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 (No. 811-01879)\nAmendment No. 318\n(Check appropriate box or boxes.)\nJANUS INVESTMENT FUND (Exact Name of Registrant as Specified in Charter) 151 Detroit Street, Denver, Colorado 80206-4805 (Address of Principal Executive Offices) (Zip Code) Registrant s Telephone Number, including Area Code: 303-333-3863 Stephanie Grauerholz 151 Detroit Street, Denver, Colorado 80206-4805 (Name and Address of Agent for Service) Approximate Date of Proposed Public Offering: It is proposed that this filing will become effective (check appropriate box):\nimmediately upon filing pursuant to paragraph (b)\non March 4, 2026 at 12:01am Mountain Time pursuant to paragraph (b)\n60 days after filing pursuant to paragraph (a)(1)\non (date) pursuant to paragraph (a)(1)\n75 days after filing pursuant to paragraph (a)(2)\non (date) pursuant to paragraph (a)(2) of rule 485 If appropriate, check the following box:\nThis post-effective amendment designates a new effective date for a previously filed post-effective amendment.\nMarch 4, 2026 Janus Investment Fund Prospectus\nClass D Shares Ticker\nFixed Income\nJanus Henderson Low Duration Multi-Sector Income Fund\nJUCDX\n(formerly named Janus Henderson Absolute Return Income Opportunities Fund)\nEliminate Paper Mail. Set up e-Delivery of prospectuses, annual reports, and statements at janushenderson.com/edelivery. The Securities and Exchange Commission and the Commodity Futures Trading Commission have not approved or disapproved of these securities or passed on the accuracy or adequacy of this Prospectus. Any representation to the contrary is a criminal offense.\nThis Prospectus describes Janus Henderson Low Duration Multi-Sector Income Fund (the Fund ), a portfolio of Janus Investment Fund (the Trust ). Janus Henderson Investors US LLC (the Adviser ) serves as investment adviser to the Fund. The Fund offers multiple classes of shares in order to meet the needs of various types of investors. Only Class D Shares (the Shares ) are offered by this Prospectus. The Shares are offered directly through the Janus Henderson funds to eligible investors by calling 1-800-525-3713 or at janushenderson.com/individual. The Shares are not offered through financial intermediaries. For the purpose of this Prospectus, any reference to the Janus Henderson funds is inclusive of all series of the Trust, collectively, unless otherwise noted in this Prospectus.\nTable of contents\nFund summary\nJanus Henderson Low Duration Multi-Sector Income Fund\n2\nAdditional information about the Fund\nFees and expenses\n10\nAdditional investment strategies and general portfolio policies\n10\nRisks of the Fund\n17\nManagement of the Fund\nInvestment adviser\n30\nManagement expenses\n31\nPortfolio management\n32\nOther information\n34\nDistributions and taxes\n35\nShareholder s manual\nDoing business with Janus Henderson\n38\nPricing of fund shares\n42\nAdministrative services fees\n44\nPayments to financial intermediaries by the Adviser or its affiliates\n44\nPaying for shares\n45\nExchanges\n46\nPayment of redemption proceeds\n47\nExcessive trading\n49\nShareholder services and account policies\n51\nFinancial highlights\n54\nGlossary of investment terms\n55 1 | Janus Investment Fund\nFund summary Janus Henderson Low Duration Multi-Sector Income Fund (formerly Janus Henderson Absolute Return Income Opportunities Fund)\nTicker:\nJUCDX\nClass D Shares\nInvestment Objective Janus Henderson Low Duration Multi-Sector Income Fund seeks to maximize total return and current income, consistent with preservation of capital.\nFees and Expenses of the Fund This tabl\n...\nnt account (in which case you may be taxed upon withdrawal of your investment from such account).\nPayments to broker-dealers and other financial intermediaries With respect to share classes not offered in this Prospectus, the Fund or its distributor (or its affiliates) pay select broker-dealer firms or other financial intermediaries for the sale of Fund shares and related services. These payments may create a conflict of interest by influencing a broker-dealer or other intermediary or a salesperson to recommend the Fund over another investment or to recommend one share class over another. 9 | Janus Henderson Low Duration Multi-Sector Income Fund\nAdditional information about the Fund\nFees and expenses Please refer to the following important information when reviewing the Fees and Expenses of the Fund table in the Fund Summary of the Prospectus. The fees and expenses shown were determined based on average net assets as of the fiscal year ended June 30, 2025. Annual Fund Operating Expenses are paid out of the Fund s assets and include fees for portfolio management and administrative services, including recordkeeping, subaccounting, and other shareholder services, as well as reimbursement to the Adviser of its out-of-pocket costs for services as administrator. You do not pay these fees directly but, as the Example in the Fund Summary shows, these costs are borne indirectly by all shareholders. The Management Fee is the investment advisory fee rate paid by the Fund to the Adviser. Refer to Management Expenses in this Prospectus for additional information with further description in the Statement of Additional Information ( SAI ). Other Expenses include an administrative services fee based on the average daily net assets of Class D Shares for shareholder services provided by Janus Henderson Services US LLC (the Transfer Agent ), the Fund s transfer agent, as detailed below.\nAverage Daily Net Assets of Class D Shares of the Janus Henderson funds\nAdministrative Services Fee\nUnder $40 billion\n0.12%\n$40 billion - $49.9 billion\n0.10%\nOver $49.9 billion\n0.08% include acquired fund fees and expenses, which are indirect expenses the Fund may incur as a result of investing in shares of an underlying fund, to the extent such expenses are less than 0.01%. Acquired Fund refers to any underlying fund (including, but not limited to, exchange-traded funds) in which a fund invests or has invested during the period. To the extent that the Fund invests in Acquired Funds, the Fund s Total Annual Fund Operating Expenses may not correlate to the Ratio of gross expenses to average net assets presented in the Financial Highlights table because that ratio includes only the direct operating expenses incurred by the Fund, not the indirect costs of investing in Acquired Funds. Such amounts are less than 0.01%. may include reimbursement to the Transfer Agent of its out-of-pocket costs for arranging for the provision by third parties of certain servicing to shareholders. include custodian fees and expenses, legal and auditing fees, printing and mailing costs of sending reports and other information to existing shareholders, and Independent Trustees fees and expenses. The Adviser has contractually agreed to waive and/or reimburse the Fund s Total Annual Fund Operating Expenses to a certain limit for at least a one-year period commencing on March 4, 2026. The expense limit is described in the Management Expenses section of this Prospectus. All expenses in the Fund s Fees and Expenses of the Fund table are shown without the effect of expense offset arrangements. Pursuant\n...\nrespect to the portfolio holdings disclosure policies and procedures. Under extraordinary circumstances, the head of the applicable investment unit or a delegate, in consultation with the Fund s CCO, or a delegate, has the authority to waive one or more provisions of, or make exceptions to, the Mutual Fund Holdings Disclosure Policies and Procedures when in the best interest of the Janus Henderson funds and when such waiver or exception is consistent with federal securities laws and applicable fiduciary duties. The frequency with which portfolio holdings are disclosed, as well as the lag time associated with such disclosure, may vary as deemed appropriate under the circumstances. All waivers and exceptions involving any of the Janus Henderson funds shall be pre-approved by the head of the applicable investment unit or a delegate, in consultation with the Fund s CCO or a delegate. 48\nTo the best knowledge of the Janus Henderson funds, as of February 26 , 2026 , the following non-affiliated third parties, which consist of service providers and consultants as described above under ongoing arrangements with the funds and/or the Adviser, receive or have access to nonpublic portfolio holdings information, which may include the full holdings of a fund.\nName\nFrequency\nLag Time\nAcadiaSoft, Inc.\nDaily\nCurrent\nAcuity Knowledge Partners (UK) Limited\nAs needed\n1 day or more\nAdviser Compliance Associates, LLC\nAs needed\nCurrent\nAkkodis, Inc.\nDaily\n1 day\nAlpha Financial Markets Consulting\nMonthly\nCurrent\nBarclays Risk Analytics and Index Solutions Limited\nDaily\nCurrent\nBarra, Inc.\nDaily\nCurrent\nBDO India LLP\nAs needed\nCurrent\nBloomberg Finance L.P.\nDaily\nCurrent\nBoosted.ai\nDaily\nCurrent\nBoston Financial Data Services, Inc.\nAs needed\nCurrent\nBNP Paribas Fund Services LLC\nDaily\nCurrent\nBNP Paribas New York Branch\nDaily\nCurrent\nBNP Paribas Prime Brokerage, Inc.\nDaily\nCurrent\nBNP Paribas Securities Services\nDaily\nCurrent\nBNP Securities Corp.\nDaily\nCurrent\nBrown Brothers Harriman Co.\nDaily\nCurrent\nCallan Associates Inc.\nAs needed\nCurrent\nCharles River Brokerage, LLC\nAs needed\nCurrent\nCharles River Systems, Inc.\nAs needed\nCurrent\nCharles Schwab Co., Inc.\nAs needed\nCurrent\nClearwater Analytics, LLC\nDaily\nCurrent\nCommand Financial Press Corporation\nAs needed\n2 days\nDeloitte Touche LLP\nAs needed\nCurrent\nDeloitte Tax LLP\nAs needed\nCurrent\nDepository Trust Clearing Corp (DTCC)\nDaily\nCurrent\nDTCC Loan/SERV LLC\nDaily\nCurrent\nEagle Investment Systems LLC\nAs needed\nCurrent\nEnvestnet Asset Management Inc.\nAs needed\nCurrent\nErnst Young Global Limited\nSemiannually\n1-2 days\nErnst Young LLP\nAs needed\nCurrent\nFactSet Research Systems, Inc.\nAs needed\nCurrent\nFintech SISU LLC\nDaily\nCurrent\nFIS Financial Systems LLC Wall Street Concepts (WSC)\nAs needed\nCurrent\nFlexTrade LLC\nDaily\nCurrent\nFrank Russell Company\nAs needed\nCurrent\nHedgeFacts\nWeekly\n7 days\nHeterMedia Services Limited\nMonthly\nCurrent\nIHS Markit\nDaily\nCurrent\nInfotech Consulting Inc.\nDaily\nCurrent\nInstitutional Shareholder Services, Inc.\nDaily\nCurrent\nInteractive Data (Europe) Limited\nQuarterly\n10 days\nInteractive Data Pricing and Reference Data LLC\nDaily\nCurrent\nInternational Data Corporation\nDaily\nCurrent\nInvestment Technology Group, Inc.\nDaily\nCurrent\nJPMorgan Chase Bank, National Association\nDaily\nCurrent 49\nName\nFrequency\nLag Time\nKPMG LLP\nAs needed\nCurrent\nLendAmend LLC\nAs needed\nCurrent\nMarkit EDM Limited\nDaily\nCurrent\nMarkit Group Limited\nDaily\nCurrent\nMerrill Communications LLC\nQuarterly\nCurrent\nMoody s Investors Service Inc.\nWeekly\n7 days or more\nNasdaq Inc.\nDaily\nCurrent\nPricewaterhouseCoopers LLP\nAs\n...\nson Distributors are as follows:\nName\nPosition(s) with Janus Henderson Distributors\nBerg Crawford\nChief Accounting Officer C-12\nName\nPosition(s) with Janus Henderson Distributors\nPeter Falconer\nAssistant Secretary\nStephanie Grauerholz\nDeputy General Counsel\nKarlene J. Lacy\nGlobal Head of Tax\nKristin Mariani\nHead of Compliance, North America\nMichelle R. Rosenberg\nGeneral Counsel and Secretary\nSteven Saba\nDirector, Corporate Accounting\nMichael Schweitzer\nPresident\nKevin Rosenfeld\nHead of Privacore Sales\nBretton Utz\nDeputy Chief Compliance Officer Messrs. Crawford, Falconer, Saba, and Schweitzer, and Mses. Lacy and Utz do not hold any positions with the Registrant. Their principal business address is 151 Detroit Street , Denver, Colorado 80206-4805. Mr. Rosenfeld does not hold any positions with the Registrant. His principal business address is 1411 Broadway, Floor 17, New York City, New York 10019-3310 . (c) Not Applicable. ITEM 33. Location of Accounts and Records The accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940, as amended, and the rules promulgated thereunder are maintained by Janus Henderson Investors US LLC, 151 Detroit Street , Denver, Colorado 80206-4805; Iron Mountain, 5151 E. 46th Avenue, Denver, Colorado 80216, 11333 E. 53rd Avenue, Denver, Colorado 80239, 3576 Moline Street , Aurora, Colorado 80010, 3900 Nome Street , Units A J, Denver, Colorado 80239, 3500 North Windsor Drive, Suite 100, Denver, Colorado 80239, and 3344 Moline Street , Aurora Colorado 80010; Janus Henderson Services US LLC, 151 Detroit Street , Denver, Colorado 80206-4805; BNP Paribas, 787 Seventh Avenue, New York, New York 10019; JPMorgan Chase Bank, National Association, 383 Madison Avenue, New York, New York 10179; and BNP Paribas Financial Services, LLC, 720 South Colorado Blvd., Denver, Colorado 80246. Certain records relating to the day-to-day portfolio management of Janus Henderson Low Duration Multi-Sector Income Fund are kept at the offices of Janus Henderson Investors US LLC, 100 Bayview Circle, Suite 670, Newport Beach, California 92660. Certain records relating to the day-to-day portfolio management of Janus Henderson Mid Cap Value Fund, Janus Henderson Small Cap Value Fund, and Janus Henderson Small-Mid Cap Value Fund are kept at the offices of Janus Henderson Investors US LLC, 71 S. Wacker Drive, Suite 3410, Chicago, Illinois 60606. Certain records relating to the day-to-day portfolio management of Janus Henderson Global Real Estate Fund, Janus Henderson Global Equity Income Fund, Janus Henderson European Focus Fund, Janus Henderson Developed World Bond Fund, Janus Henderson Global Sustainable Equity Fund, and Janus Henderson International Dividend Fund are kept at the offices of Janus Henderson Investors UK Limited, 201 Bishopsgate, London EC2M 3AE. ITEM 34. Management Services The Registrant has no management-related service contracts that are not discussed in Part A or Part B of this form. ITEM 35. Undertakings Not applicable. C-13\nSIGNATURES Pursuant to the requirements of the Securities Act of 1933, as amended, and the Investment Company Act of 1940, as amended, the Registrant certifies that it meets all of the requirements for effectiveness of this Amendment to its Registration Statement pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and has duly caused this Amendment to its Registration Statement to be signed on its behalf by the undersigned, thereto duly authorized, in the City of Denver, and State of Colorado, on the 3rd day of March, 2026 .", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["Administrator"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "transferAgent": ["TransferAgent"]}}, "target_triples": [{"s": "fund:Janus_Henderson_Absolute_Return_Income_Opportunities_Fund", "p": "administrator", "o": "org:BNP_Paribas_Financial_Services_LLC", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": 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{"sample_id": "0000711600:ALL", "cik": "0000711600", "trust_name": "DEUTSCHE DWS TAX FREE TRUST", "input_text": "e compared to a required broad-based securities market index and may also be compared to a more narrowly based index that the Advisor believes more closely aligns with the fund s investment strategy. Past performance may not indicate future results. All performance figures below assume that dividends and distributions were reinvested. For more recent performance figures, go to dws.com (the Web site does not form a part of this prospectus) or call the telephone number included in this prospectus.\nCALENDAR YEAR TOTAL RETURNS (%) (Class A)\nThese year-by-year returns do not include sales charges, if any, and would be lower if they did. Returns for other classes were different and are not shown here.\nReturns\nPeriod ending\nBest Quarter\n8.16%\nDecember 31, 2023\nWorst Quarter\n-7.96%\nMarch 31, 2022\nYear-to-Date\n-1.51%\nJune 30, 2025\nAverage Annual Total Returns\n(For periods ended 12/31/2024 expressed as a %)\nAfter-tax returns (which are shown only for Class A and would be different for other classes) reflect the historical highest individual federal income tax rates, but do not reflect any state or local taxes. Your actual after-tax returns may be different. After-tax returns are not relevant to shares held in an IRA, 401(k) or other tax-advantaged investment plan.\nProspectus October 1, 2025\n6\nDWS Strategic High Yield Tax-Free Fund\nClass\nInception\n1\nYear\n5\nYears\n10\nYears\nClass A before tax\n5/1/2000\n2.64\n0.51\n2.03\nAfter tax on distribu-\ntions\n2.64\n0.49\n2.00\nAfter tax on distribu-\ntions and sale of fund\nshares\n3.10\n1.20\n2.40\nClass C before tax\n5/1/2000\n3.75\n0.31\n1.55\nINST Class before tax\n8/19/2002\n5.81\n1.33\n2.57\nClass S before tax\n1/22/1987\n5.81\n1.33\n2.58\nBloomberg Municipal\nBond Index (reflects no\ndeduction for fees,\nexpenses or taxes)\n1.05\n0.99\n2.25\nManagement\nInvestment Advisor\nDWS Investment Management Americas, Inc.\nPortfolio Manager(s)\nMatthew J. Caggiano, CFA, Managing Director and Head of Investment Strategy Fixed Income. Portfolio Manager of the fund. Began managing the fund in 2021.\nChad H. Farrington, CFA, Managing Director and Head of Investment Strategy Fixed Income. Portfolio Manager of the fund. Began managing the fund in 2018.\nMichael J. Generazo, Director and Senior Portfolio Manager Fixed Income. Portfolio Manager of the fund. Began managing the fund in 2018.\nPurchase and Sale of Fund Shares\nMinimum Initial Investment ($)\nNon-IRA\nIRAs\nUGMAs/\nUTMAs\nAutomatic\nInvestment\nPlans\nA, C\n1,000\n500\n1,000\n500\nINST\n1,000,000\nN/A\nN/A\nN/A\nS\n2,500\n1,000\n1,000\n1,000\nFor participants in all group retirement plans, and in certain fee-based and wrap programs approved by the Advisor, there is no minimum initial investment and no minimum additional investment for Class A, C and S shares. For Section 529 college savings plans, there is no minimum initial investment and no minimum additional investment for Class S shares. The minimum initial investment for Class S shares may be waived for eligible intermediaries that have agreements with DDI to offer Class S shares in their brokerage platforms when such Class S shares are held in omnibus accounts on such brokerage platforms. In certain instances, the minimum initial investment may be waived for Institutional Class shares. For more information regarding available Institutional Class investment minimum waivers, see Institutional Class Shares Investment Minimum in the Choosing a Share Class section of the prospectus. There is no minimum additional investment for Institutional Class shares. The minimum additional investment in all other instances is $50.\nTo Place Orders\nMail\nAll Requests\nDWS\nPO Box 219151\n...\nback cover tells you how to do this).\nKeep in mind that there is no assurance that a fund will achieve its investment objective.\nA complete list of each fund s portfolio holdings as of the month-end is posted on dws.com on or after the last day of the following month. More frequent posting of portfolio holdings information may be made from time to time on dws.com . The posted portfolio holdings information is available by fund and generally remains accessible at least until the date on which a fund files its Form N-CSR or publicly available Form N-PORT with the SEC for the period that includes the date as of which the posted information is current. Each fund s Statement of Additional Information includes a description of a fund s policies and procedures with respect to the disclosure of a fund s portfolio holdings.\nWho Manages and Oversees the Funds\nThe Investment Advisor\nDWS Investment Management Americas, Inc. ( DIMA or the Advisor ), with headquarters at 875 Third Avenue, New York, NY 10022, is the investment advisor for each fund. Under the oversight of the Board, the Advisor makes investment decisions, buys and sells securities for each fund and conducts research that leads to these purchase and sale decisions. The Advisor is an indirect, wholly-owned subsidiary of DWS Group GmbH Co. KGaA ( DWS Group ), a separate, publicly-listed financial services firm that is an indirect, majority-owned subsidiary of Deutsche Bank AG. The Advisor and its predecessors\nhave more than 95 years of experience managing mutual funds and provide a full range of global investment advisory services to institutional and retail clients.\nDWS represents the asset management activities conducted by DWS Group or any of its subsidiaries, including DIMA, other affiliated investment advisors and DWS Distributors, Inc. ( DDI or the Distributor ). DWS is a global organization that offers a wide range of investing expertise and resources, including hundreds of portfolio managers and analysts and an office network that reaches the world s major investment centers. This well-resourced global investment platform brings together a wide variety of experience and investment insight across industries, regions, asset classes and investing styles.\nThe Advisor may utilize the resources of its global investment platform to provide investment management services through branch offices or affiliates located outside the US. In some cases, the Advisor may also utilize its branch offices or affiliates located in the US or outside the US to perform certain services, such as trade execution, trade matching and settlement, or various administrative, back-office or other services. To the extent services are performed outside the US, such activity may be subject to both US and foreign regulation. It is possible that the jurisdiction in which the Advisor or its affiliate performs such services may impose restrictions or limitations on portfolio transactions that are different from, and in addition to, those that apply in the US.\nManagement Fee. The Advisor receives a management fee from each fund. Below are the actual rates paid by each fund for the most recent fiscal year, as a percentage of each fund s average daily net assets.\nFund Name\nFee Paid\nDWS Strategic High Yield\nTax-Free Fund\n0.436\n%\nDWS Managed Municipal\nBond Fund\n0.338\n%\nDWS Intermediate Tax-Free\nFund\n0.315\n%\nThe following waivers are currently in effect:\nFor DWS Strategic High Yield Tax-Free Fund, the Advisor has contractually agreed through September 30, 2026 to waive its fees and/or reimburse fund expenses to the exten\n...\nInformation (SAI). This tells you more about a fund s features and policies, including additional risk information. The SAI is incorporated by reference into this document (meaning that it s legally part of this prospectus).\nFor a free copy of the SAI or a shareholder or other fund report or to request other information about a fund, contact DWS at the telephone number or address listed below. SAIs and shareholder and other fund reports are also available through the DWS Web site at dws.com. These documents and other information about each fund (such as fund financial statements) are available from the EDGAR Database on the SEC s Internet site at sec.gov. If you like, you may obtain copies of this information, after paying a duplicating fee, by e-mailing a request to publicinfo@sec.gov. A fund's recent shareholder reports and financial statements are also in the fund's annual and semi-annual filings with the SEC on Form N-CSR, which are available from the EDGAR Database on the SEC's Internet site at sec.gov.\nIn order to reduce the amount of mail you receive and to help reduce expenses, we generally send a single copy of any shareholder report and prospectus to each household. If you do not want the mailing of these documents to be combined with those for other members of your household, please contact your financial representative or call the telephone number provided.\nContact Information\nDWS\nPO Box 219151\nKansas City, MO\n64121-9151\ndws.com\nShareholders:\n(800) 728-3337\nInvestment professionals:\n(800) 621-5027\nDistributor\nDWS Distributors, Inc.\n222 South Riverside Plaza\nChicago, IL 60606-5808\n(800) 621-1148\nSEC File Number\nDeutsche DWS Municipal Trust\nDWS Strategic High Yield Tax-Free Fund\n811-02671\nDeutsche DWS Municipal Trust\nDWS Managed Municipal Bond Fund\n811-02671\nDeutsche DWS Tax Free Trust\nDWS Intermediate Tax-Free Fund\n811-03632\n(10/01/25) DNTFIF-1\nStatement of Additional\nInformation\nOctober 1, 2025\nDEUTSCHE\nDWS MUNICIPAL TRUST\nDWS\nStrategic High Yield Tax-Free Fund\nCLASS/TICKER\nA\nNOTAX\nC\nNOTCX\nINST\nNOTIX\nS\nSHYTX\nDWS\nManaged Municipal Bond Fund\nCLASS/TICKER\nA\nSMLAX\nC\nSMLCX\nINST\nSMLIX\nS\nSCMBX\nDEUTSCHE DWS TAX FREE TRUST\nDWS\nIntermediate Tax-Free Fund\nCLASS/TICKER\nA\nSZMAX\nC\nSZMCX\nINST\nSZMIX\nS\nSCMTX\nThis\ncombined Statement of Additional Information ( SAI )\nis not a prospectus and should be read in conjunction\nwith the prospectus for each fund dated October\n1, 2025 ,\nas supplemented, a copy of which may be obtained\nwithout charge by calling (800) 728-3337; by\nvisiting dws.com\n(the Web site does not form a part of this SAI);\nor from the firm from which this SAI was obtained.\nThis SAI is incorporated by reference into the prospectus.\nPortions\nof the Annual Financial Statements and Other Information\nReport of each fund are incorporated herein by\nreference, and are hereby deemed to be part of this\nSAI. Such reports may also be obtained without charge\nby calling the number provided in the preceding paragraph.\nThis SAI is divided into\ntwo Parts Part\nI and Part II. Part I contains information that\nis specific to each fund, while Part II contains\ninformation that generally applies to each of the funds in the\nDWS funds.\nStatement of Additional Information\n(SAI) Part\nI\nPage\nPart\nI\nI - 1\nDefinitions\nI - 1\nFund\nOrganization\nI - 1\nManagement\nof each Fund\nI - 2\nSales\nCharges and Distribution Plan Payments\nI - 2\nPortfolio\nTransactions, Brokerage Commissions and Securities Lending Activities\nI - 3\nInvestments\nI - 3\nInvestment\nRestrictions\nI - 3\nTaxes\nI - 5\nIndependent\nRegistered Public Accounting Firm, Reports to Shareholders and Financial Statements\nI - 5\nAdditional\nInformation\nI - 5\nPart\nI: Appendix I-A Board\nMember Share Ownership and Control Persons\nI - 6\nPart\nI: Appendix I-B Board\nCommittees and Meetings\nI - 16\nPart\nI: Appendix I-C Board\nMember Compensation\nI - 19\nPart\nI: Appendix I-D Portfolio\nManagement\nI - 20\nPart\nI: Appendix I-E Service\nProvider Compensation\nI - 24\nPart\nI: Appendix I-F Sales\nCharges\nI - 26\nPart\nI: Appendix I-G Distribution\nPlan Payments\nI - 27\nPart\nI: Appendix I-H Portfolio\nTransactions and Brokerage Commissions\nI - 28\nPart\nI: Appendix I-I Investments,\nPractices and Techniques, and Risks\nI - 30\nPart\nI: Appendix I-J Securities\nLending Activities\nI - 32\nPart\nI: Appendix I-K Additional\nInformation\nI - 33\nPart\nII\nII-1\nDetailed\nPart II table of contents precedes page II-1\nPart I\nDefinitions\n1933\nAct\nthe Securities Act of 1933, as amended\n1934\nAct\nthe Securities Exchange Act of 1934, as amended\n1940\nAct\nthe Investment Company Act of 1940, as amended\nCode\nthe Internal Revenue Code of 1986, as amended\nSEC\nthe Securities and Exchange Commission\nDIMA\nor Advisor\nor Administrator\nDWS Investment Management Americas,\nInc., 875 Third Avenue, New York, New York 10022\nDDI\nor Distributor\nDWS Distributors, Inc., 222 South Riverside Plaza, Chicago,\nIllinois 60606\nDSC\nor Transfer\nAgent\nDWS Service Company, 222 South Riverside Plaza, Chicago,\nIllinois 60606\nDWS\nrefers to the asset management activities conducted\nby DWS Group GmbH Co. KGaA or any of its\nsubsidiaries, including the Advisor and other affiliated investment\nadvisors\nDWS\nfunds\nthe US registered investment companies advised by DIMA\nDWS\nGroup\nDWS Group GmbH Co. KGaA, a separate,\npublicly-listed financial services firm that is an indirect,\nmajority-owned subsidiary of Deutsche Bank AG\nBoard\nMembers\nMembers of the Board of Trustees of the Trust\nBoard\nBoard of Trustees of the Trust\nIndependent\nBoard Members\nBoard Members who are not interested persons\n(as defined in the 1940 Act) of the fund, the investment advisor\nor the distributor\nfund\nor series\nDWS Strategic High Yield Tax-Free Fund,\nDWS Managed Municipal Bond Fund, and/or DWS Intermediate Tax-Free\nFund as the context may require\nCustodian\nState Street Bank and Trust Company, One Congress\nStreet, Suite 1, Boston, Massachusetts 02114-2016\nFund\nLegal Counsel\nVedder Price P.C., 222 North LaSalle Street, Chicago,\nIllinois 60601\nTrustee/Director\nLegal Counsel\nRopes Gray LLP, Prudential Tower,\n800 Boylston Street, Boston, Massachusetts 02199\nTrust\nDeutsche DWS Municipal Trust or Deutsche DWS Tax Free\nTrust (each, a Trust )\nBusiness\nDay\nMonday through Friday except holidays\nIndependent\nRegistered Public Accounting Firm\nErnst Young LLP, 200 Clarendon\nStreet, Boston, Massachusetts 02116\nNRSRO\na nationally recognized statistical rating organization\nMoody s\nMoody s Investors Service, Inc., a NRSRO\nFitch\nFitch Ratings, a NRSRO\nFund Organization\nDWS Managed Municipal\nBond Fund and DWS Strategic High Yield Tax Free\nFund are series of Deutsche DWS Municipal Trust,\na Massachusetts business trust established under\na Declaration of Trust dated September 24, 1976,\nas amended from time to time. On February 6, 2006,\nScudder Municipal Trust was renamed DWS Municipal\nTrust, Scudder Managed Municipal Bond Fund was\nrenamed DWS Managed Municipal Bond Fund and Scudder\nHigh Yield Tax-Free Fund was renamed DWS High Yield\nTax Free Fund. On April 1, 2008, DWS High Yield Tax\nFree Fund was renamed DWS Strategic High Yield Tax\nFree Fund. On August 11, 2014, DWS Municipal Trust was\nrenamed Deutsche Municipal Trust, DWS Managed Municipal\nBond Fund was renamed Deutsche Managed Municipal\nBond Fund and DWS Strategic High Yield Tax-Free\nFund was renamed Deutsche Strategic High Yield Tax-Free\nFund. On July 2, 2018, Deutsche Municipal Trust was\nrenamed Deutsche DWS Municipal Trust, Deutsche Managed\nMunicipal Bond Fund was renamed DWS Managed\nMunicipal Bond Fund and Deutsche Strategic High\nYield Tax-Free Fund was renamed DWS Strategic High Yield T\n...\ne fund. Pursuant to the Advisor s procedures,\napproved by the Board, proof of claim forms are\nroutinely filed on behalf of a fund by a third party service\nprovider, with certain limited exceptions. The Board receives\nperiodic reports regarding the implementation of\nthese procedures. Under some circumstances, the Advisor\nmay decide that a fund should not participate in a\nclass action, and instead cause the fund to pursue alternative\nlegal remedies. Where the rights and interests of funds\ndiffer, the Advisor might take different approaches to\nthe same class action claim. In addition, laws and processes\nrelated to class actions outside of the US differ from\nlaws and processes in the US, and the Board and the\nAdvisor will consider whether or not to join certain foreign\nclass actions based on the facts and circumstances of the class\naction.\nFund Accounting Agent.\nFor DWS CROCI\nEquity Dividend Fund and DWS ESG Core Equity Fund, DIMA,\n100 Summer Street, Boston, Massachusetts 02110,\nis responsible for determining net asset value\nper share and maintaining the portfolio and\ngeneral accounting records for a fund pursuant\nto a Fund Accounting Agreement. For its services\nunder a Fund Accounting Agreement, DIMA receives\na fee at the rate set forth in Part II Appendix II-C .\nPursuant to an agreement\nbetween DIMA and SSB, DIMA has delegated certain\nfund accounting functions to SSB under the Fund Accounting Agreement.\nTransfer Agent and Shareholder Service\nAgent . DSC, 222\nSouth Riverside Plaza, Chicago, Illinois 60606, an affiliate\nof the Advisor, is each fund s transfer agent, dividend-paying\nagent and shareholder service agent\nII-6\npursuant\nto a transfer agency and service agreement (Transfer\nAgency and Services Agreement). Pursuant to a\nsub-transfer agency agreement between DSC and SS C GIDS,\nInc. (formerly known as DST Systems, Inc.) (SS C), DSC\nhas delegated certain transfer agent, dividend paying agent\nand shareholder servicing agent functions to SS C. The\ncosts and expenses of such delegation are borne by\nDSC, not by a fund. For its services under the Transfer Agency\nand Services Agreement, DSC receives a fee at the\nrate set forth in Part II Appendix\nII-C . Each fund, or\nthe Advisor (including any affiliate of the Advisor), or both,\nmay pay unaffiliated third parties for providing recordkeeping\nand other administrative services with respect\nto accounts of participants in retirement plans or\nother beneficial owners of shares whose interests are generally\nheld in an omnibus account.\nCustodian .\nUnder its custody agreement with a fund, the\nCustodian (i) maintains separate accounts in the name of\na fund, (ii) holds and transfers portfolio securities on account\nof a fund, (iii) accepts receipts and makes disbursements\nof money on behalf of a fund, and (iv) collects\nand receives all income and other payments and distributions\non account of a fund s portfolio securities. The\nCustodian has entered into agreements with foreign subcustodians\napproved by the Board pursuant to Rule 17f-5 under the 1940 Act.\nIn some instances, the\nCustodian may use Deutsche Bank AG or its affiliates,\nas subcustodian (DB Subcustodian) in certain\ncountries. To the extent a fund holds any securities\nin the countries in which the Custodian uses a\nDB Subcustodian as a subcustodian, those securities will\nbe held by DB Subcustodian as part of a larger omnibus\naccount in the name of the Custodian (Omnibus Account).\nFor its services, DB Subcustodian receives (1) an\nannual fee based on a percentage of the average daily net\nassets of the Omnibus Account and (2) transaction charges\nwi", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["Administrator"], "custodian": ["Administrator"], "seriesOf": ["Trust"], "transferAgent": ["TransferAgent"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:DWS_Intermediate_Tax_Free_Fund", "p": "administrator", "o": "org:DWS_Investment_Management_Americas_Inc", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:DWS_Intermediate_Tax_Free_Fund", "p": "advisedBy", "o": "org:DWS_Investment_Management_Americas_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:DWS_Intermediate_Tax_Free_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:DWS_Intermediate_Tax_Free_Fund", "p": "seriesOf", "o": "trust:DEUTSCHE_DWS_TAX_FREE_TRUST", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:DWS_Intermediate_Tax_Free_Fund", "p": "transferAgent", "o": "org:DWS_Service_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:DWS_Intermediate_Tax_Free_Fund", "p": "transferAgent", "o": "org:SS_C_GIDS_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:DEUTSCHE_DWS_TAX_FREE_TRUST", "p": "underwrittenBy", "o": "org:DWS_Distributors_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> DWS Intermediate Tax-Free Fund <predicate_marker> administrator <object_marker> DWS Investment Management Americas, Inc. <predicate_marker> advisedBy <object_marker> DWS Investment Management Americas, Inc. <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> DEUTSCHE DWS TAX FREE TRUST <predicate_marker> transferAgent <object_marker> DWS Service Company <predicate_marker> transferAgent <object_marker> SS&C GIDS, Inc. <triple_end>\n<triple_start> DEUTSCHE DWS TAX FREE TRUST <predicate_marker> underwrittenBy <object_marker> DWS Distributors, Inc. <triple_end>", "target_serialized_plain": "DWS Intermediate Tax-Free Fund administrator DWS Investment Management Americas, Inc. ; advisedBy DWS Investment Management Americas, Inc. ; custodian State Street Bank and Trust Company ; seriesOf DEUTSCHE DWS TAX FREE TRUST ; transferAgent DWS Service Company , SS&C GIDS, Inc. .\nDEUTSCHE DWS TAX FREE TRUST underwrittenBy DWS Distributors, Inc. .", "stats": {"input_chars": 18362, "n_triples": 7, "text_to_json_ratio": 28.2}}
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{"sample_id": "0000719423:ALL", "cik": "0000719423", "trust_name": "VALIC Co I", "input_text": "of Rule 485\non April 30, 2026, pursuant to paragraph (b) of Rule 485\n60 days after filing pursuant to paragraph (a)(1)\non (date), pursuant to paragraph (a)(1)\n75 days after filing pursuant to paragraph (a)(2)\non (date), pursuant to paragraph (a)(2) of Rule 485\nIf appropriate, check the following box:\nThis post-effective amendment designates a new effective date for a previously filed post-effective amendment. This filing relates solely to Small Cap Core Fund.\nVALIC Company I Prospectus, April 30, 2026\nVALIC Company I ( VC I ) is a mutual fund complex made up of 36 separate funds, one of which is described in this Prospectus (the Fund ).\nTicker Symbol:\nSmall Cap Core Fund (formerly, Small Cap Special Values Fund)\nVSSVX This Prospectus contains information you should know before investing, including information about risks. Please read it before you invest and keep it for future reference. The Securities and Exchange Commission has not approved or disapproved these securities, nor has it determined that this Prospectus is accurate or complete. It is a criminal offense to state otherwise. TABLE OF CONTENTS\nTopic\nPage\nFund Summary: Small Cap Core Fund (formerly, Small Cap Special Values Fund)\n1\nInvestment Objective\n1\nFees and Expenses of the Fund\n1\nPrincipal Investment Strategies of the Fund\n1\nPrincipal Risks of Investing in the Fund\n2\nPerformance Information\n3\nInvestment Adviser\n3\nPurchases and Sales of Fund Shares\n4\nTax Information\n4\nPayments to Broker-Dealers and Other Financial Intermediaries\n4\nAdditional Information About the Fund s Investment Objective, Strategies and Risks\n5\nInvestment Glossary\n7\nInvestment Risks\n7\nAbout the Indices\n15\nAccount Information\n16\nPayments in Connection with Distribution\n17\nManagement\n19\nInvestment Adviser\n19\nInvestment Subadviser\n19\nHow VALIC is Paid for its Services\n21\nAdditional Information About Fund Expenses\n21\nFinancial Highlights\n22\nInterested in Learning More?\n23\nF UND S UMMARY : S MALL C AP C ORE F UND ( FORMERLY , S MALL C AP S PECIAL V ALUES F UND ) Investment Objective The Fund seeks to achieve capital appreciation. Fees and Expenses of the Fund This table describes the fees and expenses that you may pay if you buy, hold and sell shares of the Fund . The table and the example below do not reflect the separate account fees charged in the variable annuity or variable life insurance policy ( Variable Contracts ) in which the Fund is offered. If separate account fees were shown, the Fund s annual operating expenses would be higher. Please see your Variable Contract prospectus for more details on the separate account fees. Annual Fund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment)\nManagement Fees\n0.75 %\nOther Expenses\n0.15 %\nAcquired Fund Fees and Expenses 1\n0.00 %\nTotal Annual Fund Operating Expenses\n0.90 %\nFee Waivers and/or Expense Reimbursements 2,3\n0.11 %\nTotal Annual Fund Operating Expenses After Fee Waivers and/or Expense Reimbursements 2, 3\n0.79 %\n1\nRestated to reflect current fees and expenses.\n2\nThe Fund s investment adviser, The Variable Annuity Life Insurance Company ( VALIC ), has contractually agreed to waive its advisory fee until September 30, 2027 , so that the advisory fee payable by the Fund to VALIC equals 0.64% on the first $500 million of the Fund s average daily net assets and 0.59% on average daily net assets over $500 million. This agreement may be modified or discontinued prior to such time only with the approval of the Board of Directors of VALIC Company I ( VC I ), including a majority of the directors who are not interested persons of VC I as defined in the Investment Company Act of 1940, as amended.\n3\nThe fee table above has been restated to reflect the contractual advisory fee waiver agreement. Expense Example This Example is intended to help you compare the cost of investing in the Fund with the cost of investing in other mutual funds. The Example assumes that you invest $10,000 in the Fund for the time periods indicated and then redeem or hold all of your shares at the end of those periods. The Example also assumes that your investment has a 5% return each year and that the Fund s operating expenses remain the same (except that the Example incorporates any applicable fee waiver and/or expense limitation arrangements for only the first year). The Example does not reflect charges imposed by the Variable Contract. If the separate account fees were reflected, the expenses would be higher. See the Variable Contract prospectus for information on such charges. Although your actual costs may be higher or lower, based on these assumptions and the net expenses shown in the fee table, your costs would be:\n1 Year\n3 Years\n5 Years\n10 Years\n$ 81\n$ 276\n$ 488\n$ 1,098 Portfolio Turnover The Fund pays transaction costs, such as commissions, when it buys and sells securities (or turns over it\n...\ning also involves the risks of delay in receiving additional collateral or possible loss of rights in the collateral if the borrower fails. Another risk of securities lending is the risk that the loaned portfolio securities may not be available to the Fund on a timely basis and the Fund may therefore lose the opportunity to sell the securities at a desirable price. Performance Information The following Risk/Return Bar Chart and Table illustrate the risks of investing in the Fund by showing changes in the Fund s performance from calendar year to calendar year and comparing the Fund s average annual returns to those of the Russell 3000 Index (a broad-based securities market index), the Russell 2000 Index, and the Russell 2000 Value Index. Effective April 30, 2026, the Fund changed its benchmark index from the Russell 2000 Value Index to the Russell 2000 Index, which is relevant to the Fund because it has characteristics similar to the Fund s investment strategies. Fund management believes that the Russell 2000 Index is more representative of the securities in which the Fund invests. The Fund s returns prior to April 30, 2026, as reflected in the bar chart and table, are the returns of the Fund when it followed a different investment objective and different investment strategies under the name, Small Cap Special Values Fund. Fees and expenses incurred at the contract level are not reflected in the bar chart or table. If these amounts were reflected, returns would be less than those shown. Of course, past performance of the Fund is not necessarily an indication of how the Fund will perform in the future. Since the Fund s inception, Wells Capital Management Incorporated ( WellsCap ) served as the Fund s subadviser. In the fourth quarter of 2021, WellsCap changed its name to Allspring Global Investments, LLC ( Allspring ). From inception through September 11, 2009, Putnam Investment Management, LLC ( Putnam ) acted as co subadviser. Dreman Value Management, LLC succeeded Putnam as co subadviser from September 11, 2009, until December 7, 2015. Beginning December 7, 2015, Allspring (formerly WellsCap) served as the Fund s sole subadviser. Effective April 30, 2026, Invesco Advisers, Inc. ( Invesco ) replaced Allspring as the Fund s subadviser.\nDuring the period shown in the bar chart: Highest Quarterly Return: December 31, 2020 28.56 % Lowest Quarterly Return: March 31, 2020 - 33.63 % Year to Date Most Recent Quarter: March 31, 2026 - 0.07 % Average Annual Total Returns (For the periods ended December 31, 2025)\n1 Year\n5 Years\n10 Years\nFund\n3.03 %\n6.57 %\n8.39 %\nRussell 3000 Index (reflects no deduction for fees, expenses or taxes)\n17.15 %\n13.15 %\n14.29 %\nRussell 2000 Index (reflects no deduction for fees, expenses or taxes)\n12.81 %\n6.09 %\n9.62 %\nRussell 2000 Value Index (reflects no deduction for fees, expenses or taxes)\n12.59 %\n8.88 %\n9.27 % Investment Adviser The Fund s investment adviser is VALIC. The Fund is subadvised by Invesco. Portfolio Managers\nName and Title\nPortfolio Manager of the Fund Since\nMatthew P. Ziehl, CFA Portfolio Manager (Co Lead)\n2026\nAdam Weiner Portfolio Manager (Co Lead)\n2026\nJoy Budzinski Portfolio Manager\n2026\nMagnus Krantz Portfolio Manager\n2026\nRaman Vardharaj, CFA Portfolio Manager\n2026\n3 F UND S UMMARY : S MALL C AP C ORE F UND ( FORMERLY , S MALL C AP S PECIAL V ALUES F UND ) Purchases and Sales of Fund Shares Shares of the Fund may only be purchased or redeemed through Variable Contracts offered by the separate accounts of VALIC or other participating life insurance companies and through qualifying retirement plans ( Plans ) and IRAs. Shares of the Fund may be purchased and redeemed each day the New York Stock Exchange is open, at the Fund s net asset value determined after receipt of a request in good order. The Fund does not have any initial or subsequent investment minimums. However, your insurance company may impose investment or account value minimums. The prospectus (or other offering docume\n...\ndvisory fees to Allspring Global Investments, LLC ( Allspring ) for the past three fiscal years.* The percentages and amounts shown in the table do not reflect any fee waivers and/or expense reimbursements.\n2025\n2024\n2023\n% of Net Assets\nDollar Amount\n% of Net Assets\nDollar Amount\n% of Net Assets\nDollar Amount\n0.20%\n$402,971\n0.20%\n$415,176\n0.20%\n$424,715\n62\n*\nFrom inception through April 29, 2026, Allspring (formerly, Wells Capital Management Incorporated) was a subadviser to the Fund. For the fiscal years ended May 31, 2025, 2024 and 2023, with respect to the Fund, VALIC did not waive any advisory fees. The Advisory Agreement requires that VALIC s advisory fee be reduced by any commissions, tender and exchange offer solicitation fees and other fees, or similar payments (less any direct expenses incurred) received by VALIC or its affiliates in connection with the purchase and sale of portfolio investments of the Fund. In this regard, the Advisory Agreement requires VALIC to use its best efforts to recapture tender and exchange solicitation offer fees for the Fund s benefit, and to advise VC I s Board of any other fees, or similar payments that it (or any of its affiliates) may receive in connection with the Fund s portfolio transactions or of other arrangements that may benefit the Fund or VC I. Code of Ethics VC I and VALIC have adopted an Investment Company and Investment Adviser Code of Ethics (the VALIC Code ), which prescribes general rules of conduct and sets forth guidelines with respect to personal securities trading by Access Persons thereof. An Access Person as defined in the VALIC Code generally is (1) any trustee, director, officer, general partner or advisory person of VC I or VALIC, (2) any trustee, director, officer or general partner of the underwriter, Corebridge Capital Services, Inc. ( CCS ), who in the ordinary course of business makes, participates in, or obtains information regarding the purchase or sale of securities for VC I or whose functions or duties as part of the ordinary course of business relate to the making of any recommendation to VC I regarding the purchase or sale of securities, (3) any Supervised Person, as defined below, who has access to non-public information to VALIC s purchase or sale of securities, or non-public information regarding the portfolio holdings of the Fund, (4) any Supervised Person who is involved in making securities recommendations to the Fund, or has access to such recommendations that are non-public, and (5) any other persons designated by the Review Officer (as defined in the VALIC Code) as having access to current trading information. A Supervised Person means VALIC s partners, officers, directors and employees, and any other person who provide advice on behalf of VALIC and is subject to VALIC s supervision and control. The guidelines on personal securities trading relate to: (i) securities being considered for purchase or sale, or purchased or sold, by any investment company advised by VALIC; (ii) initial public offerings; (iii) private placements; (iv) blackout periods; (v) short-term trading profits; and (vi) involvement in outside activities, including but not limited to board memberships of publicly traded companies. Subject to certain restrictions, Access Persons may invest in securities, including securities that may be purchased or held by the Fund. These guidelines are substantially similar to those contained in the Report of the Advisory Group on Personal Investing issued by the Investment Company Institute s Advisory Panel. VALIC reports to the Board on a quarter\n...\nannual rate:\nSubadvisory Fee Rate\n0.375% on the first $50 million 0.350% on the next $50 million 0.325% on assets over $100 million\nThe following table sets forth the subadvisory fees paid to Allspring by VALIC for the past three fiscal years:\n2025\n2024\n2023\n% of Net Assets\nDollar Amount\n% of Net Assets\nDollar Amount\n% of Net Assets\nDollar Amount\n0.55%\n$1,105,942\n0.55%\n$1,130,352\n0.55%\n$1,149,429\n64\nSERVICE AGREEMENTS Administrative Services Agreement VC I has entered into an Administrative Services Agreement ( Administrative Services Agreement ) with VALIC (the Administrator ) on behalf of the Fund to provide certain accounting and administrative services to the Fund. Pursuant to the Administrative Services Agreement, the Administrator provides administrative services to the Board, regulatory reporting, internal legal and compliance services, fund accounting and related portfolio accounting services, all necessary office space, equipment, personnel, compensation and facilities for handling the affairs of the Fund and other services. Without limiting the generality of the foregoing, the Administrator (or its appointed service provider): assists with the preparation of prospectuses, statements of additional information, registration statements, and proxy materials; develops and prepares communications to shareholders, including the annual and semi-annual reports to shareholders; coordinates and supervises the preparation and filing of Fund tax returns; assists with the design, development, and operation of the Fund; prepares the Fund s financial statements; determines the net asset value of the Fund s shares; supervises the Fund s transfer agent with respect to the payment of dividends and other distributions to shareholders; and calculates performance data of the Fund. SunAmerica Asset Management, LLC ( SunAmerica ) located at One World Trade Center, 285 Fulton Street, Suite 49M, New York, NY 10007, performs certain accounting and administrative services for the Fund pursuant to a Sub-Administration Agreement with VALIC (the Sub-Administration Agreement ). These services include, among others, the calculation of Fund expenses and coordination of disbursements, the provision of reporting services to VC I, and support for valuation and pricing. Prior to January 1, 2026, SunAmerica served as the administrator to VC I, on behalf of its series, pursuant to an amended and restated administrative services agreement with VC I (the Prior Administrative Services Agreement ) that was materially identical to the current Administrative Services Agreement. SunAmerica is a registered investment adviser and a wholly-owned subsidiary of Venerable Holdings, Inc. Pursuant to the Administrative Services Agreement, VC I pays the Administrator an annual fee of 0.06% based on average daily net assets plus an accounting basis point fee. 1 These fees are paid directly by the Fund. For the fiscal years ended May 31, 2025, 2024 and 2023, the Fund paid SunAmerica the following administrative services fees under the Prior Administrative Services Agreement:\n2025\n2024\n2023\n$134,232\n$137,362\n$139,792\n1 Annual fee of 6 basis points based upon the Fund s average daily net assets, plus the following Accounting Basis Point Fee:\nAccounting Basis Point Fee (Fund complex)\nNet Assets Per Fund\nBasis Points\nFirst $25 Billion\n0.61\nNext $75 Billion\n0.70\nExcess\n0.50\nAccounting Basis Point Fee is calculated based upon all assets in the series of VC I, other than Funds-of-Funds and Feeder Funds. Prior to January 1, 2026, the Accounting Basis Point Fee was calculated based upon all assets in all registered investment companies managed and/or administered by SunAmerica and VALIC, other than Funds-of-Funds and Feeder Funds. Master Transfer Agency and Service Agreement VC I has entered into a Transfer Agency Agreement (the TA Agreement ) with VALIC Retirement Services Company ( VRSCO ), an affiliate of VALIC located at 2919 Allen Parkway, 8 th Floor, Houston, Texas 77019, pursuant to which VRSCO provides transfer agency services to the Fund, including shareholder servicing and dividend disbursement services.\n65\nFor the fiscal years ended May 31, 2025, 2024 and 2023, the Fund paid VRSCO the following transfer agency fees under the TA Agreement:\n2025\n2024\n2023\n$1,878\n$2,241\n$2,547\n66\nPORTFOLIO MANAGERS Other Accounts The portfolio managers primarily responsible for the day-to-day management of the Fund, as provided in the Prospectus ( Portfolio Managers ), are often engaged in the management of various other accounts. The total number of other accounts managed by each Portfolio Manager (whether managed as part of a team or individually) and the total assets in those accounts, as of December 31, 2025, is provided in the table below. If applicable, the total number of accounts and total assets in accounts that have an advisory fee which is all or partly based on the account s performance is provided in parentheses or in a footnote.\nAdvisers/ Subadviser\nPortfolio Manager\nOther Accounts (As of December 31, 2025)\nRegistered Investment Companies\nPooled Investment Vehicles\nOther Accounts\nNo. of Accounts\nAssets ($ millions)\nNo. of Accounts\nAssets ($ millions)\nNo. of Accounts\nAssets ($ millions)\nInvesco\nMatthew P. Ziehl, CFA Adam Weiner Joy Budzinski Magnus Krantz Raman Vardharaj, CFA\n6 6 7 9 7\n$6,840.1 $6,840.1 $8,531.9 $12,998.3 $10,243.8\n1 1 1 1 1\n$85.3 $85.3 $85.3 $85.3 $85.3\n764 1 764 1 93 1 93 1 93 1\n$390.1 1 $390.1 1 $12.9 1 $12.9 1 $12.9 1\n1 These are accounts of individual investors for which Invesco provides investment advice. Invesco offers separately managed accounts that are managed according to the invest\n...\norm N-1A registration statement filed with the Securities and Exchange Commission on May 1, 2023 (File No. 2-83631).\n(3)\nArticles Supplementary to the Articles of Amendment and Restatement, effective May 1, 2023. Incorporated herein by reference to Post-Effective Amendment No. 113 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on May 1, 2023 (File No. 2-83631).\n(4)\nArticles Supplementary to the Articles of Amendment and Restatement, effective February 8, 2024. Incorporated herein by reference to Post-Effective Amendment No. 116 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on February 22, 2024 (File No. 2-83631).\n(5)\nArticles of Amendment, effective September 29, 2025. Incorporated herein by reference to Post-Effective Amendment No. 124 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on September 26, 2025 (File No. 2-83631).\n(6)\nArticles of Amendment, effective April 30, 2026, are filed herewith.\nb.\nAmended and Restated Bylaws dated October 26, 2021. Incorporated herein by reference to Post-Effective Amendment No. 110 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on December 7, 2021 (File No. 2-83631).\nc.\nNot Applicable.\nd.\n(1)\nInvestment Advisory Agreement between The Variable Annuity Life Insurance Company ( VALIC ) and the Registrant, dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(2)\nFirst Amended and Restated Investment Sub-Advisory Agreement between VALIC and AllianceBernstein L.P. (Dynamic Allocation Fund). Incorporated herein by reference to Post-Effective Amendment No. 124 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on September 26, 2025 (File No. 2-83631).\n(3)\nInvestment Sub-Advisory Agreement between VALIC and American Century Investment Management, Inc. (Small Cap Growth Fund), dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(4)\nFirst Amended and Restated Investment Sub-Advisory Agreement between Registrant and BlackRock (Dividend Value Fund, Emerging Economies Fund, Growth Fund, International Equities Index Fund, International Socially Responsible Fund, Mid Cap Index Fund, Nasdaq-100 Fund, Small Cap Index Fund, Stock Index Fund, Science Technology Fund and U.S. Socially Responsible Fund), dated April 30, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(5)\nInvestment Sub-Advisory Agreement between VALIC and Boston Partners Global Investors, Inc. (Mid Cap Value Fund), dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(6)\nInvestment Sub-Advisory Agreement between VALIC and ClearBridge Investments, LLC (Dividend Value Fund), dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(7)\nInvestment Sub-Advisory Agreement between VALIC and Columbia Management Investment Advisers, LLC (Capital Appreciation Fund and International Value Fund), dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631). 1\n(8)\nInvestment Sub-Advisory Agreement between VALIC and Duff Phelps Investment Management Co. (Global Real Estate Fund), dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(9)\n(a)\nInvestment Sub-Advisory Agreement between VALIC and Franklin Advisers, Inc. (Global Strategy Fund), dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(b)\nInvestment Sub-Subadvisory Agreement between Franklin Advisers, Inc. and Brandywine Global Investment Management, LLC (Global Strategy Fund), dated January 13, 2025. Incorporated herein by reference to Post- Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(10)\nInvestment Sub-Advisory Agreement between VALIC and Goldman Sachs Asset Management, L.P. (International Value Fund, Systematic Core Fund and Systematic Growth Fund), dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(11)\n(a)\nInvestment Sub-Advisory Agreement between VALIC and Invesco Advisers, Inc. (International Opportunities Fund), dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(b)\nAmendment No. 1 to the Investment Sub-Advisory Agreement between VALIC and Invesco Advisers, Inc. (International Opportunities Fund and Small Cap Core Fund), dated April 30, 2026, is filed herewith.\n(12)\nInvestment Sub-Advisory Agreement between VALIC and Janus Henderson Investors US LLC (Mid Cap Strategic Growth Fund), dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(13)\nFirst Amended and Restated Investment Sub-Advisory Agreement between VALIC and J.P. Morgan Investment Management Inc. (Aggressive Allocation Lifestyle Fund, Asset Allocation Fund, Conservative Allocation Lifestyle Fund, Core Bond Fund, Government Securities Fund, Moderate Allocation Lifestyle Fund, Small Cap Value Fund, and Large Cap Core Fund). Incorporated herein by reference to Post-Effective Amendment No. 124 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on September 26, 2025 (File No. 2-83631).\n(14)\nInvestment Sub-Advisory Agreement between VALIC and Massachusetts Financial Services Company (Global Real Estate Fund and Large Cap Core Fund), dated January 13, 2025. Incorporated herein by reference to Post- Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(15)\n(a)\nInvestment Sub-Advisory Agreement between VALIC and Morgan Stanley Investment Management Inc. (International Growth Fund), dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(b)\nInvestment Sub-Subadvisory Agreement between Morgan Stanley Investment Management Inc. and Morgan Stanley Investment Management Company (International Growth Fund), dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(16)\nInvestment Sub-Advisory Agreement between VALIC and PineBridge Investments LLC (Core Bond Fund and International Government Bond Fund), dated January 13, 2025. Incorporated herein by reference to Post- Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(17)\n(a)\nFirst Amended and Restated Investment Sub-Advisory Agreement between VALIC and T. Rowe Price Associates, Inc. (Small Cap Growth Fund and Large Cap core Fund). Incorporated herein by reference to Post-Effective Amendment No. 124 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on September 26, 2025 (File No. 2-83631).\n(b)\nInvestment Sub-Subadvisory Agreement between T. Rowe Price Associates, Inc. and T. Rowe Price Investment Management, Inc. (Small Cap Growth Fund), dated January 13, 2025. Incorporated herein by reference to Post- Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631). 2\n(18)\nInvestment Sub-Advisory Agreement between VALIC and Voya Investment Management Co. LLC (Mid Cap Strategic Growth Fund and Science Technology Fund), dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\n(19)\nInvestment Sub-Advisory Agreement between VALIC and Wellington Management Company LLP (High Yield Bond Fund, Inflation Protected Fund, International Opportunities Fund, Mid Cap Value Fund, Systematic Growth Fund and Systematic Value Fund), dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\ne.\nDistribution Agreement between Registrant and Corebridge Capital Services, Inc., dated January 13, 2025. Incorporated herein by reference to Post-Effective Amendment No. 122 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on April 28, 2025 (File No. 2-83631).\nf.\nNot Applicable.\ng.\n(1)\nCustody Agreement between the Registrant and State Street Bank and Trust Company, effective January 1, 2026. Incorporated herein by reference to Post-Effective Amendment No. 125 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on February 26, 2026 (File No. 2- 83631).\n(2)\n(a)\nSecurities Lending Authorization Agreement between Registrant and State Street Bank and Trust Company, effective December 1, 2008. Incorporated herein by reference to Post-Effective Amendment No. 56 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on September 22, 2009 (File No. 2-83631).\n(b)\nFirst Amendment to Securities Lending Authorization Agreement between Registrant and State Street Bank and Trust Company, dated June 9, 2011. Incorporated herein by reference to Post-Effective Amendment No. 61 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on September 20, 2012 (File No. 2-83631).\n(c)\nSecond Amendment to Securities Lending Authorization Agreement between Registrant and State Street Bank and Trust Company, dated July 15, 2014. Incorporated herein by reference to Post-Effective Amendment No. 69 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on September 23, 2014 (File No. 2-83631).\n(d)\nThird Amendment to Securities Lending Authorization Agreement between Registrant and State Street Bank and Trust Company, dated September 20, 2016. Incorporated herein by reference to Post-Effective Amendment No. 79 to the Registrant s Form N-1A registration statement filed with the Securities and Exchange Commission on March 8, 2018 (File No. 2-83631).\n(e)\nFourth Amendment to Securities Lending Authorization Agreement between Registrant and\n...\nPolicy of $50 million in the aggregate. 6\nSection 3 of the Investment Advisory Agreement (the Agreement ) between the Registrant and VALIC provides that VALIC shall not be liable to the Registrant, or to any shareholder of the Registrant, for any act or omission in rendering services under the Agreement, or for any losses sustained in the purchase, holding or sale of any portfolio security, so long as there has been no willful misfeasance, bad faith, negligence or reckless disregard of obligations or duties on the part of VALIC. ITEM 31. BUSINESS AND OTHER CONNECTIONS OF THE INVESTMENT ADVISER The only employment of a substantial nature of VALIC s directors and officers is with VALIC and its affiliated companies. Reference is also made to the caption Management in the Prospectus which comprises Part A of the Registration Statement, and to the caption Investment Adviser of the Statement of Additional Information which comprises Part B of the Registration Statement. Information concerning business and other connections of VALIC s directors and officers is incorporated herein by reference to VALIC s Form ADV (File No. 801-8138), which is currently on file with the SEC. For each subadviser, reference is made to the caption Management in the Prospectus which comprises Part A of the Registration Statement, and to the caption Investment Subadvisers of the Statement of Additional Information, which comprises Part B of the Registration Statement. Information concerning business and other connections of each subadviser s directors and officers is incorporated herein by reference to such subadviser s Form ADV, as noted below, which is currently on file with the SEC.\nSubadviser\nForm ADV File No.\nAllianceBernstein L.P.\n801-56720\nAmerican Century Investment Management, Inc.\n801-8174\nBlackRock Investment Management, LLC\n801-56972\nBoston Partners Global Investors, Inc.\n801-61786\nBrandywine Global Investment Management, LLC\n801-27792\nClearBridge Investments, LLC\n801-64710\nColumbia Management Investment Advisers, LLC\n801-25943\nDuff Phelps Investment Management Co.\n801-14813\nFranklin Advisers, Inc.\n801-26292\nGoldman Sachs Asset Management, L.P.\n801-37591\nInvesco Advisers, Inc.\n801-33949\nJanus Henderson Investors US LLC\n801-13991\nJ.P. Morgan Investment Management Inc.\n801-21011\nMassachusetts Financial Services Company\n801-17352\nMorgan Stanley Investment Management Inc.\n801-15757\nPineBridge Investments LLC\n801-18759\nT. Rowe Price Associates, Inc.\n801-856\nT. Rowe Price Investment Management, Inc.\n801-121434\nVoya Investment Management Co. LLC\n801-9046\nWellington Management Company LLP\n801-15908 ITEM 32. PRINCIPAL UNDERWRITERS (a) Corebridge Capital Services, Inc. (the Distributor ) acts as distributor and principal underwriter of the Registrant and as principal underwriter for the following investment companies: American General Life Insurance Company Variable Separate Account Variable Annuity Account Five Variable Annuity Account Seven Variable Annuity Account Nine AG Separate Account D AGL Separate Account I of AGL AGL Separate Account VL-R The United States Life Insurance Company in the City of New York FS Variable Separate Account FS Variable Annuity Account Five 7\nUSL Separate Account VL-R USL Separate Account USL A USL Separate Account RS The Variable Annuity Life Insurance Company Variable Annuity Life Insurance Co Separate Account A (b) The following information is furnished with respect to each officer and director of the Distributor. The principal business address for all the officers and directors shown below, unless otherwise noted, is 30 Hudson", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["Administrator", "InvestmentAdviser"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "subAdvisedBy": ["InvestmentAdviser", "SubAdviser"], "transferAgent": ["TransferAgent"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:Aggressive_Growth_Lifestyle_Fund", "p": "administrator", "o": "org:SunAmerica_Asset_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Aggressive_Growth_Lifestyle_Fund", "p": "advisedBy", "o": "org:The_Variable_Annuity_Life_Insurance_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Aggressive_Growth_Lifestyle_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Aggressive_Growth_Lifestyle_Fund", "p": "seriesOf", "o": "trust:VALIC_Co_I", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Aggressive_Growth_Lifestyle_Fund", "p": "subAdvisedBy", "o": "org:J_P_Morgan_Investment_Management_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Aggressive_Growth_Lifestyle_Fund", "p": "transferAgent", "o": "org:VALIC_Retirement_Services_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Asset_Allocation_Fund", "p": "administrator", "o": "org:SunAmerica_Asset_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Asset_Allocation_Fund", "p": "advisedBy", "o": "org:The_Variable_Annuity_Life_Insurance_Company", "alias_grounded": true, "grounded": true, 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"fund:Capital_Appreciation_Fund", "p": "advisedBy", "o": "org:The_Variable_Annuity_Life_Insurance_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Capital_Appreciation_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Capital_Appreciation_Fund", "p": "seriesOf", "o": "trust:VALIC_Co_I", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Capital_Appreciation_Fund", "p": "subAdvisedBy", "o": "org:Columbia_Management_Investment_Advisers_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Capital_Appreciation_Fund", "p": "transferAgent", "o": "org:VALIC_Retirement_Services_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": 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"extractable": true}, {"s": "trust:VALIC_Co_I", "p": "underwrittenBy", "o": "org:Corebridge_Capital_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> Aggressive Growth Lifestyle Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> J.P. Morgan Investment Management Inc. <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Asset Allocation Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> J.P. Morgan Investment Management Inc. <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Capital Appreciation Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> Columbia Management Investment Advisers, LLC <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Conservative Growth Lifestyle Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> J.P. Morgan Investment Management Inc. <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Core Bond Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> J.P. Morgan Investment Management Inc. <predicate_marker> subAdvisedBy <object_marker> PineBridge Investments LLC <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Dividend Value Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> BlackRock Investment Management, LLC <predicate_marker> subAdvisedBy <object_marker> ClearBridge Investments, LLC <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Dynamic Allocation Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> AllianceBernstein L.P. <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Emerging Economies Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> BlackRock Investment Management, LLC <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> GLOBAL REAL ESTATE FUND <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> Duff & Phelps Investment Management Co. <predicate_marker> subAdvisedBy <object_marker> Massachusetts Financial Services Company <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Global Strategy Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> Franklin Advisers, Inc. <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Government Securities Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> J.P. 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administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> Morgan Stanley Investment Management Inc. <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> International Opportunities Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> Invesco Advisers, Inc. <predicate_marker> subAdvisedBy <object_marker> Wellington Management Company LLP 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<predicate_marker> advisedBy <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> BlackRock Investment Management, LLC <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Mid Cap Strategic Growth Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> Janus Henderson Investors US LLC <predicate_marker> subAdvisedBy <object_marker> Voya Investment Management Co. LLC <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Mid Cap Value Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> Boston Partners Global Investors, Inc. <predicate_marker> subAdvisedBy <object_marker> Wellington Management Company LLP <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Moderate Growth Lifestyle Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> J.P. Morgan Investment Management Inc. <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Nasdaq-100 Index Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> BlackRock Investment Management, LLC <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Science & Technology Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> BlackRock Investment Management, LLC <predicate_marker> subAdvisedBy <object_marker> Voya Investment Management Co. LLC <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Small Cap Growth Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> American Century Investment Management, Inc. <predicate_marker> subAdvisedBy <object_marker> T. Rowe Price Associates, Inc. <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Small Cap Index Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> BlackRock Investment Management, LLC <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Small Cap Special Values Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> Allspring Global Investments, LLC <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Small Cap Value Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> J.P. Morgan Investment Management Inc. <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Stock Index Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> BlackRock Investment Management, LLC <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Systematic Core Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> Goldman Sachs Asset Management, L.P. <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Systematic Growth Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> Goldman Sachs Asset Management, L.P. <predicate_marker> subAdvisedBy <object_marker> Wellington Management Company LLP <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> Systematic Value Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> Wellington Management Company LLP <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> U.S. Socially Responsible Fund <predicate_marker> administrator <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> SunAmerica Asset Management, LLC <predicate_marker> advisedBy <object_marker> The Variable Annuity Life Insurance Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> VALIC Co I <predicate_marker> subAdvisedBy <object_marker> BlackRock Investment Management, LLC <predicate_marker> transferAgent <object_marker> VALIC Retirement Services Company <triple_end>\n<triple_start> VALIC Co I <predicate_marker> underwrittenBy <object_marker> Corebridge Capital Services, Inc. <triple_end>", "target_serialized_plain": "Aggressive Growth Lifestyle Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy J.P. Morgan Investment Management Inc. ; transferAgent VALIC Retirement Services Company .\nAsset Allocation Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy J.P. Morgan Investment Management Inc. ; transferAgent VALIC Retirement Services Company .\nCapital Appreciation Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Columbia Management Investment Advisers, LLC ; transferAgent VALIC Retirement Services Company .\nConservative Growth Lifestyle Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy J.P. Morgan Investment Management Inc. ; transferAgent VALIC Retirement Services Company .\nCore Bond Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy J.P. Morgan Investment Management Inc. , PineBridge Investments LLC ; transferAgent VALIC Retirement Services Company .\nDividend Value Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy BlackRock Investment Management, LLC , ClearBridge Investments, LLC ; transferAgent VALIC Retirement Services Company .\nDynamic Allocation Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy AllianceBernstein L.P. ; transferAgent VALIC Retirement Services Company .\nEmerging Economies Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy BlackRock Investment Management, LLC ; transferAgent VALIC Retirement Services Company .\nGLOBAL REAL ESTATE FUND administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Duff & Phelps Investment Management Co. , Massachusetts Financial Services Company ; transferAgent VALIC Retirement Services Company .\nGlobal Strategy Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Franklin Advisers, Inc. ; transferAgent VALIC Retirement Services Company .\nGovernment Securities Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy J.P. Morgan Investment Management Inc. ; transferAgent VALIC Retirement Services Company .\nGrowth Fund administrator SunAmerica Asset Management, LLC ; advisedBy SunAmerica Asset Management, LLC , The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy BlackRock Investment Management, LLC ; transferAgent VALIC Retirement Services Company .\nHigh Yield Bond Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Wellington Management Company LLP ; transferAgent VALIC Retirement Services Company .\nInflation Protected Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Wellington Management Company LLP ; transferAgent VALIC Retirement Services Company .\nInternational Equities Index Fund administrator SunAmerica Asset Management, LLC ; advisedBy SunAmerica Asset Management, LLC , The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy BlackRock Investment Management, LLC ; transferAgent VALIC Retirement Services Company .\nInternational Government Bond Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy PineBridge Investments LLC ; transferAgent VALIC Retirement Services Company .\nInternational Growth Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Morgan Stanley Investment Management Inc. ; transferAgent VALIC Retirement Services Company .\nInternational Opportunities Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Invesco Advisers, Inc. , Wellington Management Company LLP ; transferAgent VALIC Retirement Services Company .\nInternational Socially Responsible Fund administrator SunAmerica Asset Management, LLC ; advisedBy SunAmerica Asset Management, LLC , The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy BlackRock Investment Management, LLC ; transferAgent VALIC Retirement Services Company .\nInternational Value Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Columbia Management Investment Advisers, LLC , Goldman Sachs Asset Management, L.P. ; transferAgent VALIC Retirement Services Company .\nLarge Capital Growth Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Massachusetts Financial Services Company ; transferAgent VALIC Retirement Services Company .\nMid Cap Index Fund administrator SunAmerica Asset Management, LLC ; advisedBy SunAmerica Asset Management, LLC , The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy BlackRock Investment Management, LLC ; transferAgent VALIC Retirement Services Company .\nMid Cap Strategic Growth Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Janus Henderson Investors US LLC , Voya Investment Management Co. LLC ; transferAgent VALIC Retirement Services Company .\nMid Cap Value Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Boston Partners Global Investors, Inc. , Wellington Management Company LLP ; transferAgent VALIC Retirement Services Company .\nModerate Growth Lifestyle Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy J.P. Morgan Investment Management Inc. ; transferAgent VALIC Retirement Services Company .\nNasdaq-100 Index Fund administrator SunAmerica Asset Management, LLC ; advisedBy SunAmerica Asset Management, LLC , The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy BlackRock Investment Management, LLC ; transferAgent VALIC Retirement Services Company .\nScience & Technology Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy BlackRock Investment Management, LLC , Voya Investment Management Co. LLC ; transferAgent VALIC Retirement Services Company .\nSmall Cap Growth Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy American Century Investment Management, Inc. , T. Rowe Price Associates, Inc. ; transferAgent VALIC Retirement Services Company .\nSmall Cap Index Fund administrator SunAmerica Asset Management, LLC ; advisedBy SunAmerica Asset Management, LLC , The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy BlackRock Investment Management, LLC ; transferAgent VALIC Retirement Services Company .\nSmall Cap Special Values Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Allspring Global Investments, LLC ; transferAgent VALIC Retirement Services Company .\nSmall Cap Value Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy J.P. Morgan Investment Management Inc. ; transferAgent VALIC Retirement Services Company .\nStock Index Fund administrator SunAmerica Asset Management, LLC ; advisedBy SunAmerica Asset Management, LLC , The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy BlackRock Investment Management, LLC ; transferAgent VALIC Retirement Services Company .\nSystematic Core Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Goldman Sachs Asset Management, L.P. ; transferAgent VALIC Retirement Services Company .\nSystematic Growth Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Goldman Sachs Asset Management, L.P. , Wellington Management Company LLP ; transferAgent VALIC Retirement Services Company .\nSystematic Value Fund administrator SunAmerica Asset Management, LLC ; advisedBy The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy Wellington Management Company LLP ; transferAgent VALIC Retirement Services Company .\nU.S. Socially Responsible Fund administrator SunAmerica Asset Management, LLC ; advisedBy SunAmerica Asset Management, LLC , The Variable Annuity Life Insurance Company ; custodian State Street Bank and Trust Company ; seriesOf VALIC Co I ; subAdvisedBy BlackRock Investment Management, LLC ; transferAgent VALIC Retirement Services Company .\nVALIC Co I underwrittenBy Corebridge Capital Services, Inc. .", "stats": {"input_chars": 34202, "n_triples": 235, "text_to_json_ratio": 1.7}}
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{"sample_id": "0000766285:ALL", "cik": "0000766285", "trust_name": "AMANA MUTUAL FUNDS TRUST", "input_text": "SECURITIES AND EXCHANGE COMMISSION\nWASHINGTON, DC 20549\nFORM N-1A\nREGISTRATION STATEMENT UNDER THE\nSECURITIES ACT OF 1933\nPOST-EFFECTIVE AMENDMENT NO. 68\nREGISTRATION STATEMENT UNDER THE\nINVESTMENT COMPANY ACT OF 1940\nPOST-EFFECTIVE AMENDMENT NO. 71\nAMANA MUTUAL FUNDS TRUST\n(Exact Name of Registrant as Specified in Charter)\n1300 N. State Street\nBellingham, Washington 98225-4730\n(Address of Principal Executive Offices, including ZIP Code)\nRegistrant's Telephone Number (360) 734-9900\nElliot S. Cohen, Esq.\n1300 N. State Street\nBellingham, Washington 98225-4730\n(Name and Address of Agent for Service)\nIt is proposed that this filing will become effective:\n[X] Immediately upon filing pursuant to paragraph (b) of Rule 485, or\n[ ] on ___________ pursuant to paragraph (b) of Rule 485\n[ ] 60 days after filing pursuant to paragraph (a)(1) of Rule 485, or\n[ ] on ___________ pursuant to paragraph (a)(1) of Rule 485\n[ ] 75 days after filing pursuant to paragraph (a)(2) of Rule 485, or\n[ ] on ___________ pursuant to paragraph (a)(2) of Rule 485\nIf appropriate, check the following box:\n[ ] this post-effective amendment designates a new effective date for a previously filed post-effective amendment.\nEXPLANATORY NOTE\nPost-Effective Amendment No. 68 to the Registration Statement on Form N-1A for Amana Mutual Funds Trust (the Trust ) relates to the Amana Equity Income\nETF, Amana Growth ETF, and Amana Developing World ETF, each a series of the Trust. As stated in CORRESP filed on EDGAR on June 1, 2026, the Registrant intends to abandon the registration of Amana Sukuk ETF. Amana Sukuk ETF is not included in\nPost-Effective Amendment No. 68.\namana etf s\nProspectus\nJune 10 , 2026\nAmana Equity Income ETF (AMEI)\nAmana Growth ETF (AMGR)\nAmana Developing World ETF (AMEM)\nInvestments are consistent with Islamic principles.\nPlease read this Prospectus and keep it for future reference. It is designed to provide important information and to help investors decide if a Fund s goals\nmatch their own.\nNeither the Securities and Exchange Commission nor any state securities authority has approved or disapproved these securities or determined if this\nProspectus is truthful or complete. Any representation to the contrary is a criminal offense.\nShares of the Funds will be listed and traded on the Nasdaq Global Market\n( Exchange ). Fund shares are not individually redeemable.\nTABLE OF CONTENTS\nFUND SUMMARY\n1\nAmana Equity Income ETF\n1\nAmana Growth ETF\n9\nAmana Developing World ETF\n16\nADDITIONAL INFORMATION ABOUT THE FUNDS\n22\nINVESTMENT ADVISER\n32\nSUB-ADVISER\n33\nPORTFOLIO MANAGERS\n34\nOTHER SERVICE PROVIDERS\n34\nBUYING AND SELLING FUND SHARES\n34\nVALUATION OF FUND SHARES\n35\nPREMIUM/DISCOUNT INFORMATION\n36\nFUND WEBSITE AND DISCLOSURE OF PORTFOLIO HOLDINGS\n36\nACTIVE INVESTORS AND MARKET TIMING\n36\nINVESTMENTS BY REGISTERED INVESTMENT COMPANIES\n37\nCONTINUOUS OFFERING\n37\nPAYMENTS TO BROKER-DEALERS AND OTHER FINANCIAL INTERMEDIARIES\n38\nDISTRIBUTION AND SERVICE PLAN\n38\nDIVIDENDS, OTHER DISTRIBUTIONS AND TAXES\n38\nHOUSEHOLDING POLICY\n41\nADDITIONAL INFORMATION\n42\nFINANCIAL HIGHLIGHTS\n42\nAppendix Relat\n...\ntfolio Turnover\nThe Fund may have transaction costs, such as commissions, when it buys and sells securities (or turns over its portfolio). A higher\nportfolio turnover rate may indicate higher transaction costs and may result in higher taxes when Fund shares are held in a taxable account. These costs, which are not reflected in the\n1\nannual fund operating expenses or in the example, affect the Fund s performance. Because the Fund had not yet commenced operations\nprior to the date of this Prospectus, it does not have a portfolio turnover rate to provide.\nPrincipal Investment Strategies\nThe Fund invests primarily in dividend-paying common stocks, including foreign stocks. Investment decisions are made in accordance\nwith Islamic principles. Generally, Islamic principles require that investors share in profit and loss, that they receive no usury or interest, and that they do not invest in a business that is prohibited by Islamic principles. To the extent\nprohibited by Islamic investment principles the Fund does not invest in companies primarily engaged in businesses such as alcohol, tobacco, pork products, pornography, interest-based banks, finance associations and insurers, weapons, and\ngambling.\nThe Fund does not make any investments not permitted under Islamic principles, including those that pay interest. Islamic principles\ndiscourage speculation. The Fund tends to hold investments for several years. The Fund may invest its uninvested cash in short-term Islamic income-producing investments called murabaha and wakala, as described below.\nThe Fund principally follows a large-cap value investment style. Common stock purchases are restricted to dividend-paying companies.\nThe Fund seeks companies demonstrating both Islamic and sustainable characteristics.\nThe Fund s adviser (Saturna Capital Corporation) considers issuers with sustainable characteristics to be those issuers that are more\nestablished, consistently profitable, and financially strong, with robust policies in the areas of the environment, social responsibility, and corporate governance (collectively referred to as sustainability ).\nExcept for murabaha and wakala investments, the adviser employs a sustainable rating system based on its own, as well as third-party,\ndata to identify issuers believed to have lower sustainability risks. The use of third-party data does not include third-party environmental, social, or governance ( ESG ) ratings or criteria established by third parties for third-party ratings.\nThe adviser s proprietary scoring system assesses how well a company performs relative to a blend of its industry, sector, and country peers. In addition to the financial considerations discussed above, the adviser considers sustainability\npractices such as carbon emissions, water usage, renewable energy, and fair labor and supply chain practices. The Fund s sustainability evaluation process considers risks and opportunities holistically, meaning an issuer will not necessarily be\nexcluded from investment due to any one particular factor if the overall analysis results in a favorable evaluation by the adviser. The adviser also uses negative screening to exclude companies primarily engaged in higher sustainability risk\nbusinesses, such as companies in the business of fossil fuel exploration, production, or refining, and, to the extent prohibited by Islamic investment principles, companies primarily engaged in businesses such as alcohol, tobacco, pork products,\npornography, interest-based banks, finance associations and insurers, weapons, and gambling.\nThe Fund is non-diversified,\n...\n30, 2021. Dr. Miles Davis formerly served as President of Linfield University.\n3 Ms. Carten is an interested person of the Trust as an\nofficer of the Adviser. Ms. Carten was elected trustee on February 14, 2025 and seated on May 31, 2025.\n4 Mr. Salam, Mr. Fankhauser, Mr. Lewis, Mr. Stewart, and Mr.\nCohen are interested persons of the Trust as officers and employees of the Adviser. Mr. Fankhauser, Mr. Lewis, Mr. Stewart, and Mr. Cohen hold the same positions with Saturna Investment Trust, which has nine fund portfolios and is also\nmanaged by Saturna Capital Corporation.\n5 During the fiscal year ended May 31, 2026, the Chief Compliance\nOfficer of the Trust received, from the two registered investment companies in the fund complex for which he served in that capacity, compensation in the amount of $200,000, of which the Trust paid $125,000.\n7\nManagement Ownership Information\nAs of the date of this SAI, the Funds were new and had not yet issued any Shares.\nThe following table sets forth the aggregate dollar range of securities owned by each Trustee in all the funds in the fund family overseen by the Trustee, valued as of\nDecember 31, 2025. The fund family includes four other series of the Trust which operate as mutual funds, and another registered investment company, Saturna Investment Trust, which has four series.\nTrustee/Officer\nAggregate dollar range of equity securities in all registered investment companies overseen by the Trustee in the Saturna fund family\nFiras J. Al-Barzinji\nOver $100,000\nMiles K. Davis\nOver $100,000\nRonald H. Fielding\nOver $100,000\nAsma Y. Mirza\nOver $100,000\nJane K. Carten\nOver $100,000\nNo Independent Trustee (including his/her immediate family members) owns any securities (not including shares of registered investment companies) in the Adviser, Saturna\nBrokerage Services Inc., or any Saturna entity.\nLeadership Structure and Board of Trustees\nAs part of its annual governance assessment, the Board reviews the collective and individual experience, qualifications, attributes, and skills of the Trustees. Attributes\ncommon to all Trustees are strong educational backgrounds, lifetimes of experience in business and finance, and the ability to effectively request, evaluate, and discuss information about the Trust with the Adviser and other service providers\nto the Trust. The chairman of the Board and all other Trustees (except Ms. Carten) are independent of the Adviser or other service providers, and fulfill the legal definition of Independent Trustee. They reside in diverse communities across\nthe continent, and all have lived outside the United States.\nThe Board has concluded that its current leadership structure, in which the chairman of the Board is an Independent Trustee and not affiliated with the Adviser, is\nappropriate and in the best interest of shareowners. In light of the services provided to the Trust daily by the Adviser and the responsibilities of the Adviser to the Trust, the Board believes it appropriate and in the best interest of\nshareowners to have a separate President who is an active adviser employee. In making the determination that each Trustee is qualified to serve, the Board considers a variety of criteria, including actual service, commitment, and\nparticipation of each Trustee during their tenure with the Trust. In addition to the information set forth in the Trustees table above and other relevant qualifications, the following are additional important qualifications of each Trustee:\nFiras J. Al-Barzinji, JD, MBA, was added to the Board of Trustees in 2022. 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{"sample_id": "0000779785:ALL", "cik": "0000779785", "trust_name": "T. ROWE PRICE GNMA FUND, INC.", "input_text": "information included in the table is compared with a regulatory required index\nthat represents an overall securities market (Regulatory Benchmark). In addition, the table may also include one or more indexes\nthat more closely aligns to the fund s investment strategy (Strategy Benchmark(s)).\nIn\naddition, the table shows hypothetical after-tax returns to demonstrate how taxes paid by a shareholder may influence returns.\nAfter-tax returns are calculated using the historical highest individual federal marginal income tax rates and do not reflect\nthe impact of state and local taxes. Actual after-tax returns depend on an investor s tax situation and may differ from\nthose shown. After-tax returns shown are not relevant to investors who hold their fund shares through tax-deferred arrangements,\nsuch as a 401(k) account or an IRA. After-tax returns are shown only for the Investor Class and will differ for other share classes.\nT. Rowe Price\n10\nAverage\nAnnual Total Returns\nPeriods\nended\nDecember\n31, 2024\nSince\nInception\n1\nYear\n5\nYears\n10\nYears\ninception\ndate\nInvestor\nClass\n11/26/1985\nReturns\nbefore taxes\n0.92\n%\n- 0.76\n%\n0.56\n%\n%\nReturns\nafter taxes on distributions\n- 0.52\n- 1.61\n- 0.47\nReturns\nafter taxes on distributions and sale\nof\nfund shares\n0.54\n- 0.93\n- 0.01\nI\nClass\n05/03/2017\nReturns\nbefore taxes\n1.13\n- 0.61\n0.44\nRegulatory\nBenchmark\nBloomberg\nU.S. Aggregate Bond Index (reflects no deduction for fees, expenses, or taxes)\n1.25\n- 0.33\n1.35\n1.14\na\nStrategy\nBenchmark(s)\nBloomberg\nU.S. GNMA Index (reflects no deduction for fees, expenses, or taxes)\n0.96\n- 0.60\n0.85\n0.63\na\nLipper\nGNMA Funds Average\n1.39\n- 0.72\n0.50\n0.34\nb\na Return\nsince 5/3/17.\nb Return\nsince 4/30/17.\nUpdated\nperformance information is available through troweprice.com .\nSUMMARY\n11\nManagement\nInvestment\nAdviser T. Rowe Price Associates, Inc. (T. Rowe Price or Price Associates)\nName\nTitle\nManaged\nFund\nSince\nJoined\nInvestment\nAdviser\nRamon\nRoberto de Castro\nPortfolio\nManager and Chair of Investment Advisory\nCommittee\n2023\n2012\nPurchase\nand Sale of Fund Shares\nThe\nInvestor Class generally requires a $2,500 minimum initial investment ($1,000 minimum initial investment if opening an IRA, a\ncustodial account for a minor, or a small business retirement plan account). Additional purchases generally require a $100 minimum.\nThese investment minimums generally are waived for financial intermediaries and certain employer-sponsored retirement plans submitting\norders on behalf of their customers.\nThe\nI Class requires a $500,000 minimum initial investment per fund per account registration, although the initial investment minimum\ngenerally is waived or reduced for financial intermediaries, eligible retirement plans, certain accounts for which T. Rowe\nPrice or its affiliates have discretionary investment authority, qualifying directly held accounts, and certain other accounts.\nFor\ninvestors holding shares of the fund directly with T. Rowe Price, you may purchase, redeem, or exchange fund shares by mail;\nby telephone (1-800-225-5132 for IRAs and nonretirement accounts; 1-800-492-7670 for small business retirement plans; and 1-800-638-8790\nfor institutional investors and financial intermediaries); or, for certain other accounts, by accessing your account online through\ntroweprice.com.\nIf\nyou hold shares through a financial intermediary or retirement plan, you must purchase, redeem, and exchange shares of the fund\nthrough your intermediary or retirement plan. You should check with your intermediary or retirement plan to determine the investment\nminimums that apply to your account.\nTax\nInformation\nTh\n...\nfiliates may influence\nfinancial intermediaries, plan sponsors, and other third parties to offer or recommend T. Rowe Price Funds over other investment\noptions for which an intermediary does not receive additional compensation (or receives lower levels of additional compensation).\nIn addition, financial intermediaries that receive these payments and/or expense reimbursements may elevate the prominence of\nthe T. Rowe Price Funds by, for example, placing the T. Rowe Price Funds on a list of preferred or recommended funds and/or\nproviding preferential or enhanced opportunities to promote the T. Rowe Price Funds in various ways. Since these additional payments\nare not paid by a fund directly, these arrangements do not increase fund expenses and will not change the price that an investor\npays for shares of the T. Rowe Price Funds or the amount that is invested in a T. Rowe Price Fund on behalf of an investor.\nYou may ask your financial intermediary for more information about any payments they receive from T. Rowe Price or its affiliates.\nComparison\nof Distribution and Shareholder Servicing Fees\nThe\nfollowing table summarizes the distribution and service (12b-1) fee and administrative fee arrangements applicable to each class\nbased on its average daily net assets.\nClass\n12b-1\nFee Payments\nAdministrative\nFee Payments\nInvestor\nClass\nNone\nUp\nto 0.15% per year\nI\nClass\nNone\nNone\nAdvisor\nClass\nUp\nto 0.25% per year\nUp\nto 0.15% per year\nR\nClass\nUp\nto 0.50% per year\nUp\nto 0.15% per year\nZ\nClass\nNone\nNone\nAccount\nSERVICE FEE\nInvestor\nClass\nIn\nan effort to help offset the disproportionately high costs incurred by the funds in connection with servicing lower-balance accounts\nthat are held directly with the T. Rowe Price Funds transfer agent, an annual $20 account service fee (paid to T. Rowe\nPrice Services, Inc., or one of its affiliates) is charged to certain Investor Class accounts with a balance below $10,000. The\ndetermination of whether a fund account is subject to the account service fee is based on account balances and services selected\nfor accounts as of the last business day of August of each calendar year. The fee may be charged to an account with a balance\nbelow $10,000 for any reason, including market fluctuation and recent redemptions. The fee, which is automatically deducted from\nan account by redeeming fund shares, is typically charged to accounts in early September each calendar year. Such redemption may\nresult in a taxable gain or loss to you.\nInformation About Accounts in T. Rowe Price Funds\n37\nThe\naccount service fee generally does not apply to fund accounts that are held through a financial intermediary, participant accounts\nin employer-sponsored retirement plans for which T. Rowe Price Retirement Plan Services provides recordkeeping services,\naccounts held through the T. Rowe Price ActivePlus Portfolios program or Retirement Advisory Service ,\nor money market funds that are used as a T. Rowe Price Brokerage sweep account. The account service fee is automatically\nwaived for accounts that satisfy any of the following conditions as of the last business day in August:\nAny\naccounts for which the shareholder has elected to receive electronic delivery of all\nof the following: account statements, transaction confirmations, prospectuses, and shareholder\nreports (paper copies of fund documents are available, free of charge, upon request,\nto any shareholder regardless of whether the shareholder has elected electronic delivery);\nAny\naccounts of a shareholder with at least $50,000 in total assets with T. Rowe Price\n(for this purpose, total asse\n...\n-Free Income Fund I Class\nTFILX\nT.\nROWE PRICE TAX-FREE SHORT-INTERMEDIATE FUND, INC.\nT.\nRowe Price Tax-Free Short-Intermediate Fund\nPRFSX\nT.\nRowe Price Tax-Free Short-Intermediate Fund Advisor Class\nPATIX\nT.\nRowe Price Tax-Free Short-Intermediate Fund I Class\nTTSIX\nT.\nROWE PRICE TOTAL RETURN FUND, INC.\nT.\nRowe Price Total Return Fund\nPTTFX\nT.\nRowe Price Total Return Fund Advisor Class\nPTATX\nT.\nRowe Price Total Return Fund I Class\nPTKIX\nT.\nROWE PRICE u.s. equity research FUND, INC.\nT.\nRowe Price U.S. Equity Research Fund\nPRCOX\nT.\nRowe Price U.S. Equity Research Fund Advisor Class\nPACOX\nT.\nRowe Price U.S. Equity Research Fund I Class\nPCCOX\nT.\nRowe Price U.S. Equity Research Fund R Class\nRRCOX\nT.\nRowe Price U.S. Equity Research Fund Z Class\nPCUZX\n9\nT.\nROWE PRICE U.S. LARGE-CAP CORE FUND, INC.\nT.\nRowe Price U.S. Large-Cap Core Fund\nTRULX\nT.\nRowe Price U.S. Large-Cap Core Fund Advisor Class\nPAULX\nT.\nRowe Price U.S. Large-Cap Core Fund I Class\nRCLIX\nT.\nRowe Price U.S. Large-Cap Core Fund Z Class\nTRZLX\nT.\nROWE PRICE U.S. TREASURY FUNDS, INC. (U.s. treasury funds)\nT.\nRowe Price U.S. Treasury Intermediate Index Fund\nPRTIX\nT.\nRowe Price U.S. Treasury Intermediate Index Fund I Class\nPRKIX\nT.\nRowe Price U.S. Treasury Intermediate Index Fund Z Class\nTRZTX\nT.\nRowe Price U.S. Treasury Long-Term Index Fund\nPRULX\nT.\nRowe Price U.S. Treasury Long-Term Index Fund I Class\nPRUUX\nT.\nRowe Price U.S. Treasury Long-Term Index Fund Z Class\nTRZUX\nT.\nRowe Price U.S. Treasury Money Fund\nPRTXX\nT.\nRowe Price U.S. Treasury Money Fund I Class\nTRGXX\nT.\nRowe Price U.S. Treasury Money Fund Z Class\nTRZXX\nT.\nROWE PRICE VALUE FUND, INC.\nT.\nRowe Price Value Fund\nTRVLX\nT.\nRowe Price Value Fund Advisor Class\nPAVLX\nT.\nRowe Price Value Fund I Class\nTRPIX\nT.\nRowe Price Value Fund Z Class\nTRZAX\nMailing\nAddress:\nT.\nRowe Price Investment Services, Inc.\n1307 Point Street\nBaltimore, Maryland 21231\n1-800-638-5660\nThis\nSAI is not a prospectus. It should be read in conjunction with the appropriate current fund prospectus, which may be obtained\nfrom T. Rowe Price Investment Services, Inc. ( Investment Services ), the Corporation s principal underwriter ( Distributor ).\nIf you would like a prospectus, annual or semiannual shareholder report for a fund, or other fund documents or information, please\nvisit troweprice.com or call 1-800-638-5660 and it will be sent to you at no charge. Please read this material carefully.\nThe\nprospectus for each fund is dated as shown above, as such prospectus may be revised from time to time. Capitalized terms used\nherein that are not defined have the same meaning as in the prospectuses, unless otherwise noted.\nThe\nfinancial statements and Report of Independent Registered Public Accounting Firm of the funds included in each fund s Form\nN-CSR, when available, are incorporated into this SAI by reference.\n10\nPART\nI TABLE OF CONTENTS\nPage\nManagement of the Funds\n16\nPrincipal Holders of Securities\n60\nInvestment Adviser and Investment Management\nAgreements\n200\nThird-Party Arrangements\n242\nDistributor for the Funds\n248\nPage\nPortfolio Transactions\n251\nPortfolio Turnover\n263\nSecurities Lending Activities\n266\nIndependent Registered Public Accounting\nFirm\n270\nPart II\n271\nReferences\nto the following are as indicated:\nFitch\nRatings, Inc. ( Fitch )\nInternal\nRevenue Code of 1986, as amended ( Code )\nInternal\nRevenue Service ( IRS )\nInvestment\nCompany Act of 1940, as amended ( 1940 Act )\nMoody s\nInvestors Service, Inc. ( Moody s )\nSecurities\nAct of 1933, as amended ( 1933 Act )\nSecurities\nand Exchange Commission ( SEC )\nSecurities\nExchange Act of 1934, as amended ( 1934 Act\n...\n5.49\n101\nN MAIN AVE STE 201\nSIOUX\nFALLS SD 57104-6411\n67\nFUND\nSHAREHOLDER\n%\nFLOATING\nRATE FUND\nCHARLES\nSCHWAB CO INC\n15.54\nSPECIAL\nCUSTODY A/C FBO CUSTOMERS\nATTN\nMUTUAL FUND DEPT\nLPL\nFINANCIAL\n10.87\nOMNIBUS\nCUSTOMER ACCOUNT\nATTN\nMUTUAL FUND TRADING\nMLPF S\nFOR THE SOLE BENEFIT OF\n5.38\nITS\nCUSTOMERS\nMORGAN\nSTANLEY SMITH BARNEY LLC\n6.10\nFOR\nTHE EXCL BENEFIT OF ITS CUST\nNATIONAL\nFINANCIAL SERVICES\n17.14\nFOR\nTHE EXCLUSIVE BENEFIT\nOF\nOUR CUSTOMERS\nATTN\nMUTUAL FUNDS DEPT FL 5\nRAYMOND\nJAMES\n5.90\nOMNIBUS\nFOR MUTUAL FUNDS\nATTN\nCOURTNEY WALLER\nUBS\nWM USA\n6.59\nSPEC\nCDY A/C EXL BEN CUSTOMERS\nOF\nUBSFI\n1000\nHARBOR BLVD\nWEEHAWKEN\nNJ 07086-6761\nWELLS\nFARGO CLEARING SERVICES LLC\n10.24\nSPECIAL\nCUSTODY ACCT FOR THE\nEXCLUSIVE\nBENEFIT OF CUSTOMERS\n68\nFUND\nSHAREHOLDER\n%\nFLOATING\nRATE FUND ADVISOR CLASS\nAMERITAS\nLIFE INSURANCE CORP\n5.85\nSEPARATE\nACCOUNT G-2\nATTN\nVARIABLE TRADES\n5900\nO ST\nLINCOLN\nNE 68510-2234\nCHARLES\nSCHWAB CO INC\n5.05\nREINVEST\nACCOUNT\nATTN\nMUTUAL FUND DEPT\nCHARLES\nSCHWAB CO INC\n25.94(b)\nSPECIAL\nCUSTODY A/C FBO CUSTOMERS\nATTN\nMUTUAL FUND DEPT\nNATIONAL\nFINANCIAL SERVICES\n44.35(b)\nFOR\nTHE EXCLUSIVE BENEFIT\nOF\nOUR CUSTOMERS\nATTN\nMUTUAL FUNDS DEPT FL 5\nFLOATING\nRATE FUND I CLASS\nCHARLES\nSCHWAB CO INC\n29.55(b)\nREINVEST\nACCOUNT\nATTN\nMUTUAL FUND DEPT\nPERSHING\nLLC\n7.22\nFLOATING\nRATE FUND Z CLASS\nRETIREMENT\nPORTFOLIO 2020\n8.66\nC/O\nT ROWE PRICE ASSOCIATES INC\nATTN\nFUND ACCOUNTING DEPT\nCUST\nSTATE STREET BANK TRUST CO\n1307\nPOINT ST\nBALTIMORE\nMD 21231-3827\nRETIREMENT\nPORTFOLIO 2025\n10.49\nC/O\nT ROWE PRICE ASSOCIATES INC\nATTN\nFUND ACCOUNTING DEPT\nCUST\nSTATE STREET BANK TRUST CO\nRETIREMENT\nPORTFOLIO 2030\n13.43\nC/O\nT ROWE PRICE ASSOCIATES INC\nATTN\nFUND ACCOUNTING DEPT\nCUST\nSTATE STREET BANK TRUST CO\nRETIREMENT\nPORTFOLIO 2035\n6.67\nC/O\nT ROWE PRICE ASSOCIATES INC\nATTN\nFUND ACCOUNTING DEPT\nCUST\nSTATE STREET BANK TRUST CO\nSPECTRUM\nINCOME FUND\n46.33(c)\nC/O\nT ROWE PRICE ASSOCIATES INC\nATTN\nFUND ACCOUNTING DEPT\nCUST\nSTATE STREET BANK TRUST CO\n69\nFUND\nSHAREHOLDER\n%\nGLOBAL\nMULTI-SECTOR BOND FUND\nCHARLES\nSCHWAB CO INC\n9.62\nSPECIAL\nCUSTODY A/C FBO CUSTOMERS\nATTN\nMUTUAL FUND DEPT\nCHARLES\nSCHWAB CO INC\n5.32\nSPECIAL\nCUSTODY A/C FBO CUSTOMERS\nATTN\nMUTUAL FUND DEPT\nLPL\nFINANCIAL\n9.75\nOMNIBUS\nCUSTOMER ACCOUNT\nATTN\nMUTUAL FUND TRADING\nMORGAN\nSTANLEY SMITH BARNEY LLC\n10.00\nFOR\nTHE EXCL BENEFIT OF ITS CUST\nNATIONAL\nFINANCIAL SERVICES\n15.97\nFOR\nTHE EXCLUSIVE BENEFIT\nOF\nOUR CUSTOMERS\nATTN\nMUTUAL FUNDS DEPT FL 5\nPERSHING\nLLC\n8.11\nRAYMOND\nJAMES\n10.39\nOMNIBUS\nFOR MUTUAL FUNDS\nATTN\nCOURTNEY WALLER\nGLOBAL\nMULTI-SECTOR BOND FUND ADVISOR\nCHARLES\nSCHWAB CO INC\n6.45\nCLASS\nSPECIAL\nCUSTODY A/C FBO CUSTOMERS\nATTN\nMUTUAL FUND DEPT\nCHARLES\nSCHWAB CO INC\n11.65\nSPECIAL\nCUSTODY A/C FBO CUSTOMERS\nATTN\nMUTUAL FUND DEPT\nNATIONAL\nFINANCIAL SERVICES\n58.55(b)\nFOR\nTHE EXCLUSIVE BENEFIT\nOF\nOUR CUSTOMERS\nATTN\nMUTUAL FUNDS DEPT FL 5\nGLOBAL\nMULTI-SECTOR BOND FUND I CLASS\nCHARLES\nSCHWAB CO INC\n22.07\nREINVEST\nACCOUNT\nATTN\nMUTUAL FUND DEPT\nNATIONAL\nFINANCIAL SERVICES\n5.35\nFOR\nTHE EXCLUSIVE BENEFIT\nOF\nOUR CUSTOMERS\nATTN\nMUTUAL FUNDS DEPT FL 4\nPERSHING\nLLC\n32.49(b)\n70\nFUND\nSHAREHOLDER\n%\nGNMA\nFUND\nCHARLES\nSCHWAB CO INC\n5.73\nREINVEST\nACCOUNT\nATTN\nMUTUAL FUND DEPT\nGNMA\nFUND I CLASS\nCHARLES\nSCHWAB CO INC\n5.26\nSPECIAL\nCUSTODY A/C FBO CUSTOMERS\nATTN\nMUTUAL FUND DEPT\nGOVERNMENT\nMONEY FUND\nT\nROWE PRICE ASSOCIATES INC\n15.95\nATTN\nFINANCIAL REPORTING DEPT\nGOVERNMENT\nMONEY FUND I CLASS\nT.\nROWE PRICE SERVICES INC\n9.32\nAGENT\nFOR THE T. ROWE PRICE FUNDS\nATTN\nFCO/RECON\n4515\nPAINTERS MILL RD BLDG 4\nOWINGS\nMILLS MD 21117-4903\nGOVERNMENT\nRESERVE FUND\nJNL\nTRP CAP APP FUND\n6.91\nATTN\nJOSEPH O BOYLE\n225\nW WACKER DR STE 1200\nCHICAGO\n...\nn behalf\nof a number of Feeder funds.\nForeign Investments\nIn addition to the fundamental\nrestrictions and operating policies previously described, some foreign countries limit or prohibit all direct foreign investment\nin the securities of their companies. However, P-notes may sometimes be used to gain access to these markets. In addition, the\ngovernments of some countries have authorized the organization of investment funds to permit indirect foreign investment in such\nsecurities. For tax purposes, these funds may be known as Passive Foreign Investment Companies.\nFunds-of-Funds\nThere is no limit on the amount\nthe Spectrum Funds and Target Date Funds may own of the total outstanding voting securities of other Price Funds.\n344\nCUSTODIAN\nAND FUND ACCOUNTING\nState Street Bank and Trust\nCompany ( State Street Bank ) is the custodian for the funds\nU.S. securities and cash, but it does not participate in the funds investment decisions. Portfolio securities purchased\nin the United States are maintained in the custody of the bank and may be entered into the Federal Reserve Book Entry System, the\nsecurity depository system of the Depository Trust Corporation, or any central depository system allowed by federal law. In addition,\nfunds investing in municipal securities are authorized to maintain certain of their securities, in particular, variable rate demand\nnotes, in uncertificated form, in the proprietary deposit systems of various dealers in municipal securities. State Street Bank s\nmain office is at One Lincoln Street, Boston, Massachusetts 02111. State Street Bank maintains shares of the Funds-of-Funds in\nthe book entry system of the funds transfer agent, T. Rowe Price Services, Inc.\nAll funds that can invest in\nforeign securities have entered into a Custodian Agreement with JPMorgan Chase Bank, London, pursuant to which portfolio securities\nthat are purchased outside the United States are maintained in the custody of various foreign branches of JPMorgan and such other\ncustodians, including foreign banks and foreign securities depositories as are approved in accordance with regulations under the\n1940 Act. The address for JPMorgan is Woolgate House, Coleman Street, London, EC2P 2HD, England.\nT. Rowe Price and BNY\nMellon, subject to the oversight of T. Rowe Price, each provide certain fund accounting services to the Price Funds.\nCODE\nOF ETHICS\nThe funds; their investment\nadviser (T. Rowe Price) and investment subadviser (Price Investment Management, Price International, Price Australia, Price Hong\nKong, Price Japan, and/or Price Singapore), if applicable; and their principal underwriter (T. Rowe Price Investment Services)\nhave adopted a written Code of Ethics and Conduct pursuant to Rule 17j-1 under the 1940 Act, which requires persons with\naccess to investment information ( Access Persons ) to obtain\nprior clearance before engaging in most personal securities transactions. Transactions must be executed within three business days\nof their clearance. In addition, all Access Persons must report their personal securities transactions within 30 days after\nthe end of the calendar quarter. Aside from certain limited transactions involving securities in certain issuers with high trading\nvolumes, Access Persons are typically not permitted to effect transactions in a security if: there are pending client orders in\nthe security; the security has been purchased or sold by a client within seven calendar days; the security is being considered\nfor purchase for a client; a change has occurred in T. Rowe Price s rating of the security within seven calendar d", "ontology": {"Fund": {"advisedBy": ["Administrator"], "custodian": ["Custodian"], "transferAgent": ["TransferAgent"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:T_Rowe_Price_GNMA_Fund", "p": "advisedBy", "o": "org:T_Rowe_Price_Associates_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:T_Rowe_Price_GNMA_Fund", "p": "custodian", "o": "org:JPMorgan_Chase_Bank_London", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:T_Rowe_Price_GNMA_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:T_Rowe_Price_GNMA_Fund", "p": "transferAgent", "o": "org:T_Rowe_Price_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:T_ROWE_PRICE_GNMA_FUND_INC", "p": "underwrittenBy", "o": "org:T_Rowe_Price_Investment_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> T. Rowe Price GNMA Fund <predicate_marker> advisedBy <object_marker> T. Rowe Price Associates, Inc. <predicate_marker> custodian <object_marker> JPMorgan Chase Bank, London <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> transferAgent <object_marker> T. Rowe Price Services, Inc. <triple_end>\n<triple_start> T. ROWE PRICE GNMA FUND, INC. <predicate_marker> underwrittenBy <object_marker> T. Rowe Price Investment Services, Inc. <triple_end>", "target_serialized_plain": "T. Rowe Price GNMA Fund advisedBy T. Rowe Price Associates, Inc. ; custodian JPMorgan Chase Bank, London , State Street Bank and Trust Company ; transferAgent T. Rowe Price Services, Inc. .\nT. ROWE PRICE GNMA FUND, INC. underwrittenBy T. Rowe Price Investment Services, Inc. .", "stats": {"input_chars": 18017, "n_triples": 5, "text_to_json_ratio": 35.5}}
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{"sample_id": "0000792858:ALL", "cik": "0000792858", "trust_name": "JOHN HANCOCK STRATEGIC SERIES", "input_text": "resources, including any legal right to support from the U.S. government. Although the U.S. government has provided financial support to Fannie Mae and Freddie Mac in the past, there can be no assurance that it will support these or other government-sponsored entities in the future. Past performance The following information illustrates the variability of the fund s returns and provides some indication of the risks of investing in the fund by showing changes in the fund s performance from year to year and by showing how the fund s average annual returns compared with a broad-based securities market index. Past performance (before and after taxes) does not indicate future results. All figures assume dividend reinvestment. Performance information is updated daily, monthly, and quarterly and may be obtained at our website, jhinvestments.com , or by calling 800-247-0278, Monday to Thursday, 8:00 a.m. 7:00 p.m. , and Friday, 8:00 a.m. 6:00 p.m. , Eastern time . Please note that after-tax returns reflect the highest individual federal marginal income-tax rate in effect as of the date provided and do not reflect any state or local taxes. Your actual after-tax returns may be different. After-tax returns are not relevant to shares held in an IRA, 401(k), or other tax-advantaged investment plan. 3\nFund summary Calendar year total returns (%)\nYear-to-date total return through:\nQ2 2025\n4.46 %\nBest quarter:\nQ3 2024\n6.27 %\nWorst quarter:\nQ4 2024\n- 4.26 %\nSince inception\nAverage annual total returns (%) as of 12/31/2024\n1 year\n12/19/2023\nBefore tax\n0.68\n1.14\nafter tax on distributions\n- 1.37\n- 0.89\nafter tax on distributions, with sale\n0.40\n0.03\nBloomberg U.S. Aggregate Bond Index (reflects no deduction for fees, expenses, or taxes)\n1.25\n2.04 Investment management Investment advisor John Hancock Investment Management LLC Subadvisor Manulife Investment Management (US) LLC Portfolio management The following individuals are jointly and primarily responsible for the day-to-day management of the fund s portfolio.\nJeffrey N. Given, CFA\nHoward C. Greene, CFA\nConnor Minnaar, CFA\nPranay Sonalkar, CFA\nSenior Portfolio Manager, Co-Head of U.S. Core and Core-Plus Fixed Income Managed the fund since 2023\nSenior Portfolio Manager, Co-Head of U.S. Core and Core-Plus Fixed Income Managed the fund since 2023\nPortfolio Manager Managed fund since 2023\nPortfolio Manager Managed the fund since 2023 Purchase and sale of fund shares Shares of the fund may be purchased only by or on behalf of separately managed account clients where the fund s subadvisor or an affiliate of the subadvisor (each a Managed Account Adviser ) has an agreement with the managed account program sponsor (the Program Sponsor ), or directly with the client, to provide management or advisory services to the managed account. There are no maximum or minimum investment requirements in the fund (although your Program Sponsor may have certain investment requirements). Redemption orders are made based on instructions from your Managed Account Adviser or Program Sponsor to the broker/dealer who executes trades for the account. Shares of the fund can be redeemed through the broker/dealer on any day the New York Stock Exchange is open. Taxes The fund s distributions are taxable, and will be taxed as ordinary income and/or capital gains, unless you are investing through a tax-deferred arrangement, such as a 401(k) plan or individual retirement account. Withdrawals from such tax-deferred arrangements may be subject to tax at a later date. Payments to broker-dealers and other financial intermediaries If you purchase the fund through a broker-dealer or other fin\n...\nMinnaar, CFA Portfolio Manager Managed the fund since 2022 Joined Manulife IM (US) in 2006 Began business career in 2002 Pranay Sonalkar, CFA Portfolio Manager Managed the fund since 2021 Joined Manulife IM (US) in 2014 Began business career in 2007 Portfolio Managers for Investment-Grade Corporate Bond Portfolio and Non-Investment-Grade Corporate Bond Portfolio: Jeffrey N. Given, CFA Senior Portfolio Manager, Co-Head of U.S. Core and Core-Plus Fixed Income Managed the fund since 2019 Joined Manulife IM (US) in 1993 Began business career in 1993 Spencer Godfrey Associate Portfolio Manager Managed the fund since 2025 Joined Manulife IM (US) in 2016 Began business career in 2003 Howard C. Greene, CFA Senior Portfolio Manager, Co-Head of U.S. Core and Core-Plus Fixed Income Managed the fund since 2019 Joined Manulife IM (US) in 2002 Began business career in 1979 Connor Minnaar, CFA Portfolio Manager Managed the fund since 2023 Joined Manulife IM (US) in 2006 Began business career in 2002 Pranay Sonalkar, CFA Portfolio Manager Managed the fund since 2021 Joined Manulife IM (US) in 2014 Began business career in 2007 Portfolio Managers for Non-Investment Grade Municipal Bond Portfolio: Dennis DiCicco Portfolio Manager Managed the fund since 2022 Joined Manulife IM (US) in 2016 Fixed Income Trader, Capital Security Advisors, LLC (2013 2016) Began business career in 2008 Adam A. Weigold, CFA Senior Portfolio Manager, Head of Municipal Bonds Managed the fund since 2022 Joined Manulife IM (US) in 2021 Vice President and Senior Portfolio Manager, Eaton Vance Management (1998 2021) Began business career in 1998 Custodian The custodian holds the funds assets, settles all portfolio trades, and collects most of the valuation data required for calculating each fund s net asset value. State Street Bank and Trust Company One Congress Street, Suite 1 Boston, MA 02114 Principal distributor The principal distributor markets the funds and distributes shares through selling brokers, financial planners, and other financial professionals. John Hancock Investment Management Distributors LLC 200 Berkeley Street Boston, MA 02116 Transfer agent The transfer agent handles shareholder services, including recordkeeping and statements, distribution of dividends, and processing of buy-and-sell requests. John Hancock Signature Services, Inc. P.O. Box 219909 Kansas City, MO 64121-9909 Additional information Each fund has entered into contractual arrangements with various parties that provide services to the fund, which may include, among others, the advisor, subadvisor, custodian, principal distributor, and transfer agent, as described above and in the SAI. Fund shareholders are not parties to, or intended or third-party beneficiaries of, any of these contractual arrangements. These contractual arrangements are not intended to, nor do they, create in any individual shareholder or group of shareholders any right, either directly or on behalf of the fund, to either: (a) enforce such contracts against the service providers; or (b) seek any remedy under such contracts against the service providers. 36\nFund details This prospectus provides information concerning the funds that you should consider in determining whether to purchase shares of the funds. Each of this prospectus, the SAI, or any contract that is an exhibit to the funds registration statement, is not intended to, nor does it, give rise to an agreement or contract between the funds and any investor. Each such document also does not give rise to any contract or create rights in any individual shareholder, group of shareholders, or other person. The foregoing disclosure should not be read to suggest any waiver of any rights conferred by federal or state securities laws. 37\nFund details Financial highlights These tables detail the financial performance of each fund described in this prospectus, including total return information showing how much an investment in the fund has increased or decreased for the periods shown below (assuming reinvestment of all dividends and distributions). Certain information reflects finan\n...\nnce Company of New York\nJHLICO U.S.A.\nJohn Hancock Life Insurance Company (U.S.A.)\nLOI\nLetter of Intention\nLIBOR\nLondon Interbank Offered Rate\nMAAP\nMonthly Automatic Accumulation Program\nManulife Financial or MFC\nManulife Financial, a publicly traded company based in Toronto, Canada\nManulife IM (US)\nManulife Investment Management (US) LLC\nMiFID II\nMarkets in Financial Instruments Directive\nMoody's\nMoody s Investors Service, Inc\nNAV\nNet Asset Value\nNRSRO\nNationally Recognized Statistical Rating Organization\nNYSE\nNew York Stock Exchange\nOID\nOriginal Issue Discount\nOTC\nOver-The-Counter\nPAC\nPlanned Amortization Class\nPFS\nPersonal Financial Services\nPOs\nPrincipal-Only\nPRC\nPeople's Republic of China\nREITs\nReal Estate Investment Trusts\nRIC\nRegulated Investment Company\nRPS\nJohn Hancock Retirement Plan Services\nSARSEP\nSalary Reduction Simplified Employee Pension Plan\nSEC\nSecurities and Exchange Commission\nSEP\nSimplified Employee Pension\nSIMPLE\nSavings Incentive Match Plan for Employees\nS P\nS P Global Ratings\nSLMA\nStudent Loan Marketing Association\nSOFR\nSecured Overnight Financing Rate\nSPACs\nSpecial Purpose Acquisition Companies\nState Street\nState Street Bank and Trust Company, One Congress Street, Suite 1, Boston, MA 02114\nsubadvisor\nAny subadvisors employed by John Hancock within this SAI as noted in Appendix B and as the context may require\nTAC\nTarget Amortization Class\nTIGRs\nTreasury Receipts, Treasury Investors Growth Receipts\nTrust\nJohn Hancock Bond Trust John Hancock California Tax-Free Income Fund John Hancock Capital Series John Hancock Current Interest John Hancock Exchange-Traded Fund Trust John Hancock Funds II John Hancock Funds III John Hancock Investment Trust John Hancock Investment Trust II John Hancock Municipal Securities Trust John Hancock Sovereign Bond Fund John Hancock Strategic Series John Hancock Variable Insurance Trust\nTSA\nTax-Sheltered Annuity\nunaffiliated underlying funds\nunderlying funds that are advised by an entity other than John Hancock s investment advisor or its affiliates 3\nTerm\nDefinition\nunderlying funds\nfunds in which the funds of funds invest\nUK\nUnited Kingdom 4\nOrganization of the TRUST The Trust is organized as a Massachusetts business trust under the laws of The Commonwealth of Massachusetts and is an open-end management investment company registered under the 1940 Act. Managed Account Shares Bond Completion Portfolio is a non-diversified series of the Trust and each other fund is a diversified series of the Trust, as those terms are used in the 1940 Act, and as interpreted or modified by regulatory authority having jurisdiction, from time to time. The following table sets forth the date the Trust was organized:\nTrust\nDate of Organization\nJohn Hancock Strategic Series\nApril 16, 1986 The Advisor is a Delaware limited liability company whose principal offices are located at 200 Berkeley Street, Boston, Massachusetts 02116. The Advisor is registered as an investment advisor under the Advisers Act. The Advisor is an indirect principally owned subsidiary of JHLICO U.S.A. JHLICO U.S.A. and its subsidiaries today offer a broad range of financial products, including life insurance, annuities, 401(k) plans, long-term care insurance, college savings, and other forms of business insurance. Additional information about John Hancock may be found on the Internet at johnhancock.com. The ultimate controlling parent of the Advisor is MFC, a publicly traded company based in Toronto, Canada. MFC is the holding company of The Manufacturers Life Insurance Company and its subsidiaries, collectively known as Manulife Financ", "ontology": {"Fund": {"advisedBy": ["Administrator"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "subAdvisedBy": ["SubAdviser"], "transferAgent": ["TransferAgent"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:John_Hancock_Income_Fund", "p": "advisedBy", "o": "org:John_Hancock_Investment_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:John_Hancock_Income_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:John_Hancock_Income_Fund", "p": "seriesOf", "o": "trust:JOHN_HANCOCK_STRATEGIC_SERIES", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:John_Hancock_Income_Fund", "p": "subAdvisedBy", "o": "org:Manulife_Investment_Management_US_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:John_Hancock_Income_Fund", "p": "transferAgent", "o": "org:John_Hancock_Signature_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:John_Hancock_Managed_Account_Shares_Bond_Completion_Portfolio", "p": "advisedBy", "o": "org:John_Hancock_Investment_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:John_Hancock_Managed_Account_Shares_Bond_Completion_Portfolio", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:John_Hancock_Managed_Account_Shares_Bond_Completion_Portfolio", "p": "seriesOf", "o": "trust:JOHN_HANCOCK_STRATEGIC_SERIES", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:John_Hancock_Managed_Account_Shares_Bond_Completion_Portfolio", "p": "subAdvisedBy", "o": "org:Manulife_Investment_Management_US_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:John_Hancock_Managed_Account_Shares_Bond_Completion_Portfolio", "p": "transferAgent", "o": "org:John_Hancock_Signature_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:John_Hancock_Managed_Account_Shares_Investment_Grade_Corporate_Bond_Portfolio", "p": "advisedBy", "o": "org:John_Hancock_Investment_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:John_Hancock_Managed_Account_Shares_Investment_Grade_Corporate_Bond_Portfolio", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, 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HANCOCK STRATEGIC SERIES <predicate_marker> subAdvisedBy <object_marker> Manulife Investment Management (US) LLC <predicate_marker> transferAgent <object_marker> John Hancock Signature Services, Inc. <triple_end>\n<triple_start> John Hancock Managed Account Shares Bond Completion Portfolio <predicate_marker> advisedBy <object_marker> John Hancock Investment Management LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> JOHN HANCOCK STRATEGIC SERIES <predicate_marker> subAdvisedBy <object_marker> Manulife Investment Management (US) LLC <predicate_marker> transferAgent <object_marker> John Hancock Signature Services, Inc. <triple_end>\n<triple_start> John Hancock Managed Account Shares Investment-Grade Corporate Bond Portfolio <predicate_marker> advisedBy <object_marker> John Hancock Investment Management LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> 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{"sample_id": "0000811394:ALL", "cik": "0000811394", "trust_name": "PRUDENTIAL VARIABLE CONTRACT ACCOUNT 24", "input_text": ", Greenwood Village, CO. 80111 or 13 by fax to Empower, Attn: Empower Care Center at (866) 633-5212. In order to process a withdrawal request or death benefit claim, it must be submitted to Empower in Good Order. In some cases, the Contractholder or a third-party may provide recordkeeping services for a Contract instead of Empower. In that case, withdrawal and transfer procedures may vary. Transaction requests (including death benefit claims) received directly by Empower in Good Order on a given business day before the established transaction cutoff time (4 PM Eastern Time or such earlier time that the New York Stock Exchange may close) will be effective for that business day. Note: Empower does not guarantee access to telephonic, fax, internet or any other electronic information or that it will be able to accept transaction instructions via such means at all times. Nor, due to circumstances beyond our control, can Empower provide any assurances as to the delivery of transaction instructions submitted by regular and/or express mail. Regular and/or express mail (if operational) will be the only means by which Empower will accept transaction instructions when telephonic, fax, Internet or any other electronic means are unavailable or delayed. Empower reserves the right to limit, restrict or terminate telephonic, fax, Internet or any other electronic transaction privileges at any time. Empower and/or the Contractholder will notify a Participant of any such limitations or restrictions. About Prudential The Investment Options Prudential Prudential is a New Jersey stock life insurance company that has been doing business since 1875, and has its principal place of business at 751 Broad Street, Newark, New Jersey 07102. Prudential s financial statements are included in the SAI. Empower Financial Services, Inc. ( EFSI ) is the principal underwriter of the Contracts. That means it is responsible for certain sales and distribution functions for the Contracts. EFSI is registered as a broker-dealer under the Securities Exchange Act of 1934. Its principal place of business is located at 8515 East Orchard Road, Greenwood Village, CO 80111. On July 21, 2021, Great-West Life Annuity Insurance Company ( Great-West ) and Prudential Financial, Inc. ( PFI ), Prudential s parent company, announced a strategic transaction, whereby, Great-West would, among other things, administer and reinsure the MEDLEY Contracts (the Transaction ). The Transaction closed April 1, 2022. On or about October 1, 2022, Great-West changed its name to Empower Annuity Insurance Company of America. The Investment Options Each of VCA 10 and VCA 11, and VCA 24 are a separate account of Prudential. This means the assets of each are the property of Prudential but are kept separate from Prudential s general assets and cannot be used to meet liabilities from Prudential s other businesses. Prudential is obligated to pay all amounts promised to investors under the Contracts. The income, gains, and losses credited to, or charged against, the Investment Options reflect each Separate Account s own investment experience and not the investment experience of Prudential s other assets. For more information about the Investment Options and their investment objectives, please refer to the section of this prospectus titled Investment Options. Each of VCA 10, VCA 11, and VCA 24 are registered with the SEC as unit investment trusts, which is a type of investment company. If VCA 10 is available under your Program, you may invest in the Fidelity Fund. If VCA 11 is available under your Program, you may in", "ontology": {"Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "trust:PRUDENTIAL_VARIABLE_CONTRACT_ACCOUNT_24", "p": "underwrittenBy", "o": "org:Empower_Financial_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> PRUDENTIAL VARIABLE CONTRACT ACCOUNT 24 <predicate_marker> underwrittenBy <object_marker> Empower Financial Services, Inc. <triple_end>", "target_serialized_plain": "PRUDENTIAL VARIABLE CONTRACT ACCOUNT 24 underwrittenBy Empower Financial Services, Inc. .", "stats": {"input_chars": 3600, "n_triples": 1, "text_to_json_ratio": 24.0}}
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{"sample_id": "0000825345:ALL", "cik": "0000825345", "trust_name": "NEW AMERICA HIGH INCOME FUND INC", "input_text": "achieve its investment objective. See \"Risk Factors and Special Considerations.\"\nThe Fund has had a leveraged capital structure since it began operation. The Fund is subject to various portfolio diversification and related asset coverage requirements under guidelines established by Moody's Investors Service, Inc. (\"Moody's\") and Fitch Ratings, Inc. (\"Fitch\") in connection with such rating agencies' issuance of ratings of Aaa and AAA, respectively, with respect to the Fund's Auction Term Preferred Stock (the \"ATP\"). Compliance with these guidelines limits the Fund's flexibility to invest in certain types of securities that might otherwise be attractive investments, including private placements. See \"The Fund,\" \"Investment Objective and Policies\" and \"Rating Agency Guidelines.\"\nIf all of the Common Stock covered by the Rights is sold, the Fund expects that the Board of Directors will authorize the Fund to issue more ATP, so that the percentage of the Fund's assets representing leverage will be approximately the same as prior to the sale of that Common Stock. However, there is no assurance that it will do so. As of May 31, 2007, the Fund's leverage ratio (the ratio of the Fund's senior securities to the sum of its net assets and its senior securities) was approximately 37%, which would be reduced to approximately 32% in the event all Rights are exercised and no additional leverage is incurred. Incurring additional leverage will reduce any investment flexibility gained by the Fund as a result of the availability of additional assets from the exercise of Rights pursuant to the Offer. See \"The Fund\" and \"Risk Factors and Special Considerations Leverage\" for discussion of the risks and possible benefits associated with a leveraged capital structure.\nThe Investment Adviser\nT. Rowe Price Associates, Inc. (\"T. Rowe Price\" or \"Investment Adviser\"), was selected by the Fund's Board of Directors to serve as the Fund's investment adviser starting December 2, 2002. The Investment Adviser's principal offices are located at 100 East Pratt Street, Baltimore, Maryland 21202. As of March 31, 2007, T. Rowe Price and its affiliates managed approximately $350 billion of assets, including approximately $70 billion of fixed income securities. \"High-yield\" investments represented approximately $10.6 billion of these totals. T. Rowe Price has provided investment advisory services to investment companies since 1937. T. Rowe Price is not affiliated with the Fund's executive officers or its Board of Directors.\n5\nRisk Factors\nAn investment in the Fund is subject to a number of significant risks, which are magnified due to the Fund's leveraged capital structure. The Fund cannot give any assurance that it will achieve its investment objective. The NAV and market price of the Fund's Common Stock have declined sharply at times and may do so in the future.\nBefore exercising the Rights pursuant to the Offer, you should consider all of the factors described in this Prospectus. These factors include, among others, potential dilution of the NAV of your Shares caused by the Offer, the effects of the Fund's leveraged capital structure, the risks involved in investing in lower-quality securities, the negative consequences for the Fund if it fails to meet certain asset coverage requirements, and the fact that Shares may trade at either a discount from or a premium to NAV.\nFEE TABLE\nStockholder Transaction Expenses\nSales Load (as a percentage of offering price) 1\nNone\nDividend Reinvestment and Cash Purchase Plan Fees 2\nNone\nAnnual Expenses (as a percentage of net assets attrib\n...\ns Common Stock trading at a price that is equal to or approximates its NAV. The Board does not have a policy with respect to a periodic consideration of the appropriateness of taking action to repurchase or tender for the Fund's shares. In addition, the Board will not necessarily announce when it has given consideration to these matters. Notwithstanding the foregoing, so long as any shares of ATP are outstanding, the Fund may not purchase, redeem or otherwise acquire any Common Stock unless (1) all accumulated dividends on the ATP have been paid or set aside for payment through the date of such purchase, redemption or other acquisition and (2) at the time of such purchase, redemption or acquisition the ATP Basic Maintenance Amount and the 1940 Act ATP Asset Coverage (determined after deducting the acquisition price of the Common Stock) are met. Any tender offer will be made and holders of Common Stock notified in accordance with the requirements of the Securities Exchange Act of 1934 and the 1940 Act, either by publication or mailing or both.\nAlthough the Board of Directors believes that share repurchases and tenders generally would have a favorable effect on the market price of the Fund's Common Stock, it should be recognized that the acquisition of shares by the Fund will decrease the total assets of the Fund and, therefore, have the effect of increasing the Fund's expense ratio. In addition, any purchase by the Fund of its Common Stock as at a time when the shares of ATP are outstanding will increase the leverage applicable to the outstanding Common Stock then remaining. Repurchases of Common Stock may result in the Fund being required to redeem shares of ATP to satisfy asset coverage requirements.\nCUSTODIAN, AUCTION AGENT, REGISTRAR, TRANSFER AGENT AND PAYING AGENT\nState Street Bank and Trust Company, with principal place of business at 225 Franklin Street, Boston, Massachusetts 02110, serves as the custodian of Fund's securities and cash (\"Custodian\"). Its services include holding securities, delivering securities, registering securities, opening and maintaining bank accounts, collecting income, paying of Fund monies, and executing certain documents for tax purposes. In accordance with SEC rules, Fund assets may be outside the United States in the custody of non-U.S. banks and securities depositories.\nDeutsche Bank Trust Company Americas, with principal business address at 60 Wall Street, New York, New York 10005-2958, acts as the Registrar, Transfer Agent, Paying Agent and Auction Agent for the ATP.\nAmerican Stock Transfer Trust Company, whose principal business address is at 59 Maiden Lane, New York, NY 10038, serves as the Transfer Agent, Registrar and Dividend Paying Agent for the Fund's Common Stock.\nREPORTS TO STOCKHOLDERS\nThe Fund will send unaudited semi-annual and audited annual reports to stockholders, including a list of the portfolio investments held by the Fund. The Fund's proxy, shareholder reports and certain other information about the Fund can be seen on the Fund's web site http://www.newamerica-hyb.com.\n78\nLEGAL MATTERS\nCertain legal matters with respect to the Offer will be passed upon by Sullivan Worcester LLP, Washington, DC. An opinion regarding the valid issuance of the Common Stock and certain other matters of Maryland law will be rendered by Venable LLP, Baltimore, Maryland. Sullivan Worcester LLP will rely as to matters of Maryland law upon such opinion.\nINDEPENDENT REGISTERED PUBLIC ACCOUNTANTS\nThe firm of Tait, Weller Baker LLP (\"TWB\"), with principal business address at 1818 Market Street, Philadelphi", "ontology": {"Fund": {"advisedBy": ["InvestmentAdviser"], "custodian": ["Custodian"]}}, "target_triples": [{"s": "fund:The_New_America_High_Income_Fund_Inc", "p": "advisedBy", "o": "org:T_Rowe_Price_Associates_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:The_New_America_High_Income_Fund_Inc", "p": "custodian", "o": "org:State_Street_Corporation", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> The New America High Income Fund, Inc. <predicate_marker> advisedBy <object_marker> T. 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{"sample_id": "0000827060:ALL", "cik": "0000827060", "trust_name": "American Century Quantitative Equity Funds, Inc.", "input_text": "000827060 ck0000827060:AmericanCenturyQuantitativeEquityFundsProspectusMember ck0000827060:S000005982Member ck0000827060:C000016488Member 2017-01-01 2017-12-31 0000827060 ck0000827060:AmericanCenturyQuantitativeEquityFundsProspectusMember ck0000827060:S000005982Member ck0000827060:C000016488Member 2018-01-01 2018-12-31 0000827060 ck0000827060:AmericanCenturyQuantitativeEquityFundsProspectusMember ck0000827060:S000005982Member ck0000827060:C000016488Member 2019-01-01 2019-12-31 0000827060 ck0000827060:AmericanCenturyQuantitativeEquityFundsProspectusMember ck0000827060:S000005982Member ck0000827060:C000016488Member 2020-01-01 2020-12-31 0000827060 ck0000827060:AmericanCenturyQuantitativeEquityFundsProspectusMember ck0000827060:S000005982Member ck0000827060:C000016488Member 2021-01-01 2021-12-31 0000827060 ck0000827060:AmericanCenturyQuantitativeEquityFundsProspectusMember ck0000827060:S000005982Member ck0000827060:C000016488Member 2022-01-01 2022-12-31 0000827060 ck0000827060:AmericanCenturyQuantitativeEquityFundsProspectusMember ck0000827060:S000005982Member ck0000827060:C000016488Member 2023-01-01 2023-12-31 0000827060 ck0000827060:AmericanCenturyQuantitativeEquityFundsProspectusMember ck0000827060:S000005982Member ck0000827060:C000016488Member 2024-01-01 2024-12-31 As Filed with the U.S. Securities and Exchange Commission on October 27, 2025 1933 Act File No. 033-19589 1940 Act File No. 811-05447 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 __________________ FORM N-1A __________________ REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. Post-Effective Amendment No. 112 and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 Amendment No. 114 (Check appropriate box or boxes.) __________________ AMERICAN CENTURY QUANTITATIVE EQUITY FUNDS, INC. (Exact Name of Registrant as Specified in Charter) __________________ 4500 MAIN STREET, KANSAS CITY, MISSOURI 64111 (Address of Principal Executive Offices) (Zip Code) REGISTRANT S TELEPHONE NUMBER, INCLUDING AREA CODE: (816) 531-5575 JOHN PAK 4500 MAIN STREET, KANSAS CITY, MISSOURI 64111 (Name and Address of Agent for Service) Approximate Date of Proposed Public Offering: November 1, 2025 It is proposed that this filing will become effective (check appropriate box) immediately upon filing pursuant to paragraph (b) on November 1, 2025 at 8:30 AM (Central) pursuant to paragraph (b) 60 days after filing pursuant to paragraph (a)(1) on (date) pursuant to paragraph (a)(1) 75 days after filing pursuant to paragraph (a)(2) on (date) pursuant to paragraph (a)(2) of rule 485. If appropriate, check the following box: this post-effective amendment designates a new effective date for a previously filed post-effective amendment. November 1, 2025 American Century Investments Prospectus Disciplined Core Value Fund Investor Class (BIGRX) I Class (AMGIX) A Class (AMADX) C Class (ACGCX) R Class (AICRX) R5 Class (AICGX) The Securities and Exchange Commission has not approved or disapproved these securities or passed upon the adequacy of this prospectus. Any representation to the contrary is a criminal offense. Table of Contents Fund Summary 2 Investment Objective 2 Fees and Expenses 2 Principal Investment Strategies 3 Principal Risks 3 Fund Performance 3 Portfolio Management 5 Purchase and Sale of Fund Shares 5 Tax Information 5 Payments to Broker-Dealers and Other Financial Intermediaries 5 Objectives, Strategies and Risks 6 Management 8 Investing Directly with American Century Investments 10 Investing Through a Financial Intermediary 12\n...\nrter ( 1Q 2020 ): - 20.72 % As of September 30, 2025 , the most recent calendar quarter end, the fund s Investor Class year-to-date return was 9.84 %. Average Annual Total Returns For the calendar year ended December 31, 2024 1 year 5 years 10 years Investor Class Return Before Taxes 13.26 % 8.24 % 8.29 % Return After Taxes on Distributions 12.90 % 5.63 % 5.96 % Return After Taxes on Distributions and Sale of Fund Shares 8.10 % 5.80 % 5.97 % I Class Return Before Taxes 13.48 % 8.45 % 8.50 % A Class Return Before Taxes 6.51 % 6.70 % 7.38 % C Class 1 Return Before Taxes 12.18 % 7.17 % 7.38 % R Class Return Before Taxes 12.70 % 7.70 % 7.75 % R5 Class 2 Return Before Taxes 13.51 % 8.45 % 8.51 % Russell 1000 Index (reflects no deduction for fees, expenses or taxes) 24.51 % 14.28 % 12.87 % Russell 1000 Value Index (reflects no deduction for fees, expenses or taxes) 14.37 % 8.68 % 8.49 % 1 C Class shares automatically convert to A Class shares after approximately eight years. All returns for periods greater than eight years reflect this conversion. 2 Historical performance for the R5 Class prior to its inception ( April 10, 2017 ) is based on the performance of I Class shares, which have the same expenses as the R5 Class shares. The after-tax returns are shown only for Investor Class shares. After-tax returns for other share classes will vary. After-tax returns are calculated using the historical highest individual federal marginal income tax rates and do not reflect the impact of state and local taxes. Actual after-tax returns depend on an investor s tax situation and may differ from those shown. After-tax returns are not relevant to investors who hold their fund shares through tax-deferred arrangements, such as 401(k) plans or IRAs. 4 Portfolio Management Investment Advisor American Century Investment Management, Inc. Portfolio Managers Mattia Bacciardi, CFA, CQF, Portfolio Manager, has been a member of the team that manages the fund since 2024. Yulin Long, Ph.D., CFA, Vice President, Portfolio Manager and Senior Quantitative Analyst, and Head of Quantitative Research, has been a member of the team that manages the fund since 2005. Stephen Quance , Senior Vice President, CIO of Disciplined Equity and Head of Global Analytics , has been a member of the team that manages the fund since 2023. Purchase and Sale of Fund Shares You may purchase or redeem shares of the fund on any business day through our website at americancentury.com, in person (at one of our Investor Centers), by mail (American Century Investments, P.O. Box 419200, Kansas City, MO 64141-6200), by telephone at 1-800-345-2021 (Investor Services Representative) or 1-800-345-3533 (Business, Not-For-Profit and Employer-Sponsored Retirement Plans), or through a financial intermediary. Shares may be purchased and redemption proceeds received by electronic bank transfer, by check or by wire. Unless otherwise specified below, the minimum initial investment amount to open an account is $2,500 ($1,000 for Coverdell Education Savings Accounts and IRAs). However, American Century Investments will waive the fund minimum if you make an initial investment of at least $500 and continue to make automatic investments of at least $100 a month until reaching the fund minimum. Investors opening accounts through financial intermediaries may open an account with $250 for Investor, A, C and R Classes, but the financial intermediaries may require their clients to meet different investment minimums. The minimum may be waived for broker-dealer sponsored wrap program accounts, fee based accounts, and acco\n...\nSenior Quantitative Analyst, and Head of Quantitative Research, has been a member of the team that manages the fund since joining American Century Investments as a quantitative analyst in 2005. She became a senior quantitative analyst in 2007, a vice president and senior quantitative analyst in 2012, and a portfolio manager and a senior quantitative analyst in 2013. She has a bachelor s degree in finance from Beijing University, a master s degree in accounting from Hong Kong University of Science Technology, and a Ph.D. in accounting from Stanford University. She is a CFA charterholder and member of the CFA Institute. Stephen Quance Mr. Quance, Senior Vice President, CIO of Disciplined Equity and Head of Global Analytics, has been a member of the team that manages the fund since joining American Century Investments in 2023. Prior to joining American Century, Mr. Quance was the Global Director of Factor Investing from 2019 to 2023 at Invesco Ltd. He has a bachelor of science in civil and environmental engineering from Rice University and an MBA from The University of Texas, McCombs School of Business. The statement of additional information provides additional information about the accounts managed by the portfolio managers, the structure of their compensation, and their ownership of fund securities. Fundamental Investment Policies Shareholders must approve any change to the fundamental investment policies contained in the statement of additional information, as well as any change to the investment objective of the fund. The Board of Directors and/or the advisor may change any other policies or investment strategies described in this prospectus or otherwise used in the operation of the fund at any time, subject to applicable notice provisions. 9 Investing Directly with American Century Investments Services Automatically Available to You Most accounts automatically have access to the services listed under Ways to Manage Your Account when the account is opened. If you have questions about the services that apply to your account type, please call us. Generally, once your account is established, any registered owner (including those on jointly owned accounts) or any trustee (including those on trust accounts with multiple trustees), or any authorized signer on business accounts with multiple authorized signers, may transact business by any of the methods described below. American Century reserves the right to require all owners or trustees or authorized signers to act together, at our discretion. Account Maintenance Fee If you hold Investor Class shares of any American Century Investments mutual fund, or I Class shares of the American Century Diversified Bond Fund, in an American Century Investments account (i.e., not through a financial intermediary or employer-sponsored retirement plan account), we may charge you a $25 annual account maintenance fee if the value of those shares is less than $25,000. We will determine the amount of your total eligible investments once per year, generally the last Friday in October. If the value of those investments is less than $25,000 at that time, we will automatically redeem shares in one of your accounts to pay the $25 fee as soon as administratively possible. Please note that you may incur tax liability as a result of the redemption. In determining your total eligible investment amount, we will include your investments in all personal accounts registered under your Social Security number (including directly held American Century Investments mutual fund accounts, as well as certain retirement, Ameri\n...\ne most recent 12-month period ended June 30, are available at americancentury.com/docs or may be requested free of charge by calling toll-free at 1-800-345-2021. The advisor s proxy voting record also is available on the SEC s website at sec.gov. The Funds Principal Shareholders A list of the funds principal shareholders appears in Appendix A . Service Providers The funds have no employees. To conduct the funds day-to-day activities, the corporation has hired a number of service providers. Each service provider has a specific function to fill on behalf of the funds that is described below. ACIM, ACS and ACIS are wholly owned, directly or indirectly, by ACC. The Stowers Institute for Medical Research (SIMR) controls ACC by virtue of its beneficial ownership of more than 25% of the voting securities of ACC. SIMR is part of a not-for-profit biomedical research organization dedicated to finding the keys to the causes, treatments and prevention of disease. Investment Advisor American Century Investment Management, Inc. (ACIM) serves as the investment advisor for each of the funds. A description of the responsibilities of the advisor appears in each prospectus under the heading Management. Each class of each fund is subject to a contractual unified management fee based on a percentage of the daily net assets of such class. For more information about the unified management fee, see The Investment Advisor under the heading Management in each fund s prospectus. For each fund with a stepped fee schedule, the rate of the fee is determined daily in a multi-step process. First, each fund is categorized according to the broad asset class in which it invests (e.g., money market, bond or equity), and the assets of all funds for which ACIM serves as the investment advisor and for which American Century Investment Services, Inc. (ACIS) serves as the distributor are totaled for each category (Fund Category Assets). Second, the assets are totaled for certain other accounts managed by the advisor (Other Account Category Assets). To be included, these accounts must have the same management team and investment objective as a fund in the same category with the same Board of Directors as the corporation. Together, the Fund Category Assets and the Other Account Category Assets comprise the Investment Category Assets. The Investment Category Fee Rate is then calculated by applying a fund s Investment Category Fee Schedule to the Investment Category Assets and dividing the result by the Investment Category Assets. Finally, a separate Complex Fee Schedule is applied to the assets of all funds for which ACIM serves as the investment advisor and for which ACIS serves as the distributor (the Complex Assets), and the Complex Fee Rate is calculated based on the resulting total. The Investment Category Fee Rate and the Complex Fee Rate are then added to determine the Management Fee Rate payable by a class of the fund to the advisor. 28 For purposes of determining the assets that comprise the Fund Category Assets, Other Account Category Assets and Complex Assets, the assets of registered investment companies managed by the advisor that invest exclusively in the shares of other registered investment companies shall not be included. For each fund with a stepped fee schedule, the schedules by which the unified management fee is determined are shown below. Investment Category Fee Schedule for: Disciplined Core Value, Equity Growth, Global Gold and Utilities Category Assets Fee Rate First $1 billion 0.5200% Next $5 billion 0.4600% Next $15 billion 0.4160% Next $25 billion 0.\n...\nciplined Growth Mattia Bacciardi A Yulin Long A Stephen Quance C Equity Growth Mattia Bacciardi A Yulin Long A Stephen Quance A Global Gold Mattia Bacciardi A Yulin Long E Stephen Quance C Small Company Mattia Bacciardi A Yulin Long A Stephen Quance C Utilities Mattia Bacciardi A Yulin Long A Stephen Quance A Ranges: A none; B $1-$10,000; C $10,001-$50,000; D $50,001-$100,000; E $100,001-$500,000; F $500,001-$1,000,000; G More than $1,000,000. Transfer Agent and Administrator American Century Services, LLC, (ACS) 4500 Main Street, Kansas City, Missouri 64111, serves as transfer agent and dividend-paying agent for the funds. It provides physical facilities, computer hardware and software, and personnel for the day-to-day administration of the funds and the advisor. The advisor pays ACS s costs for serving as transfer agent and dividend-paying agent for the funds out of the advisor s unified management fee. For a description of this fee and the terms of its payment, see the above discussion under the caption Investment Advisor on page 28. Proceeds from purchases of fund shares may pass through accounts maintained by the transfer agent at Commerce Bank, N.A. or UMB Bank, n.a. before being held at the fund s custodian. Redemption proceeds also may pass from the custodian to the shareholder through such bank accounts. From time to time, special services may be offered to shareholders who maintain higher share balances in our family of funds. These services may include the waiver of minimum investment requirements, expedited confirmation of shareholder transactions, newsletters and a team of personal representatives. Any expenses associated with these special services will be paid by the advisor. Sub-Administrator The advisor has entered into an Administration Agreement with State Street Bank and Trust Company (SSB) to provide certain fund accounting, fund financial reporting, tax and treasury/tax compliance services for the funds, including striking the daily net asset value for each fund. The advisor pays SSB a monthly fee as compensation for these services that is based on the total net assets of accounts in the American Century complex serviced by SSB. ACS does pay SSB for some additional services on a per fund basis. While ACS continues to serve as the administrator of the funds, SSB provides sub-administrative services that were previously undertaken by ACS. 34 Distributor The funds shares are distributed by American Century Investment Services, Inc. (ACIS), a registered broker-dealer. The distributor is a wholly owned subsidiary of ACC and its principal business address is 4500 Main Street, Kansas City, Missouri 64111. The distributor is the principal underwriter of the funds shares. The distributor makes a continuous, best-efforts underwriting of the funds shares. This means the distributor has no liability for unsold shares. The advisor pays ACIS s cost for serving as principal underwriter of the funds shares out of the advisor s unified management fee. For a description of this fee and the terms of its payment, see the above discussion under the heading Investment Advisor on page 28. ACIS does not earn commissions for distributing the funds shares. Certain financial intermediaries unaffiliated with the distributor or the funds may perform various administrative and shareholder services for their clients who are invested in the funds. 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{"sample_id": "0000887509:ALL", "cik": "0000887509", "trust_name": "BlackRock Capital Appreciation Fund, Inc.", "input_text": "417Member bcafi:ClassKMember oef:AfterTaxesOnDistributionsMember 2015-01-01 2024-12-31 0000887509 bcafi:ClassKMember bcafi:Russell1000GrowthIndexMember 2015-01-01 2024-12-31 0000887509 bcafi:ClassKMember bcafi:SP500IndexMember 2015-01-01 2024-12-31 0000887509 bcafi:InvestorACInstitutionalClassRMember bcafi:C000006954Member 2015-01-01 2024-12-31 0000887509 bcafi:InvestorACInstitutionalClassRMember bcafi:C000006955Member 2015-01-01 2024-12-31 0000887509 bcafi:InvestorACInstitutionalClassRMember bcafi:C000006956Member 2015-01-01 2024-12-31 0000887509 bcafi:InvestorACInstitutionalClassRMember bcafi:Russell1000GrowthIndexMember 2015-01-01 2024-12-31 0000887509 bcafi:InvestorACInstitutionalClassRMember bcafi:SP500IndexMember 2015-01-01 2024-12-31 iso4217:USD xbrli:pure As filed with the Securities and Exchange Commission on September 24, 2025 Securities Act File No. 33-47875 Investment Company Act File No. 811-6669 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. Post-Effective Amendment No. 49 and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 Amendment No. 50 (Check appropriate box or boxes) BlackRock Capital Appreciation Fund, Inc. (Exact Name of Registrant as Specified in Charter) 100 Bellevue Parkway, Wilmington, Delaware 19809 United States of America (Address of Principal Executive Offices) Registrant s Telephone Number, including Area Code: (800) 441-7762 John M. Perlowski BlackRock Capital Appreciation Fund, Inc. 50 Hudson Yards New York, New York 10001 United States of America (Name and Address of Agent for Service) Copies to:\nCounsel for the Fund:\nJesse C. Kean, Esq. Sidley Austin LLP 787 Seventh Avenue New York, New York 10019\nJaney Ahn, Esq. BlackRock Advisors, LLC 50 Hudson Yards New York, New York 10001 It is proposed that this filing will become effective (check appropriate box) Immediately upon filing pursuant to paragraph (b) On September 26, 2025 pursuant to paragraph (b) 60 days after filing pursuant to paragraph (a)(1) On (date) pursuant to paragraph (a)(1) 75 days after filing pursuant to paragraph (a)(2) On (date) pursuant to paragraph (a)(2) of Rule 485 If appropriate, check the following box: This post-effective amendment designates a new effective date for a previously filed post-effective amendment. Title of Securities Being Registered: Shares of Common Stock, par value $.10 per share. SEPTEMBER 26, 2025\nProspectus BlackRock Capital Appreciation Fund, Inc. | Investor, Institutional and Class R Shares Investor A: MDFGX Investor C: MCFGX Institutional: MAFGX Class R: MRFGX This Prospectus contains information you should know before investing, including information about risks. Please read it before you invest and keep it for future reference. The Securities and Exchange Commission has not approved or disapproved these securities or passed upon the adequacy of this Prospectus. Any representation to the contrary is a criminal offense. Not FDIC Insured May Lose Value No Bank Guarantee Table of Contents\nFund Overview\nKey facts and details about the Fund, including investment objective, principal investment strategies, principal risk factors, fee and expense information and historical performance information\nInvestment Objective\n3\nFees and Expenses of the Fund\n3\nPrincipal Investment Strategies of the Fund\n4\nPrincipal Risks of Investing in the Fund\n4\nPerformance Information\n6\nInvestment Manager\n7\nPortfolio Managers\n7\nPurchase and Sale of Fund Shares\n7\nTax Information\n8\nPayments to Broker/Dealers and O\n...\naintains an account with the Fund on an omnibus basis. $2 million for individuals and Institutional Investors, which include, but are not limited to, endowments, foundations, family offices, local, city, and state governmental institutions, corporations and insurance company separate accounts who may purchase shares of the Fund through a Financial Intermediary that has entered into an agreement with the Fund s distributor to purchase such shares.\n$100 for all accounts. 7\nInvestor A and Investor C Shares\nInstitutional Shares\nClass R Shares\nMinimum Initial Investment (continued)\n$1,000 for: Clients investing through Financial Intermediaries that offer such shares on a platform that charges a transaction based sales commission outside of the Fund. Tax-qualified accounts for insurance agents that are registered representatives of an insurance company s broker-dealer that has entered into an agreement with the Fund s distributor to offer Institutional Shares, and the family members of such persons.\nMinimum Additional Investment\n$50 for all accounts (with the exception of certain employer-sponsored retirement plans which may have a lower minimum).\nNo subsequent minimum.\nNo subsequent minimum. Tax Information The Fund s dividends and distributions may be subject to U.S. federal income taxes and may be taxed as ordinary income or capital gains, unless you are a tax-exempt investor or are investing through a qualified tax-exempt plan described in section 401(a) of the Internal Revenue Code of 1986, as amended, in which case you may be subject to U.S. federal income tax when distributions are received from such tax-deferred arrangements. Payments to Broker/Dealers and Other Financial Intermediaries If you purchase shares of the Fund through a Financial Intermediary, the Fund and BlackRock Investments, LLC, the Fund s distributor, or its affiliates may pay the Financial Intermediary for the sale of Fund shares and related services. These payments may create a conflict of interest by influencing the Financial Intermediary and your individual financial professional to recommend the Fund over another investment. Ask your individual financial professional or visit your Financial Intermediary s website for more information. 8 Details About the Fund Included in this prospectus are sections that tell you about buying and selling shares, management information, shareholder features of BlackRock Capital Appreciation Fund, Inc. (the Fund ) and your rights as a shareholder. How the Fund Invests Investment Objective The investment objective of the Fund is to seek long-term growth of capital. This investment objective is a fundamental policy of the Fund and may not be changed without approval of a majority of the Fund s outstanding voting securities, as defined in the Investment Company Act of 1940, as amended (the Investment Company Act ). There can be no assurance that the investment objective of the Fund will be realized. Investment Process The Fund seeks to invest in fundamentally sound companies with strong management, superior earnings growth prospects and attractive relative valuations. The disciplined investment process uses bottom-up stock selection as the primary driver of returns. The Fund emphasizes medium to large companies that exhibit stable growth and accelerated earnings. While the Fund generally expects to invest across a broad range of industries, it may favor companies in those industries that appear to offer higher potential for long-term growth. The Fund generally will sell a stock when, in the Fund management team s opinion, the stock\n...\nservicing fee payment is calculated as a percentage of the average daily net asset value of Investor A, Investor C and Class R Shares of the Fund. All Investor and Class R Shares pay this shareholder servicing fee. Institutional Shares do not pay a shareholder servicing fee. In return for the shareholder servicing fee, Financial Intermediaries (including BlackRock) may provide one or more of the following services to their customers who own Investor A, Investor C and Class R Shares: Answering customer inquiries regarding account status and history, the manner in which purchases, exchanges and redemptions or repurchases of shares may be effected and certain other matters pertaining to the customers investments; Assisting customers in designating and changing dividend options, account designations and addresses; and Providing other similar shareholder liaison services. The shareholder servicing fees payable pursuant to the Plans are paid to compensate Financial Intermediaries for the administration and servicing of shareholder accounts and are not costs which are primarily intended to result in the sale of the Fund s shares. Because the fees paid by the Fund under the Plans are paid out of Fund assets on an ongoing basis, over time these fees will increase the cost of your investment and may cost you more than paying other types of sales charges. In addition, the distribution fees paid by Investor C and Class R Shares may over time cost investors more than the front-end sales charge on Investor A Shares. For more information on the Plans, including a complete list of services provided thereunder, see the SAI. Other Payments by the Fund In addition to fees that the Fund may pay to a Financial Intermediary pursuant to the Plans and fees the Fund pays to its transfer agent, BNY Mellon Investment Servicing (US) Inc. (the Transfer Agent ), BlackRock, on behalf of the Fund, may enter into non-Plan agreements with affiliated and unaffiliated Financial Intermediaries pursuant to which the Fund will pay a Financial Intermediary for administrative, networking, recordkeeping, sub-transfer agency, sub-accounting and/or shareholder services. These non-Plan payments are generally based on either (1) a percentage of the average daily net assets of Fund shareholders serviced by a Financial Intermediary or (2) a fixed dollar amount for each account serviced by a Financial Intermediary. The aggregate amount of these payments may be substantial. Other Payments by BlackRock From time to time, BlackRock, the Distributor or their affiliates also may pay a portion of the fees for administrative, networking, recordkeeping, sub-transfer agency, sub-accounting and shareholder services described above at its or their own expense and out of its or their profits. BlackRock, the Distributor and their affiliates may also compensate affiliated and unaffiliated Financial Intermediaries for the sale and distribution of shares of the Fund. These payments would be in addition to the Fund payments described in this prospectus and may be a fixed dollar amount, may be based on the number of customer accounts maintained by the Financial Intermediary, may be based on a percentage of the value of shares sold to, or held by, customers of the Financial Intermediary or may be calculated on another basis. The aggregate amount of these payments by BlackRock, the Distributor and their affiliates may be substantial and, in some circumstances, may create an incentive for a Financial Intermediary, its employees or associated persons to recommend or sell shares of the Fund to you. Please\n...\ns: Effective April 1, 2026, SEP or SIMPLE IRAs will not be aggregated as a group plan. They will aggregate with the client s personal accounts based on Social Security Number. Previously established SEP and SIMPLE IRAs may still be aggregated as a group plan. Effective April 1, 2026, employer-sponsored retirement plan (e.g., 401(k) plans, 457 plans, employer-sponsored 403(b) plans, profit sharing and money purchase pension plans and defined benefit plans) accounts will aggregate with other plan accounts under the same Tax ID and will not be aggregated with other retirement plan accounts under a different Tax ID or personal accounts. For purposes of this provision, employer-sponsored retirement plans do not include SEP IRAs, SIMPLE IRAs, SAR-SEPs or Keogh plans. Gift of shares will not be considered when determining breakpoint discounts. A-13 [This page intentionally left blank] [This page intentionally left blank] [This page intentionally left blank] For More Information Fund and Service Providers FUND BlackRock Capital Appreciation Fund, Inc. 100 Bellevue Parkway Wilmington, Delaware 19809 Written Correspondence: P.O. Box 534429 Pittsburgh, Pennsylvania 15253-4429 Overnight Mail: Attention: 534429 500 Ross Street 154-0520 Pittsburgh, Pennsylvania 15262 (800) 441-7762 MANAGER BlackRock Advisors, LLC 100 Bellevue Parkway Wilmington, Delaware 19809 TRANSFER AGENT BNY Mellon Investment Servicing (US) Inc. 301 Bellevue Parkway Wilmington, Delaware 19809 INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Deloitte Touche LLP 115 Federal Street Boston, Massachusetts 02110 ACCOUNTING SERVICES PROVIDER BNY Mellon Investment Servicing (US) Inc. 301 Bellevue Parkway Wilmington, Delaware 19809 DISTRIBUTOR BlackRock Investments, LLC 50 Hudson Yards New York, New York 10001 CUSTODIAN The Bank of New York Mellon 240 Greenwich Street New York, New York 10286 COUNSEL Sidley Austin LLP 787 Seventh Avenue New York, New York 10019 Additional Information For more information: This prospectus contains important information you should know before investing, including information about risks. Please read it before you invest and keep it for future reference. More information about the Fund is available at no charge upon request. This information includes: Annual/Semi-Annual Reports and Form N-CSR The Fund s annual and semi-annual reports and Form N-CSR contain additional information about the Fund s investments. The annual report describes the Fund s performance, lists portfolio holdings, and discusses recent market conditions, economic trends and Fund investment strategies that significantly affected the Fund s performance for the last fiscal year. In Form N-CSR, you will find the Fund s financial statements. Statement of Additional Information A Statement of Additional Information ( SAI ), dated September 26, 2025, has been filed with the Securities and Exchange Commission (the SEC ). The SAI, which includes additional information about the Fund, may be obtained free of charge, along with the Fund s annual and semi-annual reports and other information such as Fund financial statements, by calling (800) 441-7762 . The SAI, as amended and/or supplemented from time to time, is incorporated by reference into this prospectus. BlackRock Investor Services Representatives are available to discuss account balance information, mutual fund prospectuses, literature, programs and services available. Hours: 8:00 a.m . to 6:00 p.m . (Eastern time), on any business day. Call: (800) 441-7762 . Purchases and Redemptions Call your Financial Intermediary or BlackRock Investor Serv", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Custodian"], "transferAgent": ["Administrator"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:BlackRock_Capital_Appreciation_Fund_Inc", "p": "administrator", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:BlackRock_Capital_Appreciation_Fund_Inc", "p": "advisedBy", "o": "org:BlackRock_Advisors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:BlackRock_Capital_Appreciation_Fund_Inc", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:BlackRock_Capital_Appreciation_Fund_Inc", "p": "transferAgent", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:BlackRock_Capital_Appreciation_Fund_Inc", "p": "underwrittenBy", "o": "org:BlackRock_Investments_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> BlackRock Capital Appreciation Fund, Inc. <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> advisedBy <object_marker> BlackRock Advisors, LLC <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <triple_end>\n<triple_start> BlackRock Capital Appreciation Fund, Inc. <predicate_marker> underwrittenBy <object_marker> BlackRock Investments, LLC <triple_end>", "target_serialized_plain": "BlackRock Capital Appreciation Fund, Inc. administrator BNY Mellon Investment Servicing (US) Inc. ; advisedBy BlackRock Advisors, LLC ; custodian The Bank of New York Mellon ; transferAgent BNY Mellon Investment Servicing (US) Inc. .\nBlackRock Capital Appreciation Fund, Inc. underwrittenBy BlackRock Investments, LLC .", "stats": {"input_chars": 14414, "n_triples": 5, "text_to_json_ratio": 26.7}}
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{"sample_id": "0000925723:ALL", "cik": "0000925723", "trust_name": "Federated Hermes Institutional Trust", "input_text": "x returns are not relevant to investors holding Shares through a 401(k) plan, an Individual Retirement Account or other tax-advantaged investment plan.\n4\n(For the Period Ended December 31, 2024)\n1 Year\n5 Years\n10 Years\nA:\nReturn Before Taxes\n1.30 %\n2.41 %\n4.25 %\nC:\nReturn Before Taxes\n4.32 %\n2.98 %\n4.54 %\nIS:\nReturn Before Taxes\n6.37 %\n3.44 %\n4.77 %\nReturn After Taxes on Distributions\n3.82 %\n1.08 %\n2.30 %\nReturn After Taxes on Distributions and Sale of Fund Shares\n3.73 %\n1.58 %\n2.54 %\nR6:\nReturn Before Taxes\n6.50 %\n3.45 %\n4.78 %\nBloomberg US Aggregate Bond Index 1\n(reflects no deduction for fees, expenses or taxes)\n1.25 %\n( 0.33 )%\n1.35 %\nBloomberg US Corporate High Yield 2% Issuer Capped Index 2\n(reflects no deduction for fees, expenses or taxes)\n8.19 %\n4.20 %\n5.16 %\nLipper High Yield Funds Average 3\n7.68 %\n3.64 %\n4.34 %\n1\nThe Bloomberg US Aggregate Bond Index is a broad-based benchmark that measures the investment-grade, U.S. dollar denominated, fixed-rate,\ntaxable bond market.\n2\nThe Bloomberg US Corporate High Yield 2% Issuer Capped Index is an issuer-constrained version of the Bloomberg US Corporate High Yield Index that\nmeasures the noninvestment-grade, U.S. dollar denominated, fixed-rate, taxable corporate bond market. The index follows the same rules as the\nuncapped index but limits the exposure of each issuer to 2% of the total market value and redistributes any excess market value index-wide on a\npro rata basis.\n3\nLipper figures represent the average of the total returns reported by all mutual funds designated by Lipper, Inc., with the primary objective of investing\nin domestic or regionally focused bonds within the noninvestment-grade classification (below BBB) and are not adjusted to reflect any sales charges.\nFUND MANAGEMENT\nThe Fund s Investment Adviser is Federated Investment Management Company.\nMark E. Durbiano, CFA, Senior Portfolio Manager, has been the Fund s portfolio manager since its inception November of 2002.\nKathryn P. Glass, CFA, Senior Portfolio Manager, has been the Fund s portfolio manager since September of 2023.\nThomas Scherr, CFA, Portfolio Manager, has been the Fund s portfolio manager since September of 2023.\nRandal Stuckwish, CFA, Portfolio Manager, has been the Fund s portfolio manager since December of 2024.\npurchase and sale of fund shares\nYou may purchase, redeem or exchange Shares of the Fund on any day the New York Stock Exchange is open. Shares may be purchased through a financial intermediary firm that has entered into a Fund selling and/or servicing agreement with the Distributor or an affiliate ( Financial Intermediary ) or directly from the Fund, by wire or by check. Please note that certain purchase restrictions may apply. Redeem or exchange Shares through a financial intermediary or directly from the Fund by telephone at 1-800-341-7400 or by mail.\nA and C Classes\nThe minimum investment amount for the Fund s A and C classes is generally $1,500 for initial investments and $100 for subsequent investments. The minimum initial and subsequent investment amounts for Individual Retirement Accounts are generally $250 and $100, respectively. There is no minimum initial or subsequent investment amount for employer-sponsored retirement plans. Certain types of accounts are eligible for lower minimum investments. The minimum investment amount for Systematic Investment Programs is $50.\nIS Class\nThe minimum initial investment amount for the Fund s Institutional Shares is generally $1,000,000 and there is no minimum subsequent investment amount. Certain types of accounts are eligible for lower minimum inv\n...\nall instances, it is the shareholder s responsibility to notify the Fund or the shareholder s Financial Intermediary at the time of purchase of any relationship or other facts qualifying the investor for sales charge waivers or discounts. For waivers and discounts not available through a particular financial intermediary, shareholders will have to purchase Fund shares directly from the Fund or through another financial intermediary to receive these waivers or discounts.\nCOMMISSIONS ON SHARES\nThe Fund does not charge any front-end load, deferred sales charge or other asset-based fee for sales or distribution of Shares. However, if you purchase Shares through a broker acting solely as an agent on behalf of its customers, you may be required to pay a commission to the broker in an amount determined and separately disclosed to you by the broker.\nBecause the Fund is not a party to any such commission arrangement between you and your broker, any purchases and redemptions of Shares will be made at the applicable net asset value (before imposition of the sales commission). Any such commissions charged by a broker are not reflected in the fees and expenses listed in the Risk/Return Summary: Fees and Expenses section of the Fund s Prospectus and described above nor are they reflected in the Performance: Bar Chart and Table, because they are not charged by the Fund.\nHow is the Fund Sold?\nThe Fund offers the following Share classes: Class A Shares (A), Class C Shares (C), Institutional Shares (IS) and Class R6 Shares (R6), each representing interests in a single portfolio of securities. All Share classes have different expenses which affect their performance. Please note that certain purchase restrictions may apply.\nUnder the Distributor s Contract with the Fund, the Distributor, Federated Securities Corp., offers Shares on a continuous, best-efforts basis. The Distributor is a subsidiary of Federated Hermes, Inc. ( Federated Hermes, formerly, Federated Investors, Inc.).\nA and C Classes\nThe Fund s Distributor markets the A and C classes to institutions or to individuals, directly or through financial intermediaries.\nIS Class\nThe Fund s Distributor markets the IS class to Eligible Investors, as described below. In connection with a request to purchase the IS class, you should provide documentation sufficient to verify your status as an Eligible Investor. As a general matter, the IS class is not available for direct investment by natural persons.\nThe following categories of Eligible Investors are not subject to any minimum initial investment amount for the purchase of the IS class (however, such accounts remain subject to the Fund s policy on Accounts with Low Balances as discussed later in this Prospectus):\nAn investor participating in a no-load platform, network or other fee-based program offered by a financial intermediary, for example, a wrap-account or retirement platform where Federated Hermes has entered into an agreement with the intermediary;\nA trustee/director or former trustee/director (e.g., Trustee/Director Emeritus), employee or former employee of the Fund, the Adviser, the Distributor and their affiliates; an immediate family member of these individuals or a trust, pension or profit-sharing plan for these individuals;\n22\nAn employer-sponsored retirement plan;\nA trust institution investing on behalf of its trust customers;\nAdditional sales to an investor (including a natural person) who owned the IS class of the Fund as of December 31, 2008;\nA Federated Hermes Fund;\nAn investor (including a natural person) who acquired the IS class\n...\nass\nEligible investors may purchase Shares through a financial intermediary, directly from the Fund or through an exchange from another Federated Hermes fund in the manner described above under How is the Fund Sold?\nWhere applicable, the required minimum initial investment for the IS class is generally $1,000,000. There is no minimum subsequent investment amount.\nR6 Class\nEligible Investors may purchase Shares through a financial intermediary, directly from the Fund or through an exchange from another Federated Hermes fund in the manner described above under How is the Fund Sold?\nThere is no minimum initial or subsequent investment amount required.\nTHROUGH A FINANCIAL INTERMEDIARY\nEstablish an account with the financial intermediary; and\nSubmit your purchase order to the financial intermediary before the end of regular trading on the NYSE (normally 4:00 p.m. Eastern time). Certain financial intermediaries, however, may require submission of orders prior to that time.\nThe Fund has authorized certain intermediaries to accept Share purchase orders on its behalf. When authorized intermediaries receive an order in proper form, the order is considered as being placed with the Fund and Shares will be bought at the NAV next calculated after such an order is received by the authorized intermediary. If your financial intermediary is not an authorized intermediary, the Fund or its agent must receive the purchase order in proper form from your financial intermediary by the end of regular trading on the NYSE (normally 4:00 p.m. Eastern time) in order for your transaction to be priced at that day s NAV. In addition, your financial intermediary must forward your payment by the prescribed trade settlement date (typically within one to three business days) to the Fund s transfer agent, SS C GIDS, Inc. ( Transfer Agent ). You will become the owner of Shares and receive dividends when your payment is received in accordance with these time frames (provided that, if payment is received in the form of a check, the check clears). If your payment is not received in accordance with these time frames, or a check does not clear, your purchase will be canceled and you could be liable for any losses, fees or expenses incurred by the Fund or the Fund s Transfer Agent.\nFinancial intermediaries should send payments according to the instructions in the sections By Wire or By Check.\n26\nFinancial intermediaries may impose higher or lower minimum investment requirements on their customers than those imposed by the Fund. Keep in mind that financial intermediaries may charge you fees for their services in connection with your Share transactions.\nShareholders are encouraged to ask their financial intermediary if they are an authorized agent for the Fund and about any fees that may be charged by the financial intermediary.\nTHROUGH A FINANCIAL INTERMEDIARY\nR6 Class\nYou may purchase Shares through an exchange from the same share class of another Federated Hermes fund.\nEstablish an account with the financial intermediary; and\nSubmit your purchase order to the financial intermediary before the end of regular trading on the NYSE (normally 4:00 p.m. Eastern time). Certain financial intermediaries, however, may require submission of orders prior to that time.\nThe Fund has authorized certain intermediaries to accept share purchase orders on its behalf. When authorized intermediaries receive an order in proper form, the order is considered as being placed with the Fund, and shares will be bought at the NAV next calculated after such an order is received by the authorized intermediary. If your financial intermediary is not an authorized intermediary, the Fund or its agent must receive the purchase order in proper form from your financial intermediary by the end of regular trading on the NYSE (normally, 4:00 p.m. Eastern time) in order for your transaction to be priced at that day s NAV. In addition, your financial intermediary must forward your payment by the prescribed trade settlement date (typically within one to three business days) to the Fund s transfer agent, SS C GIDS, Inc. ( Transfer Agent ). You will become the owner of Shares and receive dividends when your payment is received in accordance with these time frames (provided that, if payment is received in the form of a check, the check clears). If your payment is not received in accordance with these time frames, or a check does not clear, your purchase will be canceled and you could be liable for any losses, fees or expenses incurred by the Fund or the Fund s Transfer Agent.\nFinancial intermediaries should send payments according to the instructions in the sections By Wire or By Check.\nFinancial intermediaries may impose higher or lower minimum investment requirements on their customers than those imposed by the Fund. Keep in mind that financial intermediaries may charge you fees for their services in connection with your Share transactions.\nShareholders are encouraged to ask their financial intermediary if they are an authorized agent for the Fund and about any fees that may be charged by the financial intermediary.\nDIRECTLY FROM THE FUND\nEstablish your account with the Fund by submitting a completed New Account Form; and\nSend your payment to the Fund by Federal Reserve wire or check.\nYou will become the owner of Shares and your Shares will be priced at the next calculated NAV after the Fund receives your wire or your check. If your check does not clear, your purchase will be canceled and you could be liable for any losses or fees incurred by the Fund or the Fund s Transfer Agent.\nBy Wire\nTo facilitate processing your order, please call the Fund before sending the wire. Send your wire to:\nState Street Bank and Trust Company\nBoston, MA\nDollar Amount of Wire\nABA Number 011000028\nBNF: 23026552\nAttention: Federated Hermes EDGEWIRE\nWire Order Number, Dealer Number or Group Number\nNominee/Institution Name\nFund Name and Number and Account Number\nYou cannot purchase Shares by wire on holidays when wire transfers are restricted.\nBy Check\nMake your check payable to The Federated Hermes Funds , note your account number on the check, and send it to:\nThe Federated Hermes Funds\nP.O. Box 219318\nKansas City, MO 64121-9318\n27\nIf you send your check by a private courier or overnight delivery service that requires a street address, send it to:\nThe Federated Hermes Funds\n801 Pennsylvania Avenue\nSuite 219318\nKansas City, MO 64105-1307\nPayment should be made in U.S. dollars and drawn on a U.S. bank. The Fund reserves the right to reject any purchase request. For example, to protect against check fraud the Fund may reject any purchase request involving a check that is not made payable to The Federated Hermes Funds (including, but not limited to, requests to purchase Shares using third-party checks) or involving temporary checks or credit card checks.\nBy Direct Deposit\nYou may establish Payroll Deduction/Direct Deposit arrangements for investments into the Fund by either calling a Client Service Representative at 1-800-341-7400; or by completing the Payroll Deduction/Direct Deposit Form, which is available on FederatedHermes.com/us under Resources and then Literature and Forms, then Forms. You will receive a confirmation when this service is available.\nTHROUGH AN EXCHANGE\nYou may purchase Fund Shares through an exchange from another Federated Hermes fund. To do this you must:\nmeet any applicable shareholder eligibility requirements;\nensure that the account registrations are id\n...\nd remains posted until replaced by the information for the succeeding month. The summary portfolio composition information may include identification of the Fund s top 10 holdings and a percentage breakdown of the portfolio by sector.\nYou may also access portfolio information as of the end of the Fund s fiscal quarters via the link to the Fund and share class name at FederatedHermes.com/us. The Fund s Form N-CSR contains complete listings of the Fund s portfolio holdings as of the end of the Fund s second and fourth fiscal quarters. Fiscal quarter information is made available on the website within 70 days after the end of the fiscal quarter. This information is also available in reports filed with the SEC at the SEC s website at sec.gov.\n34\nEach fiscal quarter, the Fund will file with the SEC a complete schedule of its monthly portfolio holdings on Form N-PORT. The Fund s holdings as of the end of the third month of every fiscal quarter, as reported on Form N-PORT, will be publicly available on the SEC s website at sec.gov within 60 days of the end of the fiscal quarter upon filing. You may also access this information via the link to the Fund and share class name at FederatedHermes.com/us.\nIn addition, from time to time (for example, during periods of unusual market conditions), additional information regarding the Fund s portfolio holdings and/or composition may be posted to FederatedHermes.com/us. If and when such information is posted, its availability will be noted on, and the information will be accessible from, the home page of the website.\nWho Manages the Fund?\nThe Board governs the Fund. The Board selects and oversees the Adviser, Federated Investment Management Company. The Adviser manages the Fund s assets, including buying and selling portfolio securities. Federated Advisory Services Company (FASC), an affiliate of the Adviser, provides certain support services to the Adviser. The fee for these services is paid by the Adviser and not by the Fund. The address of the Adviser and FASC is 1001 Liberty Avenue, Pittsburgh, PA 15222-3779.\nThe Adviser and other advisory subsidiaries of Federated Hermes combined, advise approximately 100 registered investment companies spanning equity, fixed-income and money market mutual funds and also manage a variety of other pooled investment vehicles, private investment companies and customized separately managed accounts (including non-U.S./offshore funds). Federated Hermes assets under management totaled approximately $829.6 billion as of December 31, 2024. Federated Hermes was established in 1955 as Federated Investors, Inc. and is one of the largest investment managers in the United States with more than 2,000 employees. Federated Hermes provides investment products to more than 10,000 investment professionals and institutions.\nThe Adviser advises approximately 69 registered investment companies and also manages sub-advised funds. The Adviser s assets under management totaled approximately $531.7 billion as of December 31, 2024.\nPORTFOLIO MANAGEMENT INFORMATION\nMark E. Durbiano\nMark E. Durbiano, CFA, Senior Portfolio Manager, has been the Fund s portfolio manager since its inception in November of 2002.\nMr. Durbiano is Co-Head of the Domestic High Yield Group and Head of the Bond Sector Pod/Committee. He is responsible for day to day management of the Fund focusing on asset allocation and security selection. He has been with the Adviser or an affiliate since 1982; has worked in investment management since 1982; has managed investment portfolios since 1986. Education: B.A., Dickinson Colle\n...\n-load) shares that are no longer subject to a contingent deferred sales charge are systematically converted to the Class A shares of the same fund pursuant to USBI s intra-fund share class policy. No front-end sales charge will apply to such conversions.\n51\nAn SAI dated December 31, 2025, is incorporated by reference into this Prospectus. Additional information about the Fund and its investments is contained in the Fund s SAI, Annual and Semi-Annual Reports to shareholders and in Form N-CSR as they become available. In Form N-CSR, you will find, among other information, the Fund s annual and semi-annual financial statements. The Annual Report s Management s Discussion of Fund Performance discusses market conditions and investment strategies that significantly affected the Fund s performance during its last fiscal year. The SAI contains a description of the Fund s policies and procedures with respect to the disclosure of its portfolio securities. To obtain the SAI, Annual Report, Semi-Annual Report and other information, such as financial statements, without charge, to make inquiries or request e-delivery, call your financial intermediary or the Fund at 1-800-341-7400. You may also access the Fund s Prospectus, SAI, Annual Report, Semi-Annual Report, financial statements and other information on the Fund s website at FederatedHermes.com/us/FundInformation.\nThese documents, as well as additional information about the Fund (including portfolio holdings, performance and distributions), are also available on FederatedHermes.com/us.\nYou can obtain information about the Fund (including the SAI) by accessing Fund information from the EDGAR Database on the SEC s website at sec.gov. You can purchase copies of this information by contacting the SEC by email at publicinfo@sec.gov.\nFederated Hermes Institutional High Yield Bond Fund\nFederated Hermes Funds\n4000 Ericsson Drive\nWarrendale, PA 15086-7561\nContact us at FederatedHermes.com/us\nor call 1-800-341-7400.\nFederated Securities Corp., Distributor\nInvestment Company Act File No. 811-7193\nCUSIP 31420B839\nCUSIP 31420B821\nCUSIP 31420B300\nCUSIP 31420B847\n27831 (12/25)\n2025 Federated Hermes, Inc.\nStatement of Additional Information\nDecember 31, 2025\nShare Class | Ticker\nA | FIHAX\nC | FIHCX\nInstitutional | FIHBX\nR6 | FIHLX\nFederated Hermes Institutional High Yield Bond Fund\nA Portfolio of Federated Hermes Institutional Trust\nThis Statement of Additional Information (SAI) is not a Prospectus. Read this SAI in conjunction with the Prospectus for Federated Hermes Institutional High Yield Bond Fund (the Fund ), dated December 31, 2025.\nThis SAI incorporates by reference the Fund s annual financial statements filed on Form N-CSR. Obtain the Fund s Prospectus, SAI, Annual Report, Semi-Annual Report and other information, such as financial statements, without charge by calling 1-800-341-7400. You may also access the Fund s Prospectus, SAI, Annual Report, Semi-Annual Report, financial statements and other information on the Fund s website at FederatedHermes.com/us/FundInformation.\nContents\n1\nHow is the Fund Organized?\n1\nSecurities in Which the Fund Invests\n13\nInvestment Risks\n17\nInvestment Objective and Investment Limitations\n19\nWhat Do Shares Cost?\n21\nHow is the Fund Sold?\n25\nPurchases In-Kind\n25\nRedemption In-Kind\n25\nMassachusetts Partnership Law\n25\nAccount and Share Information\n26\nTax Information\n27\nWho Manages and Provides Services to the Fund?\n46\nFinancial Information\n47\nInvestment Ratings\n52\nAddresses\n53\nAppendix\nFederated Hermes Institutional High Yield Bond Fund Federated Hermes Funds\n4000 Ericsson Dr\n...\nualifications of Independent Trustees\nIndividual Trustee qualifications are noted in the Independent Trustees Background and Compensation chart. In addition, the following characteristics are among those that were considered for each existing Trustee and will be considered for any Nominee Trustee.\nOutstanding skills in disciplines deemed by the Independent Trustees to be particularly relevant to the role of Independent Trustee and to the Federated Hermes funds, including legal, accounting, business management, the financial industry generally and the investment industry particularly.\nDesire and availability to serve for a substantial period of time, taking into account the Board s current mandatory retirement age of 75 years.\nNo conflicts which would interfere with qualifying as independent.\nAppropriate interpersonal skills to work effectively with other Independent Trustees.\nUnderstanding and appreciation of the important role occupied by Independent Trustees in the regulatory structure governing regulated investment companies.\nDiversity of background.\ninterested Trustees Background and Compensation\nName\nBirth Date\nPositions Held with Trust\nDate Service Began\nPrincipal Occupation(s) for Past Five Years,\nOther Directorships Held and Previous Position(s)\nAggregate\nCompensation\nFrom Fund\n(past fiscal year)\nTotal Compensation\nFrom Fund and\nFederated Hermes Complex\n(past calendar year)\nJ. Christopher Donahue*\nBirth Date: April 11, 1949\nPresident and Trustee\nIndefinite Term\nBegan serving: April 1999\nPrincipal Occupations: Principal Executive Officer and President of certain\nof the Funds in the Federated Hermes Complex; Director or Trustee of the\nFunds in the Federated Hermes Complex; Chairman, President, Chief\nExecutive Officer and Director, Federated Hermes, Inc.; Trustee, Federated\nAdministrative Services and Director, Federated Administrative Services,\nInc.; Trustee and Chairman, Federated Advisory Services Company; Director\nor Trustee and Chairman, Federated Investment Management Company,\nFederated Global Investment Management Corp., Federated Equity\nManagement Company of Pennsylvania, and Federated MDTA LLC; Trustee,\nFederated Investment Counseling; Trustee, Federated Shareholder Services\nCompany; Director, Federated Services Company.\nPrevious Positions: President, Federated Investment Counseling; President\nand Chief Executive Officer, Federated Investment Management Company,\nFederated Global Investment Management Corp. and Passport Research,\nLtd.; Chairman, Passport Research, Ltd.\n$0\n$0\n27\nName\nBirth Date\nPositions Held with Trust\nDate Service Began\nPrincipal Occupation(s) for Past Five Years,\nOther Directorships Held and Previous Position(s)\nAggregate\nCompensation\nFrom Fund\n(past fiscal year)\nTotal Compensation\nFrom Fund and\nFederated Hermes Complex\n(past calendar year)\nJohn B. Fisher*\nBirth Date: May 16, 1956\nTrustee\nIndefinite Term\nBegan serving: May 2016\nPrincipal Occupations: Principal Executive Officer and President of certain\nof the Funds in the Federated Hermes Complex; Director or Trustee of\ncertain of the Funds in the Federated Hermes Complex; Director and Vice\nPresident, Federated Hermes, Inc.; President, Director/Trustee and CEO,\nFederated Advisory Services Company, Federated Equity Management\nCompany of Pennsylvania, Federated Global Investment Management\nCorp., Federated Investment Counseling, Federated Investment\nManagement Company and Federated MDTA LLC; Director, Federated\nInvestors Trust Company.\nPrevious Positions: President and Director of the Institutional Sales\nDivision of Federated Securities Corp.; President a", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "transferAgent": ["TransferAgent"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:Federated_Hermes_Government_Ultrashort_Fund", "p": "administrator", "o": "org:Federated_Administrative_Services", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Federated_Hermes_Government_Ultrashort_Fund", "p": "advisedBy", "o": "org:Federated_Advisory_Services_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Federated_Hermes_Government_Ultrashort_Fund", "p": "advisedBy", "o": "org:Federated_Investment_Management_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Federated_Hermes_Government_Ultrashort_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Federated_Hermes_Government_Ultrashort_Fund", "p": "seriesOf", "o": "trust:Federated_Hermes_Institutional_Trust", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Federated_Hermes_Government_Ultrashort_Fund", "p": "transferAgent", "o": "org:SS_C_GIDS_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:Federated_Hermes_Institutional_Trust", "p": "underwrittenBy", "o": "org:Federated_Securities_Corp", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> Federated Hermes Government Ultrashort Fund <predicate_marker> administrator <object_marker> Federated Administrative Services <predicate_marker> advisedBy <object_marker> Federated Advisory Services Company <predicate_marker> advisedBy <object_marker> Federated Investment Management Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> Federated Hermes Institutional Trust <predicate_marker> transferAgent <object_marker> SS&C GIDS, Inc. <triple_end>\n<triple_start> Federated Hermes Institutional Trust <predicate_marker> underwrittenBy <object_marker> Federated Securities Corp. <triple_end>", "target_serialized_plain": "Federated Hermes Government Ultrashort Fund administrator Federated Administrative Services ; advisedBy Federated Advisory Services Company , Federated Investment Management Company ; custodian State Street Bank and Trust Company ; seriesOf Federated Hermes Institutional Trust ; transferAgent SS&C GIDS, Inc. .\nFederated Hermes Institutional Trust underwrittenBy Federated Securities Corp. .", "stats": {"input_chars": 25530, "n_triples": 7, "text_to_json_ratio": 37.1}}
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{"sample_id": "0001031008:ALL", "cik": "0001031008", "trust_name": "AZZAD FUNDS", "input_text": "ch, VA 22042\n(Address of Principal Executive Offices) (Zip\nCode)\nRegistrant's Telephone Number, Including Area\nCode: (703) 207-7005\nBashar Qasem\n3141 Fairview Park Drive\nSuite 355\nFalls Church, VA 22042\n(Name and Address of Agent for Service)\nwith copies to:\nThompson Hine LLP\nJoAnn M. Strasser\n41 South High Street\nSuite 1700\nColumbus, OH 43215\nIt is proposed that this filing will become effective (check appropriate\nbox):\n[ ] immediately upon filing pursuant to paragraph (b)\n[X] on November 1, 2025 pursuant to paragraph(b)\n[ ] 60 days after filing pursuant to paragraph (a)(1)\n[ ] on (date) pursuant to paragraph (a)(1)\n[ ] 75 days after filing pursuant to paragraph (a)(2)\n[ ] on (date) pursuant to paragraph (a)(2)\nof Rule 485\nAzzad Ethical Fund (ADJEX)\nAzzad Wise Capital Fund (WISEX)\nPROSPECTUS\nNovember 1, 2025\nIf you have any questions about any part\nof the prospectus or wish to obtain additional information about the Azzad Funds, please call 888.862.9923 or visit https://azzadasset.com/azzad-funds/.\nThe Securities and Exchange Commission has not approved or disapproved\nthese securities or passed upon the adequacy of this prospectus. Any representation to the contrary is a criminal offense.\nAzzad Funds c/o Mutual Shareholder Services\n8000 Town Center Drive, Suite 400 Broadview Heights, OH 44147\n{This Page is Left Intentionally Blank}\nTable of Contents\nAzzad Ethical Fund Summary (ADJEX)\n5\nInvestment Objective\n5\nFees and Expenses of the Fund\n5\nPortfolio Turnover\n6\nPrincipal Investment Strategy\n6\nEthical Investment Restrictions\n7\nPrincipal risks of investing in the Ethical Fund\n7\nPerformance\n9\nInvestment Adviser\n10\nInvestment Sub-Adviser\n10\nPortfolio Managers\n10\nBuying and Selling Shares\n11\nTax Information\n11\nPayments to broker-dealers and other financial intermediaries\n11\nAzzad Wise Capital Fund Summary (WISEX)\n12\nInvestment Objective\n12\nFees and Expenses of the Fund\n12\nPortfolio Turnover\n13\nPrincipal Investment Strategy\n13\nEthical Investment Restrictions\n15\nPrincipal risks of investing in the Wise Fund\n15\nPerformance\n18\nInvestment Adviser\n19\nInvestment Sub-Adviser\n20\nPortfolio Managers\n20\nBuying and Selling Shares\n20\nTax Information\n21\nPayments to Broker-dealers and Other Financial Intermediaries\n21\nAdditional Information About the Funds' Principal Investment\nStrategies and Related Risks\n21\nInvestment Objective of the Azzad Ethical Fund\n21\nPrincipal Investment Strategy of the Azzad Ethical Fund\n21\nInvestment Objective of the Azzad Wise Capital Fund\n22\nPrincipal Investment Strategy of the Azzad Wise Capital Fund\n22\nEthical Investment Restrictions\n24\nPrincipal Risks of Investing in the Funds\n25\nPortfolio Holdings Disclosure Policies\n30\nTemporary Defensive Positions\n31\nManagement, Organization Capital Structure\n31\nThe Investment Adviser\n31\nThe Sub-Advisers to the Wise Fund\n32\nPortfolio Managers\n33\nDistribution Plan\n34\nCustodian, Transfer Dividend Disbursing Agents\n35\nOrganization\n35\nAt What Price Are Shares Sold?\n35\nHow Your Share Price (NAV) is Determined?\n35\nShareholder Guide\n37\nHow to Purchase Your Shares\n37\nHow to Sell Your Shares\n39\nMarket Timing\n42\nTaxes, Dividend and Distribution\n43\nShareholder Services\n45\nReporting to Third Party Information Providers\n46\nFinancial Highlights\n47\nFinancial Highlights (Azzad Ethical Fund)\n47\nFinancial Highlights (Azzad Wise Capital Fund)\n48\nAccount Types\n49\nPrivacy Policy Notice\n51\nAdditional Information\n52\nAzzad Ethical Fund Summary (ADJEX)\nInvestment objective\nAzzad Ethical Fund s investment objective is to provide\nshareholders with long-term total returns using means that are consistent with the Adviser s ethical principles.\nFees and expenses of the Ethical Fund\nThe table below describes fees and expenses that you may pay\nif you buy, hold, and sell shares of the Azzad Ethical Fund (the Ethical Fund ). You may pay other fees, such as brokerage\ncommissions and other fees to financial intermediaries, which are not reflected in the table and Example below.\nAnnual Fund Operating Expenses (expenses that you pay each year as a percentage\nof the value of your investment)\nManagement fees\n0.80 %\nDistribution and/or Service (12b-1) fees\n0.15 %\nOther Expenses\n0.17 %\nTotal Annual Fund Operating Expenses\n1.12 %\nFee Waiver/Expense Reimbursement (*)\n( 013 )%\nTotal Annual Fund Operating Expenses after Fee Waiver and/or Expense Reimbursement\n0.99 %\n(*) Azzad Asset Management, Inc. (the Adviser )\nhas agreed to contractually waive all or a portion of its fees and/or reimburse the Ethical Fund for certain operating expenses, to the\nextent necessary to limit the Ethical Fund s net annual operating expenses (excluding brokerage costs; borrowing costs, including\nwithout limitation dividends on securities sold short; taxes; indirect expenses, such as expenses incurred by other investment companies\nin which the Ethical Fund invests; and litigation and other extraordinary expenses) to 0.99% of average daily net assets through December\n1, 2029. These fee waivers and expense reimbursements are subject to possible recoupment from the Ethical Fund within three years from\nthe time the fees were waived or reimbursed if such recoupment can be achieved within the lesser of the foregoing expense limits or the\nexpense limits in place at the time of recoupment. This agreement may be terminated only by the Ethical Fund s Board of Trustees\n(the Board ) upon 60 days notice.\nExample :\nThis example is intended to help you compare the cost of investing\nin the Ethical Fund with the cost of investing in other mutual funds. The example assumes that you invest $10,000 in the Ethical Fund\nfor the time periods indicated and then redeem all your shares at the end of those periods. The example also assumes that your investment\nhas a 5% return each year and that the Ethical Fund s operating expenses remain the same. Although your actual costs may be higher\nor lower, based on these assumptions your costs would be:\n1 Year\n3 Years\n5 Years\n10 Years\n$ 101\n$ 315\n$ 547\n$ 1,298\n5\nPortfolio turnover\nThe Ethical Fund pays transaction costs, such as commissions,\nwhen it buys and sells securities (or turns over its portfolio). A higher portfolio turnover rate may\n...\nlliquid securities as defined by the Investment Company Act of 1940, as amended (the 1940 Act ) which may include\ninvestments in trade finance securities. Generally, these securities evidence transactions where there is a flow of goods or\nservices (typically of a cross-border nature) and a financing need. These trade finance structures are subject to significant\nindividual variation. The Wise Fund s trade finance investments are expected to consist primarily of loans, or similar\ninstruments used to finance international trade and related infrastructure projects.\n13\nThese are expected to include, but not be limited to, facilities for pre-export finance, process\nand commodities finance, receivables financing, letters of credit and other documentary credits, promissory notes, bills of exchange,\nand other negotiable instruments. The Wise Fund may engage in such investments by way of purchase, assignment, participation, guarantee,\ninsurance, or any other appropriate financial instrument.\nThe essence of the Wise Fund s strategy is to provide\nshareholders with a return that is comparable to the return on bank accounts, certificates of deposit, and other similar fixed income\nproducts. The Wise Fund concentrates its investments in the financial services industry. The Wise Fund anticipates that the maturity of\nthe securities in the portfolio will range from one to fifteen years and that the average duration of the portfolio will range from one\nto three years. While the Wise Fund generally purchases securities at the lower end of this maturity range, the Wise Fund may purchase\nsecurities with maturities at the longer end of this range when the Adviser determines that they offer an attractive return or to lengthen\nthe average duration of the Wise Fund.\nThe Wise Fund s sub-adviser, Federated Investment\nManagement Company ( Federated ) directs the investment of most of the Wise Fund s assets, furnishing investment information,\nadvice, and recommendations to the Wise Fund as to the acquisition, holding, or disposition of securities or other assets that the Wise\nFund may own or contemplate acquiring from time to time. The Adviser and Federated have retained Federated Hermes (UK) LLP ( Federated\nHermes UK ), an affiliate of Federated, to aid in carrying out Federated s duties as the Wise Fund s sub-adviser. The\nAdviser will oversee Federated and Federated Hermes UK and will be responsible for the day-to-day portfolio management of the Wise Fund\nrelated to the dividend-yielding equity portion of the Wise Fund s portfolio and for ensuring that the Wise Fund s holdings\nand portfolio management comply with its ethical investment restrictions.\nFederated will sell a security if it falls out of compliance\nwith the Wise Fund s ethical investment restrictions upon the Adviser s instructions. In addition, a security may be sold\nwhen Federated believes it is showing deteriorating technical and fundamental indicators, due to sector rotations or geographical reallocations,\nor to manage concentration risk.\nAs part of the analysis in its security selection process,\namong other factors, Federated may evaluate whether environmental, social and governance factors could have positive or negative impact\non the risk profiles of many issuers or guarantors in the universe of securities in which Wise Fund may invest. Federated may also consider\ninformation derived from active engagements conducted by its in-house stewardship team with certain issuers or guarantors on environmental,\nsocial and governance topics. This qualitative analysis does not automatically result in including or excluding specific securities but\nmay be used by Federated as an additional input in its primary analysis.\nEthical Investment Restrictions\nThe Wise Fund does not invest in corporations that derive\nsubstantial revenue (defined as more than 5% of total revenue) from alcohol, tobacco, pornography, pork, gambling, conventional financial services, including insurance,\nor wea\n...\nent\nunder the Plan is 0.15% of the Ethical Fund s average daily net assets and 0.05% of Wise Fund s average daily net assets.\nBecause these fees are paid out of a Fund s assets on an on-going basis, over time, these fees will increase the cost of your investment\nin Fund shares and may cost you more than paying other types of sales charges. Fees paid under the Plan may not be waived for individual\nshareholders.\nIn addition to paying fees under the Plan, the Funds may pay\nservice fees to intermediaries such as banks, broker-dealers, financial advisers or other financial institutions, for various shareholder\nservices associated with shareholders whose shares are held of record in omnibus, other group accounts or accounts traded through registered\nsecurities clearing agents.\nShareholder servicing agents and broker-dealers may charge\ninvestors a fee for use of specialized purchase and redemption procedures offered to investors by the shareholder servicing agents and\nbroker-dealers. In addition, shareholder servicing agents and broker-dealers offering purchase and redemption procedures like those offered\nto shareholders who invest in a Fund directly may impose charges, limitations, minimums and restrictions in addition to or different from\nthose applicable to shareholders who invest in a Fund directly. Accordingly, the net return to investors who invest through shareholder\nservicing agents and broker-dealers may be less than by investing in a Fund directly. An investor should read the Prospectus in conjunction\nwith the materials provided by the shareholder servicing agent and broker-dealer describing the procedures\nunder which Fund shares may be purchased and redeemed through the shareholder servicing agent and broker-dealer.\n34\nCustodian, Transfer Dividend Disbursing Agents\nHuntington National Bank (the Custodian ), 7\nEaston Oval, Columbus, OH 43219, serves as custodian for the Funds cash and securities. The Custodian does not assist in, and is\nnot responsible for, investment decisions involving assets of the Funds. The Custodian does maintain certain financial and accounting\nbooks and records pursuant to an agreement with the Funds.\nMutual\nShareholder Services, LLC, 8000 Town\nCentre Drive, Suite 400, Broadview Heights, OH 44147 ,\nserves as the transfer agent and dividend-disbursing agent for the Funds and in that capacity maintains certain books and records for\nthe Funds.\nShareholder inquiries relating to a shareholder account should\nbe directed by writing to Azzad Funds c/o Mutual Shareholder Services, 8000 Town Centre Drive, Suite 400 Broadview Heights, OH, 44147\nor by telephoning Azzad Funds (toll-free) at 888-350-3369, Monday through Friday (except holidays), between the hours of 9:00 A.M. and\n5:00 P.M., Eastern Time.\nOrganization\nEach Fund is a series of the Trust, a Massachusetts business\ntrust that is registered with the SEC as an open-end, management investment company. It is not intended that meetings of the Funds\nshareholders be held except when required by Federal or Massachusetts state law. All shareholders of the Funds are entitled to vote at\nshareholders meetings. From time to time, large shareholders may control the Funds.\nAt What Price Are Shares Sold?\nShares of the Funds are sold at their offering price, which\nis the NAV without any sales charge. The offering price that applies to a purchase order is based on the next calculation of the NAV per\nshare that is made after a Fund receives the purchase order. The NAV of a Fund may fluctuate.\nHow is Your Share Price (NAV) Determined?\nThe NAV of shares of a Fund is determined normally at 4:00\np.m. Eastern Time, on each day that the NYSE is open for trading (referred to in this Prospectus as a regular business day ).\nThe NAV per share is determined by dividing the value of a Fund s net assets by the number of shares that are outstanding.\nA Fund s securities are valued based on market quotations,\nif available. If market quotations are not r", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["Administrator"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "transferAgent": ["TransferAgent"], "subAdvisedBy": ["SubAdviser"]}}, "target_triples": [{"s": "fund:Azzad_Ethical_Fund", "p": "administrator", "o": "org:Azzad_Asset_Management_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Azzad_Ethical_Fund", "p": "advisedBy", "o": "org:Azzad_Asset_Management_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Azzad_Ethical_Fund", "p": "custodian", "o": "org:Huntington_National_Bank", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Azzad_Ethical_Fund", "p": "seriesOf", "o": "trust:AZZAD_FUNDS", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Azzad_Ethical_Fund", "p": "transferAgent", "o": "org:Mutual_Shareholder_Services_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Azzad_Wise_Capital_Fund", "p": "administrator", "o": "org:Azzad_Asset_Management_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Azzad_Wise_Capital_Fund", "p": "advisedBy", "o": "org:Azzad_Asset_Management_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Azzad_Wise_Capital_Fund", "p": "custodian", "o": "org:Huntington_National_Bank", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Azzad_Wise_Capital_Fund", "p": "seriesOf", "o": "trust:AZZAD_FUNDS", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Azzad_Wise_Capital_Fund", "p": "subAdvisedBy", "o": "org:Federated_Hermes_UK_LLP", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Azzad_Wise_Capital_Fund", "p": "subAdvisedBy", "o": "org:Federated_Investment_Management_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Azzad_Wise_Capital_Fund", "p": "transferAgent", "o": "org:Mutual_Shareholder_Services_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> Azzad Ethical Fund <predicate_marker> administrator <object_marker> Azzad Asset Management, Inc. <predicate_marker> advisedBy <object_marker> Azzad Asset Management, Inc. <predicate_marker> custodian <object_marker> Huntington National Bank <predicate_marker> seriesOf <object_marker> AZZAD FUNDS <predicate_marker> transferAgent <object_marker> Mutual Shareholder Services, LLC <triple_end>\n<triple_start> Azzad Wise Capital Fund <predicate_marker> administrator <object_marker> Azzad Asset Management, Inc. <predicate_marker> advisedBy <object_marker> Azzad Asset Management, Inc. <predicate_marker> custodian <object_marker> Huntington National Bank <predicate_marker> seriesOf <object_marker> AZZAD FUNDS <predicate_marker> subAdvisedBy <object_marker> Federated Hermes (UK) LLP <predicate_marker> subAdvisedBy <object_marker> Federated Investment Management Company <predicate_marker> transferAgent <object_marker> Mutual Shareholder Services, LLC <triple_end>", "target_serialized_plain": "Azzad Ethical Fund administrator Azzad Asset Management, Inc. ; advisedBy Azzad Asset Management, Inc. ; custodian Huntington National Bank ; seriesOf AZZAD FUNDS ; transferAgent Mutual Shareholder Services, LLC .\nAzzad Wise Capital Fund administrator Azzad Asset Management, Inc. ; advisedBy Azzad Asset Management, Inc. ; custodian Huntington National Bank ; seriesOf AZZAD FUNDS ; subAdvisedBy Federated Hermes (UK) LLP , Federated Investment Management Company ; transferAgent Mutual Shareholder Services, LLC .", "stats": {"input_chars": 14108, "n_triples": 12, "text_to_json_ratio": 14.4}}
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{"sample_id": "0001034925:ALL", "cik": "0001034925", "trust_name": "PRUDENTIAL DISCOVERY SELECT GROUP VARIABLE CONTRACT ACCOUNT", "input_text": "as entered into agreements with certain portfolios and/or the investment advisers of such portfolios to provide administrative and support services to such portfolios. Pursuant to the terms of these agreements Prudential receives a total fee of up to 0.40% annually of the average assets allocated to the portfolios under the Contract. These types of payments are sometimes referred to as revenue sharing payments. These agreements, including the fees paid and services provided, can vary for each underlying portfolio that has portfolios which underlie Subaccounts. We pass such payments through the reinsurance arrangement with Empower Annuity Insurance Company of America ( EAICA ). The funds for these payments come from, in whole or in part, the assets of the portfolio itself and/or the assets of the portfolio s investment advisor. The existence of these payments tends to increase the overall cost of investing in the underlying portfolio. Contractholders, through their indirect investment in the portfolios, indirectly bear the costs of these fees (see the portfolios prospectuses for more information). We have an incentive to offer portfolios managed by affiliated sub-advisers because of the fees that those affiliates will receive. We may consider those sub-adviser financial incentive factors in determining which portfolios to offer under the Contract. In general, allocations made to affiliated portfolios (i.e., The Prudential Series Fund) benefit us financially, Prudential has selected the portfolios for inclusion as investment options under this Contract in Prudential s role as the issuer of this Contract, and Prudential does not provide investment advice or recommend any particular portfolio. We also receive Rule 12b-1 fees from some underlying portfolios which compensate Empower Financial Services, Inc. for distribution and administrative services (including record keeping services and the mailing of prospectuses and reports to contract owners invested in the underlying portfolios). These fees are paid by the underlying portfolio out of each underlying portfolio s assets and are therefore borne by contract owners. In addition, the investment adviser, subadviser or distributor of the underlying portfolios may also compensate us by providing reimbursement or paying directly for, among other things, marketing and/or administrative services and/or other services they provide in connection with the Contract. These services may include, but are not limited to: co-sponsoring various meetings and seminars attended by broker-dealer firms registered representatives, plan sponsors and Participants, and creating marketing material discussing the Contract and the available options. The amounts paid depend on the nature of the meetings, the number of meetings attended by the adviser, subadviser, or distributor, the number of participants and attendees at the meetings, the costs expected to be incurred, and the level of the adviser s, subadviser s or distributor s participation. These payments or reimbursements may not be offered by all advisers, subadvisers, or distributors, and the amounts of such payments may vary between and among each adviser, subadviser, and distributor depending on their respective participation. Such payments may be passed to EAICA if applicable under the reinsurance arrangement. In addition to the payments that we receive from underlying portfolios and/or their affiliates, those same portfolios and/or their affiliates may make payments to us and/or our affiliates within the Prudential Financial group related to the offering o", "ontology": {"Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "trust:PRUDENTIAL_DISCOVERY_SELECT_GROUP_VARIABLE_CONTRACT_ACCOUNT", "p": "underwrittenBy", "o": "org:Empower_Financial_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> PRUDENTIAL DISCOVERY SELECT GROUP VARIABLE CONTRACT ACCOUNT <predicate_marker> underwrittenBy <object_marker> Empower Financial Services, Inc. <triple_end>", "target_serialized_plain": "PRUDENTIAL DISCOVERY SELECT GROUP VARIABLE CONTRACT ACCOUNT underwrittenBy Empower Financial Services, Inc. .", "stats": {"input_chars": 3600, "n_triples": 1, "text_to_json_ratio": 21.2}}
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{"sample_id": "0001075065:ALL", "cik": "0001075065", "trust_name": "SA FUNDS INVESTMENT TRUST", "input_text": "d loan associations and dollar-denominated\nobligations of U.S. subsidiaries and branches of foreign banks, such as certificates of deposit\n(including marketable variable rate certificates of deposit) and bankers acceptances;\ncorporate\ndebt obligations;\ncommercial\npaper;\nobligations\nof supranational organizations, such as the World Bank and the European Investment Bank;\nand\nrepurchase\nagreements.\nGenerally,\nthe Fund acquires obligations that mature between one and ten years from the date of settlement. The Fund has a non-fundamental investment\npolicy that, under normal circumstances, it will invest at least 80% of its net assets in fixed income securities issued in the U.S.\nDuring\nnormal market conditions, the Fund will seek to maintain an average portfolio duration within minus half a year to plus one year (-0.5\nto 1.0 years) of the average duration of the Morningstar US 1-3 Year Government and Corporate Bond Index SM .\nAs of September 30, 2025, the average duration of the index was 2.51 years. Duration is a\nmeasure used to determine the sensitivity of a security s\n2 | Summary Prospectus\nTable of Contents\nprice to changes in interest rates. The longer a security s duration,\nthe more sensitive it will be to changes in interest rates. For example, if the Fund has an average duration of 5 years, the Fund s\nnet asset value is expected to drop by approximately 5% if interest rates were to increase by 1%.\nThe\nFund generally invests in fixed income securities that are rated investment grade. The Fund considers fixed income securities to be investment\ngrade if, at the time of investment, they are rated at least BBB- by S P Global Ratings ( S P ), Baa3 by Moody s\nInvestors Service, Inc. ( Moody s ), or BBB- by Fitch Ratings Inc. ( Fitch ) or, if unrated, have been\ndetermined by Dimensional Fund Advisors LP (the Sub-Adviser ) to be of comparable quality.\nWith\nrespect to corporate debt securities ( e.g. , bonds and debentures), the Fund generally invests in investment grade securities that\nare issued by U.S. issuers and dollar-denominated obligations of foreign issuers issued in the U.S.\nThe\nFund may invest in U.S. Treasury bonds, bills and notes and obligations of federal agencies or instrumentalities, including inflation-protected\nsecurities such as Treasury Inflation-Protected Securities (TIPS). Normally, the Fund may invest up to 20% of its net assets in TIPS.\nSome U.S. government obligations that the Fund may invest in, such as Treasury bills, notes and bonds and securities guaranteed by the\nGovernment National Mortgage Association, are supported by the full faith and credit of the United States, while others such as those\nof or guaranteed by the Federal Home Loan Banks, Federal Home Loan Mortgage Corporation and Federal National Mortgage Association are\nnot.\nThe\nFund will invest more than 25% of its total assets in dollar-denominated obligations of U.S. banks and U.S. subsidiaries and branches\nof foreign banks and bank holding companies when the yield to maturity on these investments exceeds the yield to maturity on all other\neligible portfolio investments of similar quality for a period of five consecutive days during which the New York Stock Exchange ( NYSE )\nis open for trading. To determine that yields on dollar-denominated bank obligations are more attractive than yields on all other eligible\nportfolio investments of similar quality, the Sub-Adviser will examine the yield to maturity information for available fixed income securities\nof other industry sectors as compared to bank obligations after eliminating individual securities in ea\n...\ne return through the calendar quarter ended September 30, 2025 was 1.45 %. September 30, 2025\nHighest/lowest\nquarterly return during the periods shown:\nQuarter\nEnded\nTotal\nReturn\nBest\nQuarter\n09/30/2024\n2.31 %\nWorst\nQuarter\n03/31/2022\n( 3.69 ) %\nAverage\nAnnual Total Returns (for periods ended December 31, 2024)\n1\nYear\n5\nYears\n10\nYears\nReturn\nBefore Taxes\n5.23 %\n0.750 0.75%\n0.82 0.82%\nReturn\nAfter Taxes on Distributions\n3.16 3.16%\n- 0.05 -0.05%\n0.22 0.22%\nReturn\nAfter Taxes on Distributions and Sale of Fund Shares\n3.07 %\n0.23 0.23%\n0.37 0.37%\nMorningstar\nUS Core Bond Index SM *\n1.36 %\n- 0.36 %\n1.32 1.32%\nMorningstar\nUS 1-3 Yr Composite Government and Corporate Bond Index SM *\n4.37 4.37%\n1.53 1.53%\n1.62 1.62%\n* The\nMorningstar US Core Bond Index SM serves as the Fund s regulatory index and provides a broad measure\nof market performance. The Morningstar US 1-3 Yr Composite Government and Corporate Bond Index SM is\nthe Fund s additional index and is more representative of the Fund s\ninvestment universe than the regulatory index.\nAfter-tax\nreturns are calculated using the historical highest individual federal marginal income tax rates and do not reflect the impact of state\nand local taxes. In certain situations, the Return After Taxes on Distributions and Sale of Fund Shares may be higher than\nthe other return figures for the same period. A higher after-tax return can occur when a capital loss occurs upon redemption and translates\ninto an assumed tax deduction that benefits the shareholder. Actual after-tax returns depend on an investor s tax situation and\nmay differ from those shown. After-tax returns shown are not relevant to investors who hold their Fund shares through tax-advantaged\narrangements, such as 401(k) plans or individual retirement accounts.\nINVESTMENT\nADVISER\nFocus Partners Advisor Solutions,\nLLC is the Adviser. Dimensional Fund Advisors LP is the Sub-Adviser.\nPORTFOLIO\nMANAGERs\nThe\nfollowing portfolio managers are responsible for coordinating the day-to-day management of the Fund:\nJoseph\nF. Kolerich, Head of Fixed Income, Americas, member of the Investment Committee, Vice President, and Senior Portfolio Manager of the\nSub-Adviser, has been a portfolio manager for the Sub-Adviser since 2001 and a portfolio manager of the Fund since 2012.\nDavid\nA. Plecha, Global Head of Fixed Income Portfolio Management, member of the Investment Committee, Vice President, and Senior Portfolio\nManager of the Sub-Adviser, has been a portfolio manager for the Sub-Adviser since 1989 and a portfolio manager of the Fund since its\ninception.\nBUYING\nAND SELLING FUND SHARES, TAX INFORMATION, AND PAYMENTS TO INVESTMENT PROVIDERS AND OTHER FINANCIAL INTERMEDIARIES\nFor\nimportant information about buying and selling Fund shares, tax information, and financial intermediary compensation, please turn to\nBuying and Selling Fund Shares, Tax Information, and Payments to Investment Providers and Other Financial Intermediaries\non page 40 of this Prospectus.\n6 | Summary Prospectus\nTable of Contents\nFund\nSummary\nSA\nGlobal Fixed Income Fund\nGOAL\nThe\nFund s goal is to maximize total return available from a universe of higher-quality fixed income investments maturing in one to\nten years from the date of settlement.\nFEES\nAND EXPENSES\nThe\ntables below describe the fees and expenses that you may pay if you buy, hold and sell shares of the Fund. You may pay other fees, such\nas brokerage commissions and other fees to financial intermediaries, which are not reflected in the tables and examples below.\nShareholder\nFees (fees paid directly from your investment)\nSales\ncharge (l\n...\npressed as percentage of average daily net assets)\nSA\nU.S. Fixed Income Fund\n0.18%\nSA\nGlobal Fixed Income Fund\n0.28%\nSA\nU.S. Core Market Fund\n0.43%\nSA\nU.S. Value Fund\n0.50%\nSA\nU.S. Small Company Fund\n0.60%\nSA\nInternational Value Fund\n0.65%\nSA\nInternational Small Company Fund\n0.25%\nSA\nEmerging Markets Value Fund\n0.81%\nSA\nReal Estate Securities Fund\n0.45%\nA\ndiscussion regarding the basis for the Board of Trustees approval of the Advisory Agreement and the Sub-Advisory Agreement is\navailable in the SA Funds Form N-CSR on file with the SEC for the period ended June 30, 2025.\nExpense\nLimitation\nPursuant\nto a Fee Waiver and Expense Reimbursement Letter Agreement (the Fee Waiver Agreement ), the Adviser has contractually agreed\nto waive the fees payable to it under the Advisory Agreement, and/or to reimburse the operating expenses allocated to a Fund to the extent\nthe Fund s operating expenses (excluding interest, taxes, brokerage commissions, redemption liquidity service expenses, acquired\nfund fees and expenses and extraordinary expenses) exceed, in the aggregate, the rate per annum, as set forth below. The Fee Waiver Agreement\nwith respect to the Funds will remain in effect until October 28, 2028, at which time it may be continued, modified or eliminated\nand net expenses will be adjusted as necessary.\n78 | http://sa-funds.com\nTable of Contents\nFund\nExpense Limitation\n(Shown is the resulting ratio of total annual fund operating expenses expressed as a percentage)\nSA\nU.S. Fixed Income Fund\n0.40%\nSA\nGlobal Fixed Income Fund\n0.55%\nSA\nU.S. Core Market Fund\n0.65%\nSA\nU.S. Value Fund\n0.75%\nSA\nU.S. Small Company Fund\n0.90%\nSA\nInternational Value Fund\n0.90%\nSA\nInternational Small Company Fund\n0.55%\nSA\nEmerging Markets Value Fund\n1.04%\nSA\nReal Estate Securities Fund\n0.75%\nDistributor\nForeside\nFinancial Services, LLC (the Distributor ), the Trust s principal underwriter, acts as the Trust s distributor\nin connection with the offering of Fund shares. The Distributor may enter into arrangements with banks, broker-dealers and other financial\nintermediaries through which investors may purchase or redeem shares. The Distributor is not affiliated with the Adviser or their affiliates.\nFinancial\nIntermediary Compensation Paid by the Adviser\nThe\nAdviser and/or its affiliates, in their discretion, may make payments to registered investment advisors, brokerage firms, retirement\nsavings programs and other financial intermediaries or their affiliates (collectively, financial intermediaries ), or their\naffiliates, for sale, marketing, custody, clearing, supervision, acquisition financing, retention and/or administrative or other shareholder\nservicing activities. These cash payments may be substantial. Payments may be made on the basis of the sales of SA Funds shares attributable\nto that financial intermediary, the average net assets of SA Funds attributable to the accounts at that financial intermediary, or other\nmethods of calculation. Payments may also be made by the Adviser and/or its affiliates to these financial intermediaries to compensate\nor reimburse them for administrative or other shareholder services provided. Payments may also be made to some financial intermediaries\nto offset or reduce fees that would otherwise be paid directly to them by their clients.\nThe\nAdviser may host, sponsor, or co-sponsor conferences, seminars and other educational and informational activities for financial intermediaries\nfor the purpose of discussing the value and utility of the SA Funds and other investment products offered by the Adviser or its affiliates.\nThe Adviser may\n...\nffiliates,\nfor supervisory and marketing efforts in connection with their referral services. The SA Funds, however, do not direct brokerage transactions\nto broker-dealers as compensation for the sale of SA Fund shares.\nSuch\npayments to financial intermediaries, or their affiliates, are paid by the Adviser or its affiliates out of its own resources, and are\nnot charged to the SA Funds. Such payments by the Adviser or its affiliates are made subject to any regulatory requirements. The Adviser\nis motivated to make the payments described above since they may promote the sale of shares of the SA Funds and the retention of those\ninvestments by clients of these financial intermediaries. To the extent these financial intermediaries sell more shares of a Fund or\nretain shares of a Fund in their clients accounts, the Adviser benefits from the incremental fees paid to it by the Fund with\nrespect to those assets.\nPayments\nmade by the Adviser or its affiliates may create an incentive for financial intermediaries and their employees to recommend or offer\nshares of the SA Funds to their clients rather than other funds or investment products. These payments also may give financial intermediaries\nan incentive to cooperate with the Adviser s marketing efforts. You should review your financial intermediary s compensation\ndisclosure and/or talk to them to obtain more information on how this compensation may have influenced recommendation of an SA Fund.\nCall toll-free 1.844.366.0905 Prospectus | 79\nTable of Contents\nYour\nAccount\nThis\nsection describes how to do business with the SA Funds and the services that are available to shareholders.\nHow\nto Reach the SA Funds\nBy\ntelephone:\n(844)\n366-0905\nCall\nfor account information 8:00 a.m. to 5:00 p.m. Pacific Time, Monday through Friday.\nBy\nmail:\nSA\nFunds Investment Trust\nc/o\nFocus Partners Advisor Solutions, LLC\n190\nCarondelet Plaza , Suite 600\nSt.\nLouis, Missouri 63105\nInvestment\nProviders\nThe\nfees and policies outlined in this Prospectus are set by the SA Funds and by the Adviser. However, much of the information you will need\nfor managing your investment will come from your investment provider. This includes information on how to buy, sell and exchange shares,\ninvestor services, and additional policies. In exchange for the services it offers, your investment provider may charge fees, which are\nin addition to those described in this Prospectus.\nIf\nyou are investing in the SA Funds through a 401(k) or other retirement plan, you should contact your employer, plan administrator or\nplan sponsor for the terms and procedures that pertain to your investment. They can provide you with detailed information on how to participate\nin the plan, manage your account, and elect the SA Funds as an investment option. Investment providers may provide some of the investor\nservicing and account maintenance services required by plan accounts and plan participants and may arrange for plan service providers\nto provide other investment or administrative services. Investment providers may charge plans and plan participants transaction fees\nand/or other additional amounts for such services. Similarly, plans may charge plan participants for certain expenses, which are in addition\nto those described in this Prospectus.\nPurchasing\nShares\nFor\nclients of many investment advisors, the minimum initial purchase amount is generally $100,000 across all of the SA Funds with no minimum\nfor subsequent investments. In the Adviser s discretion, the minimum initial purchase amount may be applied across all assets of\nthe investor under administration w\n...\nean between the most recent quoted bid and asked prices, or if such prices are\nnot available, the security will be fair valued.\nDomestic\nequity securities listed on the over-the-counter ( OTC ) markets: at the official closing price, if any, or the last reported\nsale price of the day. In the absence of such reported prices: at the mean between the most recent quoted bid and asked prices. Other\nthan with respect to OTC bulletin board securities, if the most recent quoted bid and asked prices are not available, the official closing\nprice, if any, or the last reported sale price for the prior day will be used, or the security may be fair valued. With respect to OTC\nbulletin board securities, if only the most recent quoted bid price is available, at such bid price or if only the most recent quoted\nasked price is available, the security will be fair valued.\nForeign\nequity securities: at the official closing price, if any, or the last reported sale price at the close (or if the foreign market is not\nclosed at the time of valuation, the last reported sale price at the time of valuation) of the exchange on which the securities are principally\ntraded. In the absence of such reported prices: at the most recent quoted bid price, or if such price is not available, the security\nwill be fair valued.\nBond\nand other fixed income securities: based on prices provided by independent pricing services\nor other reasonably reliable sources, including brokers/dealers.\nShares\nof an open-end investment company: at the open-end investment company s NAV (the prospectuses for such investment companies contain\ninformation on those investment companies fair valuation procedures and the effects of fair valuation).\nForward\ncurrency contracts: based on prices provided by an independent pricing service. State Street Bank and Trust Company, the Funds\nsub-administrator, will interpolate prices when the life of the contract is not the same as a life for which quotations are offered.\n84 | http://sa-funds.com\nTable of Contents\nInvestments\nfor which market quotations are not readily available, or for which available quotations do not appear to accurately reflect the current\nvalue of an investment: valued at fair value as determined in good faith by the valuation designee ( Valuation Designee )\nappointed by the Board of Trustees pursuant to procedures approved by the Board of Trustees. The Board of Trustees has designated the\nAdviser to serve as the Valuation Designee for the Funds. Fair value\npricing is based on subjective judgments, and it is possible that such pricing may vary significantly from the price actually received\non a sale. The Valuation Designee periodically provides reports to the Board of Trustees on items related to its fair value of Fund investments.\nTrading\nin many foreign securities may be completed at times that vary from the closing of the NYSE. The Funds value foreign securities at the\nlatest market price in the foreign market immediately prior to the close of regular trading on the NYSE. If there is no such reported\nprice, or if there is no trading volume, the most recent quoted bid price will be used. Certain foreign currency exchange rates may also\nbe determined at the latest rate prior to the closing of the NYSE. Foreign securities quoted in foreign currencies are translated into\nU.S. dollars using the prevailing exchange rate. Foreign securities may trade in their primary markets on weekends or other days when\nthe SA Funds do not price their shares. Therefore, the net asset value of the portfolio of a Fund holding foreign securities may change\non d\n...\net assets over $1.5 billion. There is a minimum annual charge of $54,000 per Fund.\nFees are calculated for the fund complex and then\nallocated to the Funds based upon each Fund s total net assets, which may cause a Fund to pay less than the minimum annual charge.\nThe table below sets forth the fees paid by the\nFunds to State Street, in its capacity as the sub-administrator, for the periods indicated.\nFund\nFiscal\nYear Ended\nJune 30, 2025\nFiscal\nYear Ended\nJune 30, 2024\nFiscal\nYear Ended\nJune 30, 2023\nSA U.S. Fixed Income Fund\n$81,392\n$79,612\n$86,759\nSA Global Fixed Income Fund\n$100,410\n$107,367\n$140,730\nSA U.S. Core Market Fund\n$122,563\n$115,223\n$119,287\nSA U.S. Value Fund\n$98,478\n$93,013\n$103,929\nSA U.S. Small Company Fund\n$57,530\n$53,189\n$61,523\nSA International Value Fund\n$96,284\n$95,126\n$105,932\nSA International Small Company Fund\n$43,003\n$43,236\n$49,475\nSA Emerging Markets Value Fund\n$34,681\n$34,053\n$36,115\nSA Real Estate Securities Fund\n$24,374\n$21,480\n$26,581\nSA Worldwide Moderate Growth Fund\n$3,775\n$3,902\n$4,494\nCUSTODIAN\nState Street, John Adams Building, 1776 Heritage\nDrive, North Quincy, MA 02171 is the custodian of each Fund s assets pursuant to a Custodian Contract with the Trust. State Street\nis also the custodian with respect to the custody of foreign securities held by the Funds. Under the Custodian Contract, State Street\n(i) holds and transfers portfolio securities of each Fund, (ii) accepts receipts and makes disbursements of money on behalf of each Fund,\n(iii) collects and receives all income and other payments and distributions on each Fund s securities and (iv) makes periodic reports\nto the Board of Trustees concerning the Funds operations.\nTRANSFER AND DIVIDEND-DISBURSING AGENT\nThe Trust has hired SS C Global Investor\nDistribution Solutions, Inc. ( SS C GIDS ), 50 West 7 th Street, Kansas City, MO, 64105 to serve as\nthe transfer and dividend-disbursing agent for the Funds. In addition, the Trust and/or the Distributor have entered into arrangements\nwhereby authorized intermediaries administer omnibus accounts for indirect shareholders of the Funds. The Trust and/or the Adviser may\npay certain such intermediaries for these services.\n38\nTable of Contents\nSECURITIES LENDING\nThe Trust has hired State Street, State Street\nFinancial Center, One Congress Street, Boston, MA 02111-2900, to serve as the securities lending agent for the Funds. The services provided\nby State Street as securities lending agent include selection of securities to be lent; entering into loan agreements with borrowers\npreviously approved by the Funds Board; negotiating loan terms; delivery of documents to the Funds; receiving and holding collateral\non the Funds behalf; providing to the Funds services related to marking lent securities and collateral to their market value to\nassist the Fund with valuation, performed pursuant to relevant policies and procedures approved by the Board; investing cash collateral\nin accordance with instructions from the Funds; recordkeeping for transactions under the securities lending agreement; monitoring dividends\nand coordinating material proxy votes relating to lent securities; and arranging for the return of lent securities upon the termination\nof the loan. Income and fees from securities lending activities for the fiscal year ended June 30, 2025, are shown in the following\ntable:\nFund\nSecurities\nLending Activity\nSA Global Fixed Income Fund\nGross income from securities lending activities\n$193,871\nFees paid to securities lending agent from a revenue split\n$5,613\nFees paid for any cash collateral management service", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["Administrator"], "custodian": ["Administrator"], "seriesOf": ["Trust"], "subAdvisedBy": ["SubAdviser"], "transferAgent": ["TransferAgent"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:SA_Emerging_Markets_Value_Fund", "p": "administrator", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_Emerging_Markets_Value_Fund", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_Emerging_Markets_Value_Fund", "p": "advisedBy", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Emerging_Markets_Value_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_Emerging_Markets_Value_Fund", "p": "seriesOf", "o": "trust:SA_FUNDS_INVESTMENT_TRUST", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Emerging_Markets_Value_Fund", "p": "subAdvisedBy", "o": "org:Dimensional_Fund_Advisors_LP", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Emerging_Markets_Value_Fund", "p": "transferAgent", "o": "org:SS_C_GIDS_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Global_Fixed_Income_Fund", "p": "administrator", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_Global_Fixed_Income_Fund", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_Global_Fixed_Income_Fund", "p": "advisedBy", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Global_Fixed_Income_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_Global_Fixed_Income_Fund", "p": "seriesOf", "o": "trust:SA_FUNDS_INVESTMENT_TRUST", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Global_Fixed_Income_Fund", "p": "subAdvisedBy", "o": "org:Dimensional_Fund_Advisors_LP", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Global_Fixed_Income_Fund", "p": "transferAgent", "o": "org:SS_C_GIDS_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_International_Small_Company_Fund", "p": "administrator", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_International_Small_Company_Fund", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_International_Small_Company_Fund", "p": "advisedBy", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_International_Small_Company_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_International_Small_Company_Fund", "p": "seriesOf", "o": "trust:SA_FUNDS_INVESTMENT_TRUST", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_International_Small_Company_Fund", "p": "subAdvisedBy", "o": "org:Dimensional_Fund_Advisors_LP", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_International_Small_Company_Fund", "p": "transferAgent", "o": "org:SS_C_GIDS_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_International_Value_Fund", "p": "administrator", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_International_Value_Fund", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_International_Value_Fund", "p": "advisedBy", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_International_Value_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_International_Value_Fund", "p": "seriesOf", "o": "trust:SA_FUNDS_INVESTMENT_TRUST", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_International_Value_Fund", "p": "subAdvisedBy", "o": "org:Dimensional_Fund_Advisors_LP", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_International_Value_Fund", "p": "transferAgent", "o": "org:SS_C_GIDS_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Real_Estate_Securities_Fund", "p": "administrator", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_Real_Estate_Securities_Fund", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_Real_Estate_Securities_Fund", "p": "advisedBy", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Real_Estate_Securities_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_Real_Estate_Securities_Fund", "p": "seriesOf", "o": "trust:SA_FUNDS_INVESTMENT_TRUST", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Real_Estate_Securities_Fund", "p": "subAdvisedBy", "o": "org:Dimensional_Fund_Advisors_LP", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Real_Estate_Securities_Fund", "p": "transferAgent", "o": "org:SS_C_GIDS_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_U_S_Core_Market_Fund", "p": "administrator", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_U_S_Core_Market_Fund", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_U_S_Core_Market_Fund", "p": "advisedBy", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_U_S_Core_Market_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_U_S_Core_Market_Fund", "p": "seriesOf", "o": "trust:SA_FUNDS_INVESTMENT_TRUST", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_U_S_Core_Market_Fund", "p": "subAdvisedBy", "o": "org:Dimensional_Fund_Advisors_LP", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_U_S_Core_Market_Fund", "p": "transferAgent", "o": "org:SS_C_GIDS_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_U_S_Fixed_Income_Fund", "p": "administrator", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_U_S_Fixed_Income_Fund", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_U_S_Fixed_Income_Fund", "p": "advisedBy", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_U_S_Fixed_Income_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_U_S_Fixed_Income_Fund", "p": "seriesOf", "o": "trust:SA_FUNDS_INVESTMENT_TRUST", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": 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"org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_U_S_Value_Fund", "p": "advisedBy", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_U_S_Value_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_U_S_Value_Fund", "p": "seriesOf", "o": "trust:SA_FUNDS_INVESTMENT_TRUST", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_U_S_Value_Fund", "p": "subAdvisedBy", "o": "org:Dimensional_Fund_Advisors_LP", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_U_S_Value_Fund", "p": "transferAgent", "o": "org:SS_C_GIDS_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Worldwide_Moderate_Growth_Fund", "p": "administrator", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_Worldwide_Moderate_Growth_Fund", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_Worldwide_Moderate_Growth_Fund", "p": "advisedBy", "o": "org:Focus_Partners_Advisor_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Worldwide_Moderate_Growth_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:SA_Worldwide_Moderate_Growth_Fund", "p": "seriesOf", "o": "trust:SA_FUNDS_INVESTMENT_TRUST", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:SA_Worldwide_Moderate_Growth_Fund", "p": "transferAgent", "o": "org:SS_C_GIDS_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:SA_FUNDS_INVESTMENT_TRUST", "p": "underwrittenBy", "o": "org:Foreside_Financial_Services_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> SA Emerging Markets Value Fund <predicate_marker> administrator <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> SA FUNDS INVESTMENT TRUST <predicate_marker> subAdvisedBy <object_marker> Dimensional Fund Advisors LP <predicate_marker> transferAgent <object_marker> SS&C GIDS, Inc. <triple_end>\n<triple_start> SA Global Fixed Income Fund <predicate_marker> administrator <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> SA FUNDS INVESTMENT TRUST <predicate_marker> subAdvisedBy <object_marker> Dimensional Fund Advisors LP <predicate_marker> transferAgent <object_marker> SS&C GIDS, Inc. <triple_end>\n<triple_start> SA International Small Company Fund <predicate_marker> administrator <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> SA FUNDS INVESTMENT TRUST <predicate_marker> subAdvisedBy <object_marker> Dimensional Fund Advisors LP <predicate_marker> transferAgent <object_marker> SS&C GIDS, Inc. <triple_end>\n<triple_start> SA International Value Fund <predicate_marker> administrator <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> SA FUNDS INVESTMENT TRUST <predicate_marker> subAdvisedBy <object_marker> Dimensional Fund Advisors LP <predicate_marker> transferAgent <object_marker> SS&C GIDS, Inc. <triple_end>\n<triple_start> SA Real Estate Securities Fund <predicate_marker> administrator <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> SA FUNDS INVESTMENT TRUST <predicate_marker> subAdvisedBy <object_marker> Dimensional Fund Advisors LP <predicate_marker> transferAgent <object_marker> SS&C GIDS, Inc. <triple_end>\n<triple_start> SA U.S. Core Market Fund <predicate_marker> administrator <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> SA FUNDS INVESTMENT TRUST <predicate_marker> subAdvisedBy <object_marker> Dimensional Fund Advisors LP <predicate_marker> transferAgent <object_marker> SS&C GIDS, Inc. <triple_end>\n<triple_start> SA U.S. Fixed Income Fund <predicate_marker> administrator <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> SA FUNDS INVESTMENT TRUST <predicate_marker> subAdvisedBy <object_marker> Dimensional Fund Advisors LP <predicate_marker> transferAgent <object_marker> SS&C GIDS, Inc. <triple_end>\n<triple_start> SA U.S. Small Company Fund <predicate_marker> administrator <object_marker> Focus Partners Advisor Solutions, LLC <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> 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Real Estate Securities Fund administrator Focus Partners Advisor Solutions, LLC , State Street Bank and Trust Company ; advisedBy Focus Partners Advisor Solutions, LLC ; custodian State Street Bank and Trust Company ; seriesOf SA FUNDS INVESTMENT TRUST ; subAdvisedBy Dimensional Fund Advisors LP ; transferAgent SS&C GIDS, Inc. .\nSA U.S. Core Market Fund administrator Focus Partners Advisor Solutions, LLC , State Street Bank and Trust Company ; advisedBy Focus Partners Advisor Solutions, LLC ; custodian State Street Bank and Trust Company ; seriesOf SA FUNDS INVESTMENT TRUST ; subAdvisedBy Dimensional Fund Advisors LP ; transferAgent SS&C GIDS, Inc. .\nSA U.S. Fixed Income Fund administrator Focus Partners Advisor Solutions, LLC , State Street Bank and Trust Company ; advisedBy Focus Partners Advisor Solutions, LLC ; custodian State Street Bank and Trust Company ; seriesOf SA FUNDS INVESTMENT TRUST ; subAdvisedBy Dimensional Fund Advisors LP ; transferAgent SS&C GIDS, Inc. .\nSA U.S. Small Company Fund administrator Focus Partners Advisor Solutions, LLC , State Street Bank and Trust Company ; advisedBy Focus Partners Advisor Solutions, LLC ; custodian State Street Bank and Trust Company ; seriesOf SA FUNDS INVESTMENT TRUST ; subAdvisedBy Dimensional Fund Advisors LP ; transferAgent SS&C GIDS, Inc. .\nSA U.S. Value Fund administrator Focus Partners Advisor Solutions, LLC , State Street Bank and Trust Company ; advisedBy Focus Partners Advisor Solutions, LLC ; custodian State Street Bank and Trust Company ; seriesOf SA FUNDS INVESTMENT TRUST ; subAdvisedBy Dimensional Fund Advisors LP ; transferAgent SS&C GIDS, Inc. .\nSA Worldwide Moderate Growth Fund administrator Focus Partners Advisor Solutions, LLC , State Street Bank and Trust Company ; advisedBy Focus Partners Advisor Solutions, LLC ; custodian State Street Bank and Trust Company ; seriesOf SA FUNDS INVESTMENT TRUST ; transferAgent SS&C GIDS, Inc. .\nSA FUNDS INVESTMENT TRUST underwrittenBy Foreside Financial 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{"sample_id": "0001100663:ALL", "cik": "0001100663", "trust_name": "iShares Trust", "input_text": "onRiskMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:C000274267Member 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:ConcentrationRiskMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:IncomeRiskMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:IndexRelatedRiskMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:InterestRateRisksMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:IssuerRiskMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:ManagementRiskMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:MarketRisksMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:MarketTradingRiskMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:OperationalAndTechnologyRisksMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member oef:RiskLoseMoneyMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:RiskOfInvestingInTheUSMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:SecuritiesLendingRiskMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:SmallFundRiskMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:TrackingErrorRiskMember 2026-04-29 2026-04-29 0001100663 ist:S000103684Member ist:USTreasuryObligationsRiskMember 2026-04-29 2026-04-29 0001100663 2026-04-29 2026-04-29 iso4217:USD xbrli:pure As filed with the U.S. Securities and Exchange Commission on April 29, 2026 File Nos. 333 92935 and 811 09729 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER\nTHE SECURITIES ACT OF 1933\nPost-Effective Amendment No. 2,886\nand/or REGISTRATION STATEMENT UNDER\nTHE INVESTMENT COMPANY ACT OF 1940\nAmendment No. 2,886\n(Check appropriate box or boxes) iShares Trust (Exact Name of Registrant as Specified in Charter) c/o BlackRock Fund Advisors 400 Howard Street San Francisco, CA 94105 (Address of Principal Executive Office)(Zip Code) Registrant s Telephone Number, including Area Code: (415) 670 2000 The Corporation Trust Company 1209 Orange Street Wilmington, DE 19801 (Name and Address of Agent for Service) With Copies to:\nMARGERY K. NEALE, ESQ. BENJAMIN J. HASKIN, ESQ. WILLKIE FARR GALLAGHER LLP 787 SEVENTH AVENUE NEW YORK, NY 10019-6099\nMARISA ROLLAND, ESQ. BLACKROCK FUND ADVISORS 400 HOWARD STREET SAN FRANCISCO, CA 94105 It is proposed that this filing will become effective (check appropriate box):\nImmediately upon filing pursuant to paragraph (b)\nOn April 29, 2026 pursuant to paragraph (b)\n60 days after filing pursuant to paragraph (a)(1)\nOn (date) pursuant to paragraph (a)(1)\n75 days after filing pursuant to paragraph (a)(2)\nOn (date) pursuant to paragraph (a)(2) If appropriate, check the following box:\nThis post-effective amendment designates a new effective date for a previously filed post-effective amendment.\nApril 29, 2026\nProspectus iShares Trust iShares 1-10 Year Treasury Bond ETF | GOVM | Cboe BZX The Securities and Exchange Commission ( SEC ) has not approved or disapproved these securities or passed upon the adequacy of this prospectus. Any representation to the contrary is a criminal offense. Table of Contents Fund Summary\niShares 1-10 Year Treasury Bond ETF\nS - 1\nMore Information About the Fund\n1\nAdditional Information About the Fund's Risks\n2\nPortfolio Holdings Information\n7\nManagement of the Fund\n7\nShareholder Information\n9\nDistribution\n15\nFinancial Highlights\n16\nIndex Provider and Disclaimers\n17 i [THIS PAGE INTENTIONALLY LEFT BLANK] iSHARES 1-10 YEAR TREASURY BOND ETF Ticker: GOVM Stock Exchange: Cboe BZX Investment Objective The iShares 1-10 Year Treasury Bond ETF\n...\ncontractual waiver may be terminated prior to its expiration date only upon written agreement of the Trust and BFA. In addition, BFA may from time to time voluntarily waive and/or reimburse fees or expenses to reduce a Fund s total annual fund operating expenses (excluding acquired fund fees and expenses, if any). Any such voluntary waiver or reimbursement may be eliminated by BFA at any time.\nFund\nManagement Fee\niShares 1-10 Year Treasury Bond ETF\n0.05% Portfolio Managers The Portfolio Managers for the Fund are responsible for various functions related to portfolio management, including, but not limited to, investing cash inflows, coordinating with members of their respective portfolio management teams to focus on certain asset classes, implementing investment strategy, researching and reviewing investment strategy and overseeing members of their respective teams who have more limited responsibilities. Jonathan Graves, James Mauro and Marcus Tom are primarily responsible for the day-to-day management of the Fund. Jonathan Graves has been employed by BFA or its affiliates as a senior portfolio manager since 2003. He is a Managing Director of BlackRock, Inc. James Mauro has been employed by BFA or its affiliates as a portfolio manager since 2011. He is a Managing Director of BlackRock, Inc. Marcus Tom has been employed by BFA or its affiliates as a senior portfolio manager since 2000. He is a Director of BlackRock, Inc. Each Fund s SAI provides additional information about the Portfolio Managers compensation, other accounts managed by the Portfolio Managers and the Portfolio Managers ownership (if any) of shares of the Funds. Administrator, Custodian and Transfer Agent The administrator, custodian and transfer agent for the Fund is indicated in the table below.\nFund\nThe Bank of New York Mellon\nCitibank, N.A.\nJPMorgan Chase Bank, N.A.\nState Street Bank and Trust Company\niShares 1-10 Year Treasury Bond ETF\nConflicts of Interest The investment activities of BFA and its affiliates (including BlackRock and its subsidiaries (collectively, the Affiliates )), and their respective directors, officers or employees, in managing their own accounts and other accounts, may present conflicts of interest that could disadvantage a Fund and its shareholders. BFA and its Affiliates are involved worldwide with a broad spectrum of financial services and asset management activities and in the ordinary course of business may engage in activities in which their interests or the interests of other clients may conflict with those of a Fund. BFA and its Affiliates act, or may act, as an investor, research provider, investment manager, commodity pool operator, commodity trading advisor, financier, underwriter, adviser, trader, lender, index provider, agent and/or principal. BFA and its Affiliates may have other direct and indirect interests in securities, currencies, commodities, derivatives and other assets in which a Fund may directly or indirectly invest. BFA and its Affiliates may engage in proprietary trading and advise accounts and other funds that have investment objectives similar to those of a Fund and/or that engage in and compete for transactions in the same or similar types of securities, currencies and other assets as are held by a Fund. This may include transactions in securities issued by other open-end and closed-end investment companies, including 8 investment companies that are affiliated with the Fund and BFA, to the extent permitted under the Investment Company Act of 1940, as amended (the 1940 Act ). The trading activities of BFA and its Affiliates are carried out without reference to positions held direc\n...\nerefore, may differ from those of an Affiliate and of other accounts managed by an Affiliate. It is possible that a Fund could sustain losses during periods in which one or more Affiliates and other accounts achieve profits on their trading for proprietary or other accounts. The opposite result is also possible. In addition, a Fund may enter into transactions in which BFA or an Affiliate or their directors, officers, employees or clients have an adverse interest. A Fund may be adversely impacted by the effects of transactions undertaken by BFA or an Affiliate or their directors, officers, employees or clients. From time to time, BlackRock or its advisory clients (including other funds and accounts) may, subject to compliance with applicable law, purchase and hold shares of a Fund. The price, availability, liquidity, and (in some cases) expense ratio of a Fund may be impacted by purchases and sales of the Fund by BlackRock or its advisory clients. A Fund s activities may be limited because of regulatory restrictions applicable to BFA or an Affiliate or their policies designed to comply with such restrictions. Under a securities lending program approved by the Board, the Funds have retained BTC, an Affiliate of BFA, to serve as their securities lending agent to the extent that they participate in the securities lending program. For these services, the securities lending agent will receive a fee from the participating Fund based on the returns earned on the Fund s lending activities, including investment of the cash received as collateral for the loaned securities. In addition, one or more Affiliates may be among the entities to which a Fund may lend its portfolio securities under the securities lending program. Under an ETF Services Agreement, certain Funds have retained BlackRock Investments, LLC (the Distributor or BRIL ), an Affiliate of BFA, to perform certain order processing, Authorized Participant communications, and related services in connection with the issuance and redemption of Creation Units ( ETF Services ). BRIL has engaged Citibank, N.A. ( Citibank ) as a subcontractor to provide certain ETF Services. BRIL retains a portion of the standard transaction fee received from Authorized Participants on each creation or redemption order from the Authorized Participant for the ETF Services provided. BlackRock collaborated with, and received payment from, Citibank on the design and development of the ETF Services platform. Citibank has, and from time to time may develop, additional relationships with BlackRock or funds managed by BFA and its Affiliates. BlackRock and its Affiliates may benefit from a Fund using a BlackRock index by creating increasing acceptance in the marketplace for such indexes. BlackRock and its Affiliates are not obligated to license an index to a Fund, and no Fund is under an obligation to use a BlackRock index. The terms of a Fund s index licensing agreement with BlackRock or its Affiliates may not be as favorable as the terms offered to other licensees. The activities of BFA and its Affiliates and their respective directors, officers or employees may give rise to other conflicts of interest that could disadvantage a Fund and its shareholders. BFA has adopted policies and procedures designed to address these potential conflicts of interest. Please see the SAI for further information. Shareholder Information Additional shareholder information, including how to buy and sell shares of the Funds, is available free of charge by calling toll-free 1-800-iShares (1-800-474-2737) or visiting www.iShares.com. 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{"sample_id": "0001105076:ALL", "cik": "0001105076", "trust_name": "ARBITRAGE FUNDS", "input_text": "e Number)\nJohn S. Orrico\nWater Island Capital, LLC\n41 Madison Avenue, 42 nd Floor\nNew York, NY 10010\n(Name and Address of Agent for Service)\nCopy to:\nFatima Sulaiman, Esq.\nK L Gates LLP\n1601 K Street, NW\nWashington, D.C. 20006-1600\nApproximate Date of Proposed Public Offering: Continuous.\nIt is proposed that this filing will become effective:\nImmediately upon filing\npursuant to paragraph (b)\non\n(date) pursuant to paragraph (b)\n60\ndays after filing pursuant to paragraph (a)(1)\non\n(date) pursuant to paragraph (a)(1)\n75\ndays after filing pursuant to paragraph (a)(2)\non\n(date) pursuant to paragraph (a)(2) of rule 485.\nIf appropriate, check the following box:\nthis post-effective amendment\ndesignates a new effective date for a previously filed post-effective amendment.\nSEPTEMBER 26, 2025 | PROSPECTUS\nARBITRAGE FUND\nClass R (Nasdaq Symbol: ARBFX)\nClass I (Nasdaq Symbol: ARBNX)\nClass C (Nasdaq Symbol: ARBCX)\nClass A (Nasdaq Symbol: ARGAX)\nWATER ISLAND EVENT-DRIVEN FUND\nClass R (Nasdaq Symbol: AEDFX)\nClass I (Nasdaq Symbol: AEDNX)\nClass A (Nasdaq Symbol: AGEAX)\nWATER ISLAND CREDIT OPPORTUNITIES FUND\nClass R (Nasdaq Symbol: ARCFX)\nClass I (Nasdaq Symbol: ACFIX)\nClass A (Nasdaq Symbol: AGCAX)\n104 Fifth Avenue, 9th Floor | New York, New York 10011\nThe Arbitrage Funds currently offers three fund series to investors Arbitrage Fund, Water Island Event-Driven Fund and Water Island Credit Opportunities Fund (the \"Funds\"). Arbitrage Fund has four classes of shares (the \"Classes\") and Water Island Event-Driven Fund and Water Island Credit Opportunities Fund each have three Classes. The Classes differ only in the expenses and sales charges to which they are subject and with respect to investment eligibility requirements.\nArbitrage Fund seeks to achieve capital growth by engaging in merger arbitrage. Water Island Event-Driven Fund seeks to achieve capital growth. Water Island Credit Opportunities Fund seeks to provide current income and capital growth. The investment adviser to the Funds is Water Island Capital, LLC, 104 Fifth Avenue, 9th Floor, New York, New York 10011.\nThis prospectus contains information about the Funds that you should know before investing, including information about risks. Please read it carefully and keep it with your investment records.\nThe Securities and Exchange Commission has not approved or disapproved of these securities or passed upon the adequacy of this prospectus. Any representation to the contrary is a criminal offense.\nTABLE OF CONTENTS\n2\nSummary Sections\n2\nArbitrage Fund\n10\nWater Island Event-Driven Fund\n18\nWater Island Credit Opportunities Fund\n25\nAdditional Important Information Regarding Fund Expenses And Dividends On Short Positions\n27\nInvestment Objective, Policies, And Risks\n35\nThe Adviser\n36\nDistribution Arrangements\n37\nNet Asset Value\n37\nHow To Purchase Shares\n42\nRedemptions\n45\nExchanging Shares\n46\nConversion of Shares\n46\nPayments to Financial Intermediaries\n47\nTax Status, Dividends And Distributions\n48\nAdditional Information\n49\nFinancial Highlights\n60\nAppendix A Intermediary-Specific Sales Charge Reductions and Waivers\nNo person has been authorized to give any information or to make any representations other than those contained in this prospectus and the Funds' Statement of Additional Information dated September 26, 2025 (which is incorporated by reference into this prospectus and is legally a part of this prospectus) and, if given or made, such information or representations may not be relied upon as having been authorized by us.\nARBITRAGE FUND\nSUMMARY SECTION\nInvestment Objective\nThe Fund seeks to achieve capital growth by engaging in merger arbitrage.\nFund Fees and Expenses\nThis table describes the fees and expenses that you may pay if you buy, hold, and sell shares of the Fund. You may also pay other fees,\n...\nterature and a minor in Economics.\nJohn S. Orrico, CFA serves as Co-Chief Investment Officer of the Adviser and also serves as the President and Chairman of the Board of Trustees of The Arbitrage Funds and AltShares Trust, an open-end management investment company which is part of the same fund complex as The Arbitrage Funds. He currently serves as a portfolio manager of Arbitrage Fund (since September 2000), Water Island Event-Driven Fund (since March 2018), and Water Island Credit Opportunities Fund (since January 2018). Prior to organizing the Adviser in January 2000, Mr. Orrico assisted in the management of private trusts and entities employing merger arbitrage strategies. Mr. Orrico received a bachelor's degree from Georgetown University in 1982, with a double major in Finance and International Management. He received the Chartered Financial Analyst designation in 1988.\nMatthew Osowiecki joined the Adviser in 2007 and currently serves as Co-Chief Investment Officer of the Adviser and a portfolio manager of Arbitrage Fund (since June 2016), Water Island Event-Driven Fund (since September 2023), and Water Island Credit Opportunities Fund (since September 2025). Prior to being promoted to portfolio manager of the Adviser in 2016, Mr. Osowiecki served as a senior equity analyst. Before joining the Adviser, Mr. Osowiecki worked in the Investment Product Division of The Hartford and as a project manager in commercial development. Mr. Osowiecki received a Bachelor of Science in Finance from the University of Connecticut.\nThe Funds' SAI provides additional information about each portfolio manager's compensation, other accounts managed by the portfolio manager and the portfolio manager's ownership of securities in the Funds he manages.\nDISTRIBUTION ARRANGEMENTS\nDistributor\nALPS Distributors, Inc. (the \"Distributor\") serves as principal underwriter for the Funds and, as such, is the exclusive agent for the distribution of shares of the Funds.\n36 PROSPECTUS | SEPTEMBER 26 2025\nTHE ARBITRAGE FUNDS\nDistribution Plan\nArbitrage Fund, Water Island Event-Driven Fund and Water Island Credit Opportunities Fund each has adopted a Rule 12b-1 plan for Class R shares, which allows the Fund to pay distribution and other fees for the sale and distribution of Class R shares and for services provided to shareholders. The maximum level of distribution expenses is 0.25% per year of a Fund's average daily net assets allocable to Class R shares. As these fees are paid out of a Fund's assets on an on-going basis, over time these fees will increase the cost of an investment in Class R shares and may cost you more than paying other types of sales charges.\nArbitrage Fund has adopted a Rule 12b-1 plan for Class C shares (the \"Plan\"), which allows the Fund to pay distribution and other fees for the sale and distribution of Class C shares and for services provided to shareholders. The Plan permits the Fund to make payments at an annual rate of up to 0.75% of the Fund's average daily net assets attributable to its Class C shares for expenses incurred in the promotion and distribution of the Fund's shares. In addition, the Plan permits the Fund to make payments at an annual rate of up to 0.25% of the Fund's Class C shares for expenses incurred in connection with the provision of shareholder support or administrative services for the Fund's Class C shares. As these fees are paid out of the Fund's assets on an on-going basis, over time these fees will increase the cost of an investment in Class C shares and may cost you more than paying other types of sales charges. Unde\n...\nial intermediary that supports this feature.\nUnless specifically described above, other front-end load waivers are not available on mutual fund purchases through Wells Fargo Advisors.\n62 PROSPECTUS | SEPTEMBER 26 2025\nTHE ARBITRAGE FUNDS\nWells Fargo Advisors Contingent Deferred Sales Charge information\nContingent deferred sales charges (CDSC) imposed on fund redemptions will not be rebated based on future purchases.\nWells Fargo Advisors Class A front-end load discounts\nWells Fargo Advisors clients purchasing Class A shares of the fund through Wells Fargo Advisors brokerage accounts will follow the following aggregation rules for breakpoint discounts:\nEffective April 1, 2026, SEP or SIMPLE IRAs will not be aggregated as a group plan. They will aggregate with the client's personal accounts based on Social Security number. Previously established SEP and SIMPLE IRAs may still be aggregated as a group plan.\nEffective April 1, 2026, employer-sponsored retirement plan (e.g., 401(k) plans, 457 plans, employer-sponsored 403(b) plans, profit sharing and money purchase pension plans and defined benefit plans) accounts will aggregate with other plan accounts under the same taxpayer identification number (\"TIN\") and will not be aggregated with other retirement plan accounts under a different TIN or personal accounts. For purposes of this provision, employer-sponsored retirement plans do not include SEP IRAs, SIMPLE IRAs, SAR-SEPs or Keogh plans.\nGifts of shares will not be considered when determining breakpoint discounts.\n| 63\nArbitrage Fund\nWater Island Event-Driven Fund\nWater Island Credit Opportunities Fund\nAdviser Water Island Capital, LLC 104 Fifth Avenue, 9th Floor New York, NY 10011\nDistributor ALPS Distributors, Inc. 1290 Broadway, Suite 1100 Denver, CO 80203\nTransfer Agent SS C GIDS P.O. Box 219842 Kansas City, MO 64121-9842\nAppendix A to this prospectus, titled \"Intermediary-Specific Sales Charge Reductions and Waivers,\" is a separate document that is incorporated by reference into (or legally considered part of) this prospectus and contains information about sales charge reductions and waivers available through certain financial intermediaries that differ from the sales charge reductions and waivers disclosed in this prospectus and the related SAI.\nAdditional information about the Funds is included in the SAI, which is hereby incorporated by reference in its entirety. Additional information about the Funds' investments is available in the Funds' annual and semi-annual reports to shareholders and in the Fund's financial statements in Form N-CSR. In the Funds' annual report, you will find a discussion of the market conditions and strategies that significantly affected the Funds' performance during their last fiscal year. In Form N-CSR, you will find the Funds' annual and semi-annual financial statements.\nTo obtain a free copy of the SAI, the annual and semi-annual reports, the Funds' financial statements or other information about the Funds, such as the Funds' proxy voting record during the most recent 12-month period ended June 30, or to make shareholder inquiries about the Funds, please call (800) 295-4485. You may also write to:\nThe Arbitrage Funds\nc/o SS C GIDS\nP.O. Box 219842\nKansas City, MO 64121-9842\nAs indicated above, the SAI, the annual and semi-annual reports, and other information such as the Funds' financial statements, and proxy voting record, are available upon telephonic or written request. They are also available free of charge on the Funds' website, https://www.arbitragefunds.com/resources, and on the SEC's website, as d\n...\nd related commissions directed to brokers\ndue to research services provided for the Fund were $123,592,667 and $65,378, respectively.\nDuring the fiscal years\nended May 31, 2025, 2024, and 2023, Water Island Credit Opportunities Fund paid aggregate brokerage commissions of $38,966, $40,815,\nand $73,424, respectively. During the last fiscal year, the amount of brokerage transactions and related commissions directed to brokers\ndue to research services provided for the Fund were $43,687,758 and $15,156, respectively.\n63\nRegular Broker Dealers . The Funds\nare required to identify the securities of their regular brokers or dealers (as defined in Rule 10b-1 under the 1940 Act) or their parent\ncompanies held by the Funds as of the close of their most recent fiscal year and state the value of such holdings. As of May 31, 2025,\nArbitrage Fund held $132,140,797 of securities issued by Morgan Stanley Co. LLC and $132,140,797 of securities issued by State\nStreet Bank and Trust Company.\nAs of May 31, 2025, Water Island Event-Driven\nFund held $2,281,148 of securities issued by Morgan Stanley Co. LLC and $2,281,148 of securities issued by State Street Bank and\nTrust Company.\nAs of May 31, 2025, Water Island Credit\nOpportunities Fund held $3,745,420 of securities issued by Morgan Stanley Co. LLC and $3,745,420 of securities issued by State\nStreet Bank and Trust Company.\nDuring the fiscal year ended May 31, 2025,\nno commissions were paid by a Fund to a broker that is an affiliated person of the Fund.\nPORTFOLIO HOLDINGS\nDISCLOSURE POLICY\nFund Service Providers\nThe Funds have entered into\narrangements with certain third-party service providers for services that require these groups to have access to the Funds\nportfolios on a daily basis. For example, the Funds administrator and custodian, State Street Bank and Trust Company, is\nresponsible for maintaining the accounting records of each Fund, which includes maintaining a current portfolio on behalf of the\nFunds. The Funds also undergo an annual audit which requires the Funds independent registered public accounting firm, Cohen\nCompany, Ltd. ( Cohen Co ), to review the Funds portfolios. Other Fund service providers that receive the\nFunds portfolio holdings information include Foreside Management Services, LLC, which provides Chief Financial Officer\nservices to the Funds, the Funds legal counsel, K L Gates LLP, and the Adviser. Each of these parties is contractually\nand/or ethically prohibited from sharing each Fund s portfolio holdings information unless specifically authorized by officers\nof the Trust.\nRating and Ranking Organizations\nEach Fund currently provides its entire portfolio\nto several rating and ranking organizations on a regular basis. The Funds do not typically provide these organizations with portfolio\ninformation until such information is at least 30 days old. The Funds management has determined that these organizations provide\ninvestors with a valuable service and, therefore, are willing to provide them with portfolio information. The Funds have entered into\nongoing arrangements to disclose portfolio holdings to the following parties:\nMorningstar, Inc.\nLipper, Inc.\nBloomberg L.P.\nFactSet Research Systems Inc.\nWebsite Disclosure\nThe Adviser may post investment commentary\non the Funds website from time to time, which may include portfolio holdings information that has not been previously disclosed\non its website or regulatory filings.\n64\nMonthly Disclosure\nThe Funds public website is updated\nat month end with a 30-day lag to reflect all securities held in the Funds. In addition, the Adviser w", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Administrator"], "seriesOf": ["Trust"], "transferAgent": ["TransferAgent"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:THE_ARBITRAGE_FUND", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:THE_ARBITRAGE_FUND", "p": "advisedBy", "o": "org:Water_Island_Capital_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:THE_ARBITRAGE_FUND", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:THE_ARBITRAGE_FUND", "p": "seriesOf", "o": "trust:ARBITRAGE_FUNDS", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:THE_ARBITRAGE_FUND", "p": "transferAgent", "o": "org:SS_C_GIDS_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WATER_ISLAND_CREDIT_OPPORTUNITIES_FUND", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WATER_ISLAND_CREDIT_OPPORTUNITIES_FUND", "p": "advisedBy", "o": "org:Water_Island_Capital_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WATER_ISLAND_CREDIT_OPPORTUNITIES_FUND", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WATER_ISLAND_CREDIT_OPPORTUNITIES_FUND", "p": "seriesOf", "o": "trust:ARBITRAGE_FUNDS", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WATER_ISLAND_CREDIT_OPPORTUNITIES_FUND", "p": "transferAgent", "o": "org:SS_C_GIDS_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Water_Island_Event_Driven_Fund", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Water_Island_Event_Driven_Fund", "p": "advisedBy", "o": "org:Water_Island_Capital_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Water_Island_Event_Driven_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Water_Island_Event_Driven_Fund", "p": "seriesOf", "o": "trust:ARBITRAGE_FUNDS", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Water_Island_Event_Driven_Fund", "p": "transferAgent", "o": "org:SS_C_GIDS_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:ARBITRAGE_FUNDS", "p": "underwrittenBy", "o": "org:ALPS_Distributors_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> THE ARBITRAGE FUND <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> Water Island Capital, LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> ARBITRAGE FUNDS <predicate_marker> transferAgent <object_marker> SS&C GIDS, Inc. <triple_end>\n<triple_start> WATER ISLAND CREDIT OPPORTUNITIES FUND <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> Water Island Capital, LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> ARBITRAGE FUNDS <predicate_marker> transferAgent <object_marker> SS&C GIDS, Inc. <triple_end>\n<triple_start> Water Island Event-Driven Fund <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> Water Island Capital, LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> ARBITRAGE FUNDS <predicate_marker> transferAgent <object_marker> SS&C GIDS, Inc. <triple_end>\n<triple_start> ARBITRAGE FUNDS <predicate_marker> underwrittenBy <object_marker> ALPS Distributors, Inc. <triple_end>", "target_serialized_plain": "THE ARBITRAGE FUND administrator State Street Bank and Trust Company ; advisedBy Water Island Capital, LLC ; custodian State Street Bank and Trust Company ; seriesOf ARBITRAGE FUNDS ; transferAgent SS&C GIDS, Inc. .\nWATER ISLAND CREDIT OPPORTUNITIES FUND administrator State Street Bank and Trust Company ; advisedBy Water Island Capital, LLC ; custodian State Street Bank and Trust Company ; seriesOf ARBITRAGE FUNDS ; transferAgent SS&C GIDS, Inc. .\nWater Island Event-Driven Fund administrator State Street Bank and Trust Company ; advisedBy Water Island Capital, LLC ; custodian State Street Bank and Trust Company ; seriesOf ARBITRAGE FUNDS ; transferAgent SS&C GIDS, Inc. .\nARBITRAGE FUNDS underwrittenBy ALPS Distributors, Inc. .", "stats": {"input_chars": 14620, "n_triples": 16, "text_to_json_ratio": 10.6}}
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{"sample_id": "0001109957:ALL", "cik": "0001109957", "trust_name": "Cullen Funds Trust", "input_text": "bes the fees and expenses that you may pay if you buy and hold shares of the High Dividend Fund.\nShareholder Fees (fees paid directly from your investment):\nRetail Class\nClass C\nClass I\nRedemption Fee (as a percentage of amount redeemed) a\n2.00 %\n2.00 %\n2.00 %\nAnnual Fund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment):\nRetail Class\nClass C\nClass I\nManagement Fee\n1.00 %\n1.00 %\n1.00 %\nDistribution and Service (12b-1) Fees\n0.25 %\n1.00 %\n0.00 %\nOther Expenses b\n0.11 %\n0.11 %\n0.11 %\nAcquired Fund Fees Expenses\n0.00 %\n0.00 %\n0.00 %\nTotal Annual Fund Operating Expenses c\n1.36 %\n2.11 %\n1.11 %\nLess Expense Reduction/Reimbursement d\n- 0.36 %\n- 0.36 %\n- 0.36 %\nNet Annual Fund Operating Expenses After Fee\nWaiver and/or Expense Reimbursement\n1.00 %\n1.75 %\n0.75 %\na You will be charged a 2% redemption fee if you redeem or\nexchange shares of the High Dividend Fund within seven (7) days of purchase. The redemption fee is payable to the High Dividend Fund\nand is intended to benefit the remaining shareholders by reducing the cost of short-term trading. The High Dividend Fund s Transfer\nAgent charges a $15 wire redemption fee to shareholders who elect to redeem by wire transfer.\nb Other expenses, which include custodian, transfer agency,\nshareholder servicing plan fees and other customary fund expenses, are based on actual amounts from the High Dividend Fund s statement\nof operations for its most recently completed fiscal year.\nc The Total Annual Fund Operating Expenses in the table above\nmay not correlate to the ratio of expenses to average net assets as reported in the Financial Highlights section of the\nProspectus, which reflects the operating expenses of the High Dividend Fund and does not include Acquired Fund Fees and Expenses.\nd Cullen Capital Management LLC (the Adviser )\nhas contractually agreed to limit the Net Annual Fund Operating Expenses (excluding Acquired Fund Fees and Expenses, interest, taxes\nand extraordinary expenses) to not more than 1.00% for Retail Class shares, 1.75% for Class C shares, and 0.75% for Class I shares, through\nOctober 31, 2026 (the Termination Date ). The Adviser may, due to a recapture provision of the written fee waiver and expense\nreimbursement agreement (the Agreement ), recapture any expenses or fees it has reduced or reimbursed within a three-year\nperiod from the date of reimbursement, provided that recapture does not cause the High Dividend Fund to exceed expense limitations in\nplace at the time the expenses or fees were waived or existing expense limitations. The Agreement to limit the Net Annual Operating Expenses\nmay not be terminated by either the High Dividend Fund or the Adviser prior to the Termination Date.\nExpense Example\nThis example is intended to help you compare the cost of investing in the High Dividend Fund with the cost of investing in other mutual funds. This example assumes that you invest $10,000 in the High Dividend Fund for the time periods indicated and then redeem all of your shares at the end of those periods. The example also assumes your investment has a 5% return each year and that the High Dividend Fund s operating expenses remain the same. Although your actual costs may be higher or lower, based on these assumptions your costs would be:\n1 Year\n3 Years *\n5 Years *\n10 Years *\nRetail Class\n$ 102\n$ 395\n$ 710\n$ 1604\nClass C\n$ 178\n$ 626\n$ 1101\n$ 2413\nClass I\n$ 77\n$ 317\n$ 577\n$ 1319\n* The Expense Example amounts assume that the expense limitation\nand reimbursement agreement remains in effect only through October 31, 2026. Thus, the 3 y\n...\nficer and controlling member, has been co-portfolio manager of the Emerging Markets High Dividend Fund since the Fund s inception on August 31, 2012. He is also a founder of Schafer Cullen Capital Management, Inc., a registered investment adviser, and has been its Chairman and Chief Executive Officer since December 1982.\nRahul D. Sharma has served as a co-portfolio manager of the Emerging Markets High Dividend Fund since it commenced operations on August 31, 2012. Mr. Sharma currently serves as Portfolio Manager and Executive Director at the Adviser and has worked there since May 2000.\nCullen Enhanced Equity Income Fund\nJames P. Cullen, the Adviser s Chairman, Chief Executive Officer and controlling member, has been a portfolio manager of the Enhanced Equity Income Fund since the Fund s inception on December 15, 2015. He is also a founder of Schafer Cullen Capital Management, Inc., a registered investment adviser, and has been its Chairman and Chief Executive Officer since December 1982.\nJennifer Chang has served as a co-portfolio manager of the Enhanced Equity Income Fund since its inception on December 15, 2015. Ms. Chang currently serves as Portfolio Manager and Executive Director at the Adviser and has worked there since 2006.\nTim Cordle has served as a co-portfolio manager of the Enhanced Equity Income Fund since its inception on December 15, 2015. Mr. Cordle currently serves as Portfolio Manager and Managing Director at the Adviser and has worked there since 2012.\nMichael Gallant has served as a co-portfolio manager of the Enhanced Equity Income Fund since July 2020. Mr. Gallant currently serves as Portfolio Manager and Director of Research at the Adviser and has worked there since 2015.\nCustodian, Transfer Agent, Dividend Disbursing Agent, and Fund Administrator\nBrown Brothers Harriman Co. serves as custodian for the Funds cash and securities. Ultimus Fund Solutions, LLC provides transfer agency, dividend disbursing, and fund administrative and accounting services to the Funds.\nDistributor\nParalel Distributors LLC is the principal underwriter for the Funds and, as such, is the agent for the distribution of shares of the Funds.\nDistribution and Service Plans (12b-1)\nThe Funds have adopted separate Distribution Plans ( Distribution Plans ) pursuant to Rule 12b-1 under the Investment Company Act of 1940, as amended ( 1940 Act ) pursuant to which the Funds pay distribution and service fees. Expenses covered by the Distribution Plans include those that promote the sale of each Fund s shares such as compensation to underwriters, dealers and sales personnel;\n44\nprinting and disseminating prospectuses and reports for prospective shareholders; preparing and distributing advertising material and sales literature; shareholder account servicing; and capital or other expenses of associated equipment, rent, salaries, bonuses, interest and other overhead. Because the fees are paid out of the assets attributable to the Retail Class and Class C shares of the Funds on an on-going basis, the fees paid under the Distribution Plans will increase the cost of your investment in these share classes and could cost you more than paying other types of sales charges. Class I and Class R6 shares are not covered by the Distribution Plan.\nUnder the Distribution Plans, each Fund pays the following percentages of average daily net assets for distribution and service fees for the sale and distribution of each respective share class and for services provided to shareholders:\nFund\nName\nRetail Class\nClass C\nClass I\nClass R6\nCullen High Dividend Equity Fund\n0.25\n%\n1.00\n%*\n0.00\n%\nCullen International High Dividend Fund\n0.25\n%\n1.00\n%*\n0.00\n%\nCullen Small Cap Value Fund\n0.25\n%\n1.00\n%*\n0.00\n%\nCullen Value Fund\n0.25\n%\n1.00\n%*\n0.00\n%\nCullen Emerging Markets High Dividend Fund\n0.25\n%\n1.00\n%*\n0.00\n%\n...\n- $500,000\n$100,001\n- $500,000\nNone\n$100,001\n- $500,000\nNone\nNone\nAnuca\nLaudat\nNone\n$1\n- $10,000\nNone\nNone\nNone\nNone\n(1)\nBeneficial\nownership is determined in accordance with Rule 16a-1(a)(2) under the Securities Exchange Act of 1934, as amended.\nB- 36\n*\nThe Cullen 2011 Descendants Trust, of which Brooks Cullen is a Trustee, owns over $1,000,000 in both the Enhanced Equity\nIncome Fund and the Value Fund and between $500,001 - $999,999 in both the High Dividend Fund and Small Cap Value Fund.\nCode\nof Ethics\nThe\nTrust and the Adviser have adopted a joint written Code of Ethics. This Code of Ethics governs the personal securities transactions\nof Trustees, managers, members, officers and employees who may have access to current trading information of the Funds. Subject\nto certain conditions, the Code permits such persons to invest in securities for their personal accounts, including securities\nthat may be purchased or held by the Funds. The Code includes reporting and other obligations to monitor personal transactions\nand ensure that such transactions are consistent with the best interests of the Funds.\nFund\nAccounting and Administration\nUltimus\nFund Solutions, LLC ( Ultimus ) provides certain fund administrative, bookkeeping and accounting services to the Trust\nand each of the Funds. These services include, among others, board meeting coordination, budgeting, coordinating insurance, regulatory\nfiling coordination, portfolio accounting services, expense accrual and payment services, fund valuation and financial reporting\nservices, tax accounting services and compliance monitoring services. For its services, the Funds pay Ultimus a fee based on aggregate\nTrust assets. The Funds paid the listed amounts to (former fund administrator from May 2, 2022 through September 5, 2025) Paralel\nTechnologies LLC for administrative and accounting services for the following fiscal years:\nFiscal\nYear\nEnded\nJune 30, 2025\nFiscal\nYear\nEnded\nJune 30, 2024\nFiscal\nYear\nEnded\nJune 30, 2023\nHigh\nDividend Fund\n$236,340\n$280,760\n$342,707\nInternational\nHigh Dividend Fund\n$128,355\n$102,342\n$108,759\nSmall\nCap Value Fund\n$22,466\n$21,753\n$21,242\nValue\nFund\n$24,763\n$18,744\n$18,845\nEmerging\nMarkets High Dividend Fund\n$332,403\n$207,927\n$153,647\nEnhanced\nEquity Income Fund\n$66,518\n$76,857\n$77,221\nFinancial\nIntermediaries\nFrom\ntime to time, a Fund may pay, directly or indirectly, amounts to financial intermediaries that provide transfer-agent type and/or\nother administrative services relating to the Fund to their customers or other persons who beneficially own interests in the Fund,\nsuch as participants in 401(k) plans. These services may include, among other things, sub-accounting services, transfer agent-type\nservices, answering inquiries relating to the Fund, transmitting, on behalf of the Fund, proxy statements, annual and semi-annual\nreports, updated prospectuses, other communications regarding the Fund, and related services as the Fund or the intermediaries\ncustomers or such other persons may reasonably request. In such cases, to the extent paid by a Fund, the Fund will not pay more\nfor these services through intermediary relationships than it would pay if the intermediaries customers were direct shareholders\nin the Fund.\nB- 37\nDistributor\nParalel\nDistributors LLC serves as the principal underwriter and distributor for the shares of the Funds pursuant to a Distribution Agreement\nwith the Trust (the Distribution Agreement ). The Distributor is registered as a broker-dealer under the Securities\nExchange Act of 1934 and each state s securities laws and is a member of the", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "transferAgent": ["Administrator"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:Cullen_Emerging_Markets_High_Dividend_Fund", "p": "administrator", "o": "org:Paralel_Technologies_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Emerging_Markets_High_Dividend_Fund", "p": "advisedBy", "o": "org:Cullen_Capital_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Emerging_Markets_High_Dividend_Fund", "p": "custodian", "o": "org:Brown_Brothers_Harriman", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Emerging_Markets_High_Dividend_Fund", "p": "seriesOf", "o": "trust:Cullen_Funds_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Emerging_Markets_High_Dividend_Fund", "p": "transferAgent", "o": "org:Paralel_Technologies_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Enhanced_Equity_Income_Fund", "p": "administrator", "o": "org:Paralel_Technologies_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Enhanced_Equity_Income_Fund", "p": "advisedBy", "o": "org:Cullen_Capital_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Enhanced_Equity_Income_Fund", "p": "custodian", "o": "org:Brown_Brothers_Harriman", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Enhanced_Equity_Income_Fund", "p": "seriesOf", "o": "trust:Cullen_Funds_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Enhanced_Equity_Income_Fund", "p": "transferAgent", "o": "org:Paralel_Technologies_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_High_Dividend_Equity_Fund", "p": "administrator", "o": "org:Paralel_Technologies_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_High_Dividend_Equity_Fund", "p": "advisedBy", "o": "org:Cullen_Capital_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_High_Dividend_Equity_Fund", "p": "custodian", "o": "org:Brown_Brothers_Harriman", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_High_Dividend_Equity_Fund", "p": "seriesOf", "o": "trust:Cullen_Funds_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_High_Dividend_Equity_Fund", "p": "transferAgent", "o": "org:Paralel_Technologies_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_International_High_Dividend_Fund", "p": "administrator", "o": "org:Paralel_Technologies_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_International_High_Dividend_Fund", "p": "advisedBy", "o": "org:Cullen_Capital_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_International_High_Dividend_Fund", "p": "custodian", "o": "org:Brown_Brothers_Harriman", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_International_High_Dividend_Fund", "p": "seriesOf", "o": "trust:Cullen_Funds_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_International_High_Dividend_Fund", "p": "transferAgent", "o": "org:Paralel_Technologies_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Small_Cap_Value_Fund", "p": "administrator", "o": "org:Paralel_Technologies_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Small_Cap_Value_Fund", "p": "advisedBy", "o": "org:Cullen_Capital_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Small_Cap_Value_Fund", "p": "custodian", "o": "org:Brown_Brothers_Harriman", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Small_Cap_Value_Fund", "p": "seriesOf", "o": "trust:Cullen_Funds_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Small_Cap_Value_Fund", "p": "transferAgent", "o": "org:Paralel_Technologies_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Value_Fund", "p": "administrator", "o": "org:Paralel_Technologies_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Value_Fund", "p": "advisedBy", "o": "org:Cullen_Capital_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Value_Fund", "p": "custodian", "o": "org:Brown_Brothers_Harriman", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Value_Fund", "p": "seriesOf", "o": "trust:Cullen_Funds_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Cullen_Value_Fund", "p": "transferAgent", "o": "org:Paralel_Technologies_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:Cullen_Funds_Trust", "p": "underwrittenBy", "o": "org:Paralel_Distributors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> Cullen Emerging Markets High Dividend Fund <predicate_marker> administrator <object_marker> Paralel Technologies LLC <predicate_marker> advisedBy <object_marker> Cullen Capital Management, LLC <predicate_marker> custodian <object_marker> Brown Brothers Harriman <predicate_marker> seriesOf <object_marker> Cullen Funds Trust <predicate_marker> transferAgent <object_marker> Paralel Technologies LLC <triple_end>\n<triple_start> Cullen Enhanced Equity Income Fund <predicate_marker> administrator <object_marker> Paralel Technologies LLC <predicate_marker> advisedBy <object_marker> Cullen Capital Management, LLC <predicate_marker> custodian <object_marker> Brown Brothers Harriman <predicate_marker> seriesOf <object_marker> Cullen Funds Trust <predicate_marker> transferAgent <object_marker> Paralel Technologies LLC <triple_end>\n<triple_start> Cullen High Dividend Equity Fund <predicate_marker> administrator <object_marker> Paralel Technologies LLC <predicate_marker> advisedBy <object_marker> Cullen Capital Management, LLC <predicate_marker> custodian <object_marker> Brown Brothers Harriman <predicate_marker> seriesOf <object_marker> Cullen Funds Trust <predicate_marker> transferAgent <object_marker> Paralel Technologies LLC <triple_end>\n<triple_start> Cullen International High Dividend Fund <predicate_marker> administrator <object_marker> Paralel Technologies LLC <predicate_marker> advisedBy <object_marker> Cullen Capital Management, LLC <predicate_marker> custodian <object_marker> Brown Brothers Harriman <predicate_marker> seriesOf <object_marker> Cullen Funds Trust <predicate_marker> transferAgent <object_marker> Paralel Technologies LLC <triple_end>\n<triple_start> Cullen Small Cap Value Fund <predicate_marker> administrator <object_marker> Paralel Technologies LLC <predicate_marker> advisedBy <object_marker> Cullen Capital Management, LLC <predicate_marker> custodian <object_marker> Brown Brothers Harriman <predicate_marker> seriesOf <object_marker> Cullen Funds Trust <predicate_marker> transferAgent <object_marker> Paralel Technologies LLC <triple_end>\n<triple_start> Cullen Value Fund <predicate_marker> administrator <object_marker> Paralel Technologies LLC <predicate_marker> advisedBy <object_marker> Cullen Capital Management, LLC <predicate_marker> custodian <object_marker> Brown Brothers Harriman <predicate_marker> seriesOf <object_marker> Cullen Funds Trust <predicate_marker> transferAgent <object_marker> Paralel Technologies LLC <triple_end>\n<triple_start> Cullen Funds Trust <predicate_marker> underwrittenBy <object_marker> Paralel Distributors LLC <triple_end>", "target_serialized_plain": "Cullen Emerging Markets High Dividend Fund administrator Paralel Technologies LLC ; advisedBy Cullen Capital Management, LLC ; custodian Brown Brothers Harriman ; seriesOf Cullen Funds Trust ; transferAgent Paralel Technologies LLC .\nCullen Enhanced Equity Income Fund administrator Paralel Technologies LLC ; advisedBy Cullen Capital Management, LLC ; custodian Brown Brothers Harriman ; seriesOf Cullen Funds Trust ; transferAgent Paralel Technologies LLC .\nCullen High Dividend Equity Fund administrator Paralel Technologies LLC ; advisedBy Cullen Capital Management, LLC ; custodian Brown Brothers Harriman ; seriesOf Cullen Funds Trust ; transferAgent Paralel Technologies LLC .\nCullen International High Dividend Fund administrator Paralel Technologies LLC ; advisedBy Cullen Capital Management, LLC ; custodian Brown Brothers Harriman ; seriesOf Cullen Funds Trust ; transferAgent Paralel Technologies LLC .\nCullen Small Cap Value Fund administrator Paralel Technologies LLC ; advisedBy Cullen Capital Management, LLC ; custodian Brown Brothers Harriman ; seriesOf Cullen Funds Trust ; transferAgent Paralel Technologies LLC .\nCullen Value Fund administrator Paralel Technologies LLC ; advisedBy Cullen Capital Management, LLC ; custodian Brown Brothers Harriman ; seriesOf Cullen Funds Trust ; transferAgent Paralel Technologies LLC .\nCullen Funds Trust underwrittenBy Paralel Distributors LLC .", "stats": {"input_chars": 11038, "n_triples": 31, "text_to_json_ratio": 4.2}}
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{"sample_id": "0001190935:ALL", "cik": "0001190935", "trust_name": "PIMCO Corporate & Income Opportunity Fund", "input_text": "al well-being and performance of individual issuers, borrowers and sectors and the health of the markets generally in potentially significant and unforeseen ways. In addition, the impact of infectious illnesses, such as COVID-19, in emerging market countries may be greater due to generally less established healthcare systems. This crisis or other public health crises may exacerbate other pre-existing political, social and economic risks in certain countries or globally. The foregoing could lead to a significant economic downturn or recession, increased market volatility, a greater number of market closures, higher default rates and adverse effects on the values and liquidity of securities or other assets. Such impacts, which may vary across asset classes, may adversely affect the performance of the Fund. In certain cases, an exchange or market may close or issue trading halts on specific securities or even the entire market, which may result in the Fund being, among other things, unable to buy or sell certain securities or financial instruments or to accurately price their investments. These and other developments may adversely affect the liquidity of the Fund's holdings (see \"Liquidity Risk\" in the Prospectus for further details).\nNo Other Changes . Except as described in this supplement, the terms of the Offering and all other information the Fund described in the Prospectus remain unchanged.\nInvestors Should Retain This Supplement for Future Reference\nPTY_SUPP1_041320\n\n\f\n\n497\n1\nd809973d497.htm\n497\n497\nTable of Contents\nPROSPECTUS SUPPLEMENT\n(To Prospectus dated November 27, 2019)\nPIMCO Corporate Income Opportunity Fund\nUp to $500,000,000 Common Shares\nPIMCO Corporate Income Opportunity Fund (the \"Fund\") has entered into a sales agreement (the\n\"Sales Agreement\") with JonesTrading Institutional Services LLC (\"JonesTrading\") relating to its common shares of beneficial interest, par value $0.00001 per share (\"Common Shares\") offered by this Prospectus Supplement and the accompanying\nProspectus. In accordance with the terms of the Sales Agreement, the Fund may offer and sell its Common Shares having an aggregate offering value of up to $500,000,000, from time to time through JonesTrading as its agent for the offer and sales of\nthe Common Shares. As of October 31, 2019, the Fund had sold in this offering an aggregate of 3,475,645 Common Shares, representing net proceeds to the Fund of $62,958,674 after payment of commissions. Accordingly, Common Shares having an aggregate\noffering value of up to $436,404,050 remain to be sold under this Prospectus Supplement and accompanying Prospectus. Under the Investment Company Act of 1940, as amended (the \"1940 Act\"), the Fund may not sell any Common Shares at a price below the\ncurrent net asset value of such common shares, exclusive of any distributing commission or discount. The Fund's investment objective is to seek maximum total return through a combination of current income and capital appreciation.\nThe Fund's outstanding Common Shares are listed on the New York Stock Exchange (\"NYSE\") under the\nsymbol \"PTY,\" as will be the Common Shares offered in this Prospectus Supplement and the accompanying Prospectus, subject to notice of issuance. The last reported sale price for the Common Shares on October 31, 2019 was $18.60 per share. The net\nasset value of the Common Shares at the close of business on October 31, 2019 was $14.16 per share. Sales of the Common Shares, if any, under this Prospectus Supplement and the accompanying Prospectus may be made in negotiated transactions or transactions that a\n...\nInc. or\nFitch, Inc.) or unrated but determined by PIMCO (as defined below) to be of comparable quality, the Fund's exposure to foreign and emerging markets securities and currencies and to mortgage-related and other asset-backed securities, and the Fund's\nuse of leverage. Debt securities of below investment grade quality are regarded as having predominantly speculative characteristics with respect to capacity to pay interest and to repay principal, and are commonly referred to as \"high yield\"\nsecurities or \"junk bonds.\" The Fund's exposure to foreign securities and currencies, and particularly to emerging markets securities and currencies, involves special risks, including foreign currency risk and the risk that the securities may\ndecline in response to unfavorable political and legal developments, unreliable or untimely information or economic and financial instability. Mortgage-related and other asset-backed securities are subject to extension and prepayment risk and often\nhave complicated structures that make them difficult to value. Because of the risks associated with investing in high yield securities, foreign and emerging market securities (and related exposure to foreign currencies) and mortgage-related and\nother asset-backed securities, and using leverage, an investment in the Fund should be considered speculative. Before investing in the Common Shares, you should read the discussion of the principal risks of investing in the Fund in \"Principal Risks\nof the Fund\" in the accompanying Prospectus. Certain of these risks are summarized in \"Prospectus Summary Principal Risks of the Fund\" in the accompanying Prospectus. The Fund cannot assure you that it will achieve its investment objective,\nand you could lose all of your investment in the Fund. Investment Manager\nPacific Investment Management Company LLC (\"PIMCO\" or the \"Investment Manager\") serves as the investment manager of\nthe Fund. Subject to the supervision of the Board of Trustees of the Fund, PIMCO is responsible for managing the investment activities of the Fund and the Fund's business affairs and other administrative matters. The Investment Manager receives an\nannual fee from the Fund, payable monthly, in an amount equal to 0.65% of the Fund's average daily net assets, including daily net assets attributable to any preferred shares that may be outstanding. Average daily net assets means an average of all\nthe determinations of the Fund's net assets (including net assets attributable to preferred shares) during a given month at the close of business on each business day during such month.\nPIMCO is located at 650 Newport Center Drive, Newport Beach, CA, 92660. Organized in 1971, PIMCO provides investment\nmanagement and advisory services to private accounts of institutional and individual clients and to registered investment companies. PIMCO is a majority-owned indirect subsidiary of Allianz SE, a publicly traded European insurance and financial\nservices company. As of September 30, 2019, PIMCO had approximately $1.88 trillion in assets under management. The Offering\nThe Fund and the Investment Manager have entered into the Sales Agreement with JonesTrading relating\nto the Common Shares offered by this Prospectus Supplement and the accompanying Prospectus. In accordance with the terms of the Sales Agreement, the Fund may offer and sell its Common Shares having an aggregate offering value of up to $500,000,000,\nthrough JonesTrading as its agent for the offer and sale of the Common Shares. As of October 31, 2019,\nthe Fund had sold in this offering an aggregate of 3,475,645\n...\nour investment, rather than net income or capital gains generated from your\ninvestment during a particular period. A return of capital distribution is not taxable, but it reduces a shareholder's tax basis in\nthe Common Shares, thus reducing any loss or increasing any gain on a subsequent taxable disposition by the shareholder of the Common\nShares. The Fund will prepare and make available to shareholders detailed tax information with respect to the Fund's distributions\nannually. See \"Tax Matters.\" The 1940 Act currently limits the number of times the Fund may distribute\nlong-term capital gains in any tax year, which may increase the variability of the Fund's distributions and result in certain distributions being comprised more or less heavily than others of long-term capital gains currently eligible for favorable\nincome tax rates. The Fund, as well as several other PIMCO-managed closed end funds, has received exemptive relief from the SEC permitting it to make a greater number of capital gains distributions to holders of the ARPS than would otherwise be\npermitted by Section 19(b) of the 1940 Act and Rule 19b-1 under the 1940 Act. Unless a Common\nShareholder elects to receive distributions in cash, all distributions of Common Shareholders whose shares are registered with the plan agent will be automatically reinvested in additional Common Shares of the Fund under the Fund's Dividend\nReinvestment Plan. For more information on the Fund's dividends and distributions, see \"Distributions\" and \"Dividend Reinvestment Plan.\" Shareholder Servicing Agent, Custodian And Transfer Agent The Investment Manager, at its own expense, has retained UBS Warburg LLC and Merrill Lynch Co., Merrill Lynch, Pierce, Fenner Smith Incorporated to serve as shareholder servicing agents for\nthe Fund. State Street Bank and Trust Company serves as custodian of the Fund's assets and also provides certain fund accounting and sub-administrative services to the Investment Manager on behalf of the Fund. American Stock Transfer Trust\nCompany, LLC serves as the Fund's transfer agent and dividend disbursement agent. See \"Shareholder Servicing Agent, Custodian and Transfer Agent.\" Listing The Fund's outstanding Common Shares are\nlisted on the NYSE under the trading or \"ticker\" symbol \"PTY,\" as will be the Common Shares offered in this prospectus, subject to notice of issuance. Market Price of Shares Shares of closed-end\ninvestment companies frequently trade at prices lower than NAV. Shares of closed-end investment companies have during some periods traded at prices higher than NAV and during other periods traded at prices lower than NAV. The Fund cannot assure you\nthat Common Shares will trade at a price equal to or higher than NAV in the future. NAV will be reduced immediately following an offering by any sales load and/ or commissions and the amount of offering expenses paid or reimbursed by the Fund. See\n\"Use of Proceeds.\" In addition to NAV, market price may be affected by factors relating to the Fund such as dividend levels and stability (which will in turn be affected by Fund expenses, including the costs of any leverage used by the Fund, levels\nof interest payments by the Fund's portfolio holdings, levels of appreciation/depreciation of the Fund's portfolio holdings, regulation affecting the timing and character of Fund distributions and other factors), portfolio credit quality, liquidity,\ncall protection, market supply and demand and similar factors relating to the Fund's portfolio holdings. See \"Use of Leverage,\" \"Principal Risks of the Fund,\" \"Description of Shares\"", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["Administrator"], "custodian": ["Administrator"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:PIMCO_Corporate_Income_Opportunity_Fund", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:PIMCO_Corporate_Income_Opportunity_Fund", "p": "advisedBy", "o": "org:Pacific_Investment_Management_Company_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:PIMCO_Corporate_Income_Opportunity_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:PIMCO_Corporate_Income_Opportunity_Fund", "p": "underwrittenBy", "o": "org:JonesTrading_Institutional_Services_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> PIMCO Corporate & Income Opportunity Fund <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> Pacific Investment Management Company LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <triple_end>\n<triple_start> PIMCO Corporate & Income Opportunity Fund <predicate_marker> underwrittenBy <object_marker> JonesTrading Institutional Services LLC <triple_end>", "target_serialized_plain": "PIMCO Corporate & Income Opportunity Fund administrator State Street Bank and Trust Company ; advisedBy Pacific Investment Management Company LLC ; custodian State Street Bank and Trust Company .\nPIMCO Corporate & Income Opportunity Fund underwrittenBy JonesTrading Institutional Services LLC .", "stats": {"input_chars": 10806, "n_triples": 4, "text_to_json_ratio": 22.4}}
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{"sample_id": "0001227523:ALL", "cik": "0001227523", "trust_name": "Optimum Fund Trust", "input_text": "485APOS\n1\noftsd042026485apos.htm\nUNITED STATES\nSECURITIES AND EXCHANGE COMMISSION\nWASHINGTON, D.C. 20549\nFORM N-1A\nFile No. 333-104654\nFile No. 811-21335\nREGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933\n/X/\nPre-Effective Amendment No.\n/ /\nPost-Effective Amendment No.\n37\n/X/\nand/or\nREGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940\n/X/\nAmendment No.\n40\n/X/\n(Check appropriate box or boxes)\nOPTIMUM FUND TRUST\n(Exact Name of Registrant as Specified in Charter)\n100 Independence, 610 Market Street, Philadelphia, PA 19106-2354\n(Address of Principal Executive Offices)\nRegistrant s Telephone Number, including Area Code:\n(800) 523-1918\nDavid F. Connor, Esq., 100 Independence, 610 Market Street, Philadelphia, PA 19106-2354\n(Name and Address of Agent for Service)\nPlease send copies of all communications to:\nMark R. Greer, Esq.\nStradley, Ronon, Stevens Young, LLP\n191 North Wacker Drive, Suite 1601, Chicago, IL 60606\n(312) 964-3505\nApproximate Date of Proposed Public Offering:\nAs soon as possible\nafter effectiveness.\nIt is proposed that this filing will become effective (check appropriate box):\n/ /\nimmediately upon filing pursuant to paragraph (b)\n/ /\non (date) pursuant to paragraph (b)\n/ /\n60 days after filing pursuant to paragraph (a)(1)\n/ /\non (date) pursuant to paragraph (a)(1)\n/X/\n75 days after filing pursuant to paragraph (a)(2)\n/ /\non (date) pursuant to paragraph (a)(2) of Rule 485.\nIf appropriate, check the following box:\n/ /\nthis post-effective amendment designates a new effective date for a previously filed post-effective amendment.\nThe Registrant is filing this Amendment for the purpose of adding a new series of shares, designated as Optimum Short Duration Fund. The prospectus and statement of\nadditional information relating to the other series of the Registrant are not amended or superseded hereby.\n--- C O N T E N T S ---\nThis Post-Effective Amendment No. 37 to Registration File No. 333-104654 includes the following:\n1.\nFacing Page\n2.\nContents Page\n3.\nPart A - Prospectus\n4.\nPart B - Statement of Additional Information\n5.\nPart C - Other Information\n6.\nSignatures\n7.\nExhibits\nSubject to Completion, April 20, 2026 Preliminary Prospectus\nThe information in this prospectus is not complete and may be changed. We may not sell these securities until\nthe registration statement filed with the Securities and Exchange Commission is effective. This prospectus is\nnot an offer to sell these securities and is not soliciting an offer to buy these securities in any jurisdiction\nwhere the offer or sale is not permitted.\nProspectus\nOptimum Fund Trust\nOptimum Short Duration Fund\nNASDAQ TICKER SYMBOLS\nClass A\n[ ]\nInstitutional Class\n[ ]\n[ ], 2026\nThe US Securities and Exchange Commission has not approved or disapproved these securities or passed upon the adequacy of this Prospectus.\nAny representation to the contrary is a criminal offense.\nTable of contents\nFund summary\n1\nOptimum Short Duration Fund\n1\nMore information on the Fund s risks and portfolio holdings\n7\nMore information on the Fund s risks\n7\nDisclosure of portfolio holdings information\n11\nWho manages the Fund\n12\nInvestment manager\n12\nSub-advisors and portfolio managers\n12\nManager of managers structure\n13\nWho s who\n13\nAbout your account\n15\nInvesting in the Fund\n15\nChoosing a share class\n15\nDealer compensation\n16\nPayments to intermediaries\n17\nHow to reduce your sales charge\n18\nHow to buy shares\n18\nCalculating share price\n19\nFair valuation\n19\nDocument delivery\n20\nI\n...\nrms\nPortfolio Manager and Co-Head of the Relative Return Team\nJuly 2026\nClifton V. Rowe, CFA\nPortfolio Manager\nJuly 2026\nDaniel Conklin, CFA\nPortfolio Manager\nJuly 2026\nPurchase and redemption of Fund shares\nYou may purchase or redeem shares of the Fund on any day that the New York Stock Exchange (NYSE) is open for business (Business Day). Shares may be purchased or redeemed: through your financial intermediary or by exchanging shares you own in one\nOptimum Fund for shares of the same class of another Optimum Fund.\nFor Class A shares, the minimum initial investment is generally $1,000 and subsequent investments can be made for as little as $100. The minimum initial investment for IRAs, Uniform Gifts/Transfers to Minors Act accounts, direct deposit purchase\nplans, and automatic investment plans is $250 and through Coverdell Education Savings Accounts is $500, and subsequent investments in these accounts can be made for as little as $25. Under certain circumstances, the initial and subsequent\ninvestment minimums may be waived. In particular, certain accounts held in omnibus, advisory, or asset allocation programs or programs offered by certain intermediaries may be opened below the minimum stated account balance. Your participating\nsecurities dealer or other financial intermediary may have different account and investment requirements.\nThere is no minimum initial purchase requirement for Institutional Class shares, but Institutional Class shares are available for purchase only by the following:\nretirement plans or certain other programs that are maintained on platforms sponsored by financial intermediary firms, provided the financial intermediary firms or their trust companies (or entities performing similar trading/clearing\nfunctions) have entered into an agreement with Delaware Distributors, L.P. (Distributor) (or its affiliate) related to such plans or programs;\ntax-exempt employee benefit plans of the Manager, its affiliates, and securities dealers that have a selling agreement with the Distributor;\na bank, trust company, or similar financial institution investing for its own account or for the account of its trust customers for whom the financial institution is exercising investment discretion in purchasing Institutional Class shares,\nexcept where the investment is part of a program that requires payment to the financial institution of a Rule 12b-1 Plan fee;\nregistered investment advisors (RIAs) investing on behalf of clients that consist solely of institutions and high net worth individuals whose assets are entrusted to an RIA for investment purposes for accounts requiring Institutional Class\nshares (use of the Institutional Class shares is restricted to RIAs who are not affiliated or associated with a broker or dealer and who derive compensation for their services exclusively from their advisory clients);\ndiscretionary advisory accounts of a participating securities dealer or other financial intermediary or its affiliates;\n5\nprograms sponsored by, controlled by, and/or clearing transactions submitted through a financial intermediary where: (1) such programs allow or require the purchase of Institutional Class shares; (2) a financial intermediary has entered into\nan agreement with the Distributor and/or the transfer agent allowing certain purchases of Institutional Class shares; and (3) a financial intermediary (i) charges clients an ongoing fee for advisory, investment consulting or similar services, or\n(ii) offers the Institutional Class shares through a no-commission network or platform;\nthrough a brokerage program of a financi\n...\n, the Distributor or its affiliates may pay additional compensation to Financial Intermediaries for various purposes, including, but not limited to, promoting the sale of Fund shares, maintaining\nshare balances and/or for subaccounting, administrative, or shareholder processing services, marketing, educational support, data, and ticket charges. Such payments are in addition to any distribution fees, service fees, subaccounting fees, and/or\ntransfer agency fees that may be payable by the Fund. The additional payments may be based on factors, including level of sales (based on gross or net sales or some specified minimum sales or some other similar criteria related to sales of the Fund\nand/or some or all other Nomura Funds), amount of assets invested by the Financial Intermediary's customers (which could include current or aged assets of the Fund and/or some or all other Nomura Funds), the Fund's advisory fees, some other agreed\nupon amount, or other measures as determined from time to time by the Distributor. The level of payments made to a qualifying Financial Intermediary in any given year may vary. To the extent permitted by SEC and FINRA rules and other applicable\nlaws and regulations, the Distributor may pay, or allow its affiliates to pay, other promotional incentives or payments to Financial Intermediaries.\nSub-transfer agent/recordkeeping payments may be made to third parties (including affiliates of the Manager) that provide sub-transfer agent, recordkeeping and/or shareholder services with respect to\ncertain shareholder accounts (including omnibus accounts), or to the shareholder account directly to offset the costs of these services, in lieu of the transfer agent providing such services. LPL, who has entered into an omnibus shareholder\nservices agreement with Delaware Investments Fund Services Company (DIFSC), receives compensation from DIFSC at an annual rate of 0.15% on the daily average assets of the Fund shareholder accounts it provides services for pursuant to the omnibus\nagreement.\nIf a mutual fund sponsor or distributor makes greater payments for distribution assistance to your Financial Intermediary with respect to distribution of shares of that particular mutual fund than\nsponsors or distributors of other mutual funds make to your Financial Intermediary with respect to the distribution of the shares of their mutual funds, your Financial Intermediary and its salespersons may have a financial incentive to favor sales\nof shares of the mutual fund making the higher payments over shares of other mutual funds or over other investment options. In addition, depending on the arrangements in place at any particular time, a Financial Intermediary may also have a\nfinancial incentive for recommending a particular share class over other share classes. You should consult with your Financial Intermediary and review carefully any disclosure provided by such Financial Intermediary as to compensation it receives\nin connection with investment products it recommends or sells to you. A significant purpose of these payments is to increase sales of the Fund's shares. The Manager or its affiliates may benefit from the Distributor's or its affiliates' payment of\ncompensation to Financial Intermediaries through increased fees resulting from additional assets acquired through the sale of Fund shares through Financial Intermediaries. In certain instances, the payments could be significant and may cause a\nconflict of interest for your Financial Intermediary. Any such payments will not change the NAV or the price of the Fund's shares.\n17\nHow to r\n...\nmake investment decisions on behalf of the Fund; (ii) place all orders for the purchase and sale of investments for the Fund with brokers or dealers selected\nby the Manager and/or the Sub-advisors; and (iii) perform certain limited related administrative functions in connection therewith.\nPlease see the Prospectus for more information about the Sub-advisors.\nPursuant to the terms of the Sub-Advisory Agreements, the investment sub-advisory fees are paid by the Manager to the Sub-advisors that are not affiliated persons of the Manager as a percentage of the\naverage daily net assets of a given Fund managed by such Sub-advisor. As of the date of this SAI the Manager has not paid the Sub-advisors any sub-advisory fees because the Fund is new.\n62\nDistributor\nThe Distributor, Delaware Distributors, L.P., located at 100 Independence, 610 Market Street, Philadelphia, PA 19106-2354, serves as the national distributor of the Fund's shares under a Distribution Agreement dated\nDecember 1, 2025. The Distributor is an affiliate of the Manager and bears all of the costs of promotion and distribution, except for payments by Class A under its Rule 12b-1 Plan. The Distributor is an indirect subsidiary of Nomura. The\nDistributor has agreed to use its best efforts to sell shares of the Fund. See the Prospectus for information on how to invest. Shares of the Fund are offered on a continuous basis by the Distributor and may be purchased through authorized\ninvestment dealers or directly by contacting the Distributor or the Trust. The Distributor also serves as the national distributor for the Nomura Funds. The Board annually reviews fees paid to the Distributor.\nAs of the date of this SAI, the Distributor had not received commissions from the Fund because the Fund is new.\nFund Accountants\nThe Bank of New York Mellon ( BNY ), 240 Greenwich Street, New York, NY 10286-0001, provides fund accounting and financial administration services to the Fund. Those services include performing functions related to\ncalculating the Fund's NAVs and providing financial reporting information, regulatory compliance testing, and other related accounting services. For these services, the Fund pays BNY an asset-based fee, subject to certain fee minimums plus certain\nout-of-pocket expenses and transactional charges. Delaware Investments Fund Services Company ( DIFSC ) provides fund accounting and financial administration oversight services to the Fund. Those services include overseeing the Fund s pricing\nprocess, the calculation and payment of fund expenses, and financial reporting in shareholder reports, registration statements, and other regulatory filings. DIFSC also manages the process for the payment of dividends and distributions and the\ndissemination of Fund NAVs and performance data. For these services, the Fund pays DIFSC an asset-based fee, subject to certain fee minimums, plus certain out-of-pocket expenses, and transactional charges. The fees payable to BNY and DIFSC under\nthe service agreements described above will be allocated among all funds on a relative NAV basis.\nAs of the date of this SAI, the Fund had not paid any amounts to BNY for fund accounting and financial administration services because the Fund is new.\nAdministrative and Transfer Agency Services\nDIFSC, an affiliate of the Manager located at 100 Independence, 610 Market Street, Philadelphia, PA 19106-2354, also provides the Trust with administrative services including: preparation, filing and\nmaintaining governing documents; preparation of materials and reports for the Board; and preparation and filing of\n...\nand Restated Fund Accounting and Financial Administration Services Agreement relating to\nthe Registrant incorporated into this filing by reference to Post-Effective Amendment No. 36 filed July 29, 2025.\n(3)\nFund Accounting and Financial Administration Oversight Agreement (December 1, 2025) between Delaware Investments Fund Services Company\nand the Registrant attached as Exhibit No. EX-99.h.3.\n(i)\nLegal Opinion. Opinion and Consent of Counsel (July 22, 2003) incorporated into this filing by reference to Pre-Effective\nAmendment No. 2 to the Registrant s Registration Statement on Form N-1A filed July 23, 2003.\n(j)\nOther Opinion. Not Applicable.\n(k)\nOmitted Financial Statements. Not applicable.\n(l)\nInitial Capital Agreements. Not applicable.\n(m)\nRule 12b-1 Plan.\n(1)\nDistribution and Service Plan pursuant to Rule 12b-1 for Class A Shares (August 1, 2003) incorporated in to this filing by reference to\nPost-Effective Amendment No. 12 filed July 29, 2011.\n(i)\nAmended and Restated Schedule I (January 1, 2014) to Class A Distribution Plan incorporated into this filing by reference to Post-Effective\nAmendment No. 18 filed July 29, 2014.\n(2)\nDistribution and Service Plan pursuant to Rule 12b-1 for Class C Shares (August 1, 2003) incorporated into this filing by reference to\nPost-Effective Amendment No. 12 filed July 29, 2011.\n(n)\nRule 18f-3 Plan.\n(1)\nAmended and Restated Multiple Class of Shares Plan Pursuant to Rule 18f-3 (July 28, 2023) incorporated into this filing by reference to\nPost-Effective Amendment No. 34 filed July 28, 2023.\n(o)\nReserved.\n(p)\nCodes of Ethics.\n(1)\nCode of Ethics for Nomura Investment Management Business Trust, Nomura Funds, Optimum Fund Trust and Nomura ETF Trust (December 1, 2025)\nattached as Exhibit No. EX-99.p.1.\n(2)\nCode of Ethics (January 2025) for Acadian Asset Management LLC (Acadian) relating to the Registrant incorporated into this filing by\nreference to Post-Effective Amendment No. 36 filed July 29, 2025.\n(3)\nCode of Ethics (July 1, 2025) for American Century Investment Management, Inc. (American Century) relating to the Registrant\nincorporated into this filing by reference to Post-Effective Amendment No. 36 filed July 29, 2025.\n3\n(4)\nCode of Ethics (December 2024) for Baillie Gifford Overseas Limited (Baillie Gifford) relating to the Registrant incorporated into\nthis filing by reference to Post-Effective Amendment No. 36 filed July 29, 2025.\n(5)\nCode of Ethics (June 3, 2025) for Great Lakes Advisors, LLC (Great Lakes) relating to the Registrant incorporated into this filing by\nreference to Post-Effective Amendment No. 36 filed July 29, 2025.\n(6)\nCode of Ethics (August 29, 2025) for J.P. Morgan Investment Management Inc. attached as Exhibit No. EX-99.p.6.\n(7)\nCode of Ethics (December 10, 2025) for Loomis, Sayles Company, L.P. attached as Exhibit No. EX-99. p. 7.\n(8)\nCode of Ethics (May 30, 2025) for Los Angeles Capital Management LLC (Los Angeles Capital) relating to the Registrant incorporated\ninto this filing by reference to Post-Effective Amendment No. 36 filed July 29, 2025.\n(9)\nCode of Ethics (April 4, 2025) for LSV Asset Management (LSV) relating to the Registrant incorporated into this filing by reference\nto Post-Effective Amendment No. 36 filed July 29, 2025.\n(10)\nCode of Ethics (April 2, 2025) for Massachusetts Financial Services Company (MFS) relating to the Registrant incorporated into this\nfiling by reference to Post-Effective Amendment No. 36 filed July 29, 2025.\n(11)\nCode of Ethics (January 2025) for Pacific Investment Management Company LLC (PIMCO) relating to the Registrant incorporated into\nthis filing by reference to Post-Effective Amendment No. 36 filed July 29, 2025.\n(12)\nCode of Ethics (February 1, 2025) for Peregrine Capital Management, LLC (Peregrine) relating to the Registrant incorporated into\nthis filing by reference to Post-Effective Amendment No. 36 filed July 29, 2025.\n(13)\nCode of Ethics February 13, 2025) for Principal Global Investors, LLC (Principal) relating to the Registrant incorporated into this\nfiling by reference to Post-Effective Amendment No. 36 filed July 29, 2025.\n(14)\nCode of Ethics (December 1, 2023) for Wellington Management Company LLP (Wellington) incorporated into this filing by reference to\nPost-Effective Amendment No. 35 filed July 29, 2024.\n(q)\nOther.\n(1)\nPower of Attorney for Milissa Hutchinson (December 12, 2025) attached as Exhibit No. EX-99.q.1.\n(2)\nPower of Attorney for Cheri Belski (June 18, 2025) incorporated into this filing by reference to Post-Effective Amendment No. 36\nfiled July 29, 2025.\n(3)\nPower of Attorney for Kevin Chavers (June 18, 2025) incorporated into this filing by reference to Post-Effective Amendment No. 36\nfiled July 29, 2025.\n(4)\nPower of Attorney for Dianna Gonzales-Burdin (June 18, 2025) incorporated into this filing by reference to Post-Effective Amendment\nNo. 36 filed July 29, 2025.\n(5)\nPower of Attorney for Mark K. Hancock (June 18, 2025) incorporated into this filing by reference to Post-Effective Amendment No. 36\nfiled July 29, 2025.\n(6)\nPower of Attorney for Pamela J. Moret (June 18, 2025) incorporated into this filing by reference to Post-Effective Amendment No. 36\nfiled July 29, 2025..\n4\n(7)\nPower of Attorney for Stephen P. Mullin (June 18, 2025) incorporated into this filing by reference to Post-Effective Amendment No. 36\nfiled July 29, 2025.\n(8)\nPower of Attorney for Susan M. Stalnecker (June 18, 2025) incorporated into this filing by reference to Post-Effective Amendment No.\n36 filed July 29, 2025.\n(9)\nPower of Attorney for Gary R. Young (June 18, 2025) incorporated into this filing by reference to Post-Effective Amendment No. 36\nfiled July 29, 2025.\n(10)\nPower of Attorney for Daniel V. Geatens (June 18, 2025) incorporated into this filing by reference to Post-Effective Amendment No.\n36 filed July 29, 2025.\nItem 29.\nPersons Controlled by or Under Common Control with the Registrant. None.\nItem 30.\nIndemnification.\nA Delaware\n...\nnt Secretary\nMarty Wolin\nSVP/Chief Compliance Officer and Anti-Money Laundering Officer/Managing Director\nSVP/Chief Compliance Officer/Interim Anti-Money Laundering Officer\nAaron C. Buser\nVP/Associate General Counsel/Assistant Secretary/Managing Director\nVice President/Associate General Counsel/Assistant Secretary\nJennifer Craig\nVP/Associate Director, US Intermediary Services/Executive Director\nVP US Intermediary Services\nCatherine DiValentino\nVP/Associate General Counsel/Assistant Secretary/Executive Director\nVP/Associate General Counsel/Assistant Secretary\nThomas Garvey\nVP/Chief Compliance Officer/Executive Director\nNone\nStephen Hoban\nVP/Controller/Executive Director\nNone\nGregory Ito\nTreasurer/Managing Director\nNone\nKonstantine C. Mylonas\nVP/Senior Relationship Manager, SRG, CSG Americas/Executive Director\nNone\nPhilip A. Shipp\nVP/Associate General Counsel/Assistant Secretary/Executive Director\nVP/Associate General Counsel/Assistant Secretary\nAugustas Baliulis\nVP/Associate General Counsel/Assistant Secretary/Vice President\nVP/Associate General Counsel/Assistant Secretary\nRoss Oklewicz\nVP/Associate General Counsel/Assistant Secretary/Executive Director\nVP/Associate General Counsel/Assistant Secretary\nTracey Todd\nVP/Associate General Counsel/Assistant Secretary/Executive Director\nVP/Associate General Counsel/Assistant Secretary\nWilliam Hynes\nTax Officer\nNone\n(c)\nNot applicable.\n9\nItem 33.\nLocation of Accounts and Records.\nAll accounts and records required to be maintained by Section 31 (a) of the Investment Company Act of 1940 and the rules under that section are maintained by the following entities: Delaware Management Company, Delaware Investments Fund\nServices Company and Delaware Distributors, L.P. (100 Independence, 610 Market Street, Philadelphia, PA, 19106-2354); BNY Mellon Investment Servicing (US) Inc. (500 Ross Street, 154-0520, Pittsburgh, PA 15262); and The Bank of New York Mellon\n(240 Greenwich Street, New York, NY 10286-0001).\nItem 34.\nManagement Services. None.\nItem 35.\nUndertakings. Not applicable.\n10\nSIGNATURES\nPursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant has duly caused this Registration Statement to be signed on its behalf by the\nundersigned, thereunto duly authorized, in the City of Philadelphia and Commonwealth of Pennsylvania on this 20th day of April, 2026.\nOPTIMUM FUND TRUST\nBy:\n/s/ Daniel V. Geatens\nDaniel V. Geatens\nSenior Vice President/Chief Financial Officer\nPursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed below by the following persons in the capacities and on the dates indicated:\nSignature\nTitle\nDate\nMilissa Hutchinson\n*\nPresident/Chief Executive Officer\nApril 20, 2026\nMilissa Hutchinson\n(Principal Executive Officer) and Trustee\nCheri Belski\n*\nTrustee\nApril 20, 2026\nCheri Belski\nKevin G. Chavers\n*\nTrustee\nApril 20, 2026\nKevin G. Chavers\nDianna Gonzales-Burdin\n*\nTrustee\nApril 20, 2026\nDianna Gonzales-Burdin\nMark K. Hancock\n*\nTrustee\nApril 20, 2026\nMark K. Hancock\nPamela J. Moret\n*\nChair and Trustee\nApril 20, 2026\nPamela J. Moret\nStephen P. Mullin\n*\nTrustee\nApril 20, 2026\nStephen P. Mullin\nSusan M. Stalnecker\n*\nTrustee\nApril 20, 2026\nSusan M. Stalnecker\n11\nGary R. Young\n*\nTrustee\nApril 20, 2026\nGary R. Young\n/s/ Daniel V. Geatens\nSenior Vice President/Treasurer/Chief Financial Officer\nApril 20, 2026\nDaniel V. Geatens\n(Principal Financial Officer/Chief Accounting Officer/Controller)\n*By: / s/ Daniel V. Geatens\nDaniel V. 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"org:PACIFIC_INVESTMENT_MANAGEMENT_COMPANY_LLC", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Optimum_Fixed_Income_Fund", "p": "transferAgent", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Optimum_Fixed_Income_Fund", "p": "transferAgent", "o": "org:Delaware_Investments_Fund_Services_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_International_Fund", "p": "administrator", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_International_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Optimum_International_Fund", "p": "seriesOf", "o": "trust:Optimum_Fund_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_International_Fund", "p": "subAdvisedBy", "o": "org:Acadian_Asset_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_International_Fund", "p": "subAdvisedBy", "o": "org:Baillie_Gifford_Overseas_Limited", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_International_Fund", "p": "transferAgent", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Optimum_International_Fund", "p": "transferAgent", "o": "org:Delaware_Investments_Fund_Services_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Large_Cap_Growth_Fund", "p": "administrator", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Large_Cap_Growth_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Optimum_Large_Cap_Growth_Fund", "p": "seriesOf", "o": "trust:Optimum_Fund_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Large_Cap_Growth_Fund", "p": "subAdvisedBy", "o": "org:American_Century_Investment_Management_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Large_Cap_Growth_Fund", "p": "subAdvisedBy", "o": "org:Los_Angeles_Capital_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Large_Cap_Growth_Fund", "p": "transferAgent", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Optimum_Large_Cap_Growth_Fund", "p": "transferAgent", "o": "org:Delaware_Investments_Fund_Services_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Large_Cap_Value_Fund", "p": "administrator", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Large_Cap_Value_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Optimum_Large_Cap_Value_Fund", "p": "seriesOf", "o": "trust:Optimum_Fund_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Large_Cap_Value_Fund", "p": "subAdvisedBy", "o": "org:Massachusetts_Financial_Services_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Optimum_Large_Cap_Value_Fund", "p": "transferAgent", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Optimum_Large_Cap_Value_Fund", "p": "transferAgent", "o": "org:Delaware_Investments_Fund_Services_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Growth_Fund", "p": "administrator", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Growth_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Growth_Fund", "p": "seriesOf", "o": "trust:Optimum_Fund_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Growth_Fund", "p": "subAdvisedBy", "o": "org:Peregrine_Capital_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Growth_Fund", "p": "subAdvisedBy", "o": "org:Principal_Global_Investors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Growth_Fund", "p": "transferAgent", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Growth_Fund", "p": "transferAgent", "o": "org:Delaware_Investments_Fund_Services_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Value_Fund", "p": "administrator", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Value_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Value_Fund", "p": "seriesOf", "o": "trust:Optimum_Fund_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Value_Fund", "p": "subAdvisedBy", "o": "org:LSV_Asset_Management", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Value_Fund", "p": "subAdvisedBy", "o": "org:Wellington_Management_Company_LLP", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Value_Fund", "p": "transferAgent", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Optimum_Small_Mid_Cap_Value_Fund", "p": "transferAgent", "o": "org:Delaware_Investments_Fund_Services_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:Optimum_Fund_Trust", "p": "underwrittenBy", "o": "org:DELAWARE_DISTRIBUTORS_L_P", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> Optimum Fixed Income Fund <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> Optimum Fund Trust <predicate_marker> subAdvisedBy <object_marker> PACIFIC INVESTMENT MANAGEMENT COMPANY LLC <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> transferAgent <object_marker> Delaware Investments Fund Services Company <triple_end>\n<triple_start> Optimum International Fund <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> Optimum Fund Trust <predicate_marker> subAdvisedBy <object_marker> Acadian Asset Management LLC <predicate_marker> subAdvisedBy <object_marker> Baillie Gifford Overseas Limited <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> transferAgent <object_marker> Delaware Investments Fund Services Company <triple_end>\n<triple_start> Optimum Large Cap Growth Fund <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> Optimum Fund Trust <predicate_marker> subAdvisedBy <object_marker> American Century Investment Management, Inc. <predicate_marker> subAdvisedBy <object_marker> Los Angeles Capital Management LLC <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> transferAgent <object_marker> Delaware Investments Fund Services Company <triple_end>\n<triple_start> Optimum Large Cap Value Fund <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> Optimum Fund Trust <predicate_marker> subAdvisedBy <object_marker> Massachusetts Financial Services Company <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> transferAgent <object_marker> Delaware Investments Fund Services Company <triple_end>\n<triple_start> Optimum Small-Mid Cap Growth Fund <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> Optimum Fund Trust <predicate_marker> subAdvisedBy <object_marker> Peregrine Capital Management, LLC <predicate_marker> subAdvisedBy <object_marker> Principal Global Investors, LLC <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> transferAgent <object_marker> Delaware Investments Fund Services Company <triple_end>\n<triple_start> Optimum Small-Mid Cap Value Fund <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> Optimum Fund Trust <predicate_marker> subAdvisedBy <object_marker> LSV Asset Management <predicate_marker> subAdvisedBy <object_marker> Wellington Management Company LLP <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> transferAgent <object_marker> Delaware Investments Fund Services Company <triple_end>\n<triple_start> Optimum Fund Trust <predicate_marker> underwrittenBy <object_marker> DELAWARE DISTRIBUTORS, L.P. <triple_end>", "target_serialized_plain": "Optimum Fixed Income Fund administrator BNY Mellon Investment Servicing (US) Inc. ; custodian The Bank of New York Mellon ; seriesOf Optimum Fund Trust ; subAdvisedBy PACIFIC INVESTMENT MANAGEMENT COMPANY LLC ; transferAgent BNY Mellon Investment Servicing (US) Inc. , Delaware Investments Fund Services Company .\nOptimum International Fund administrator BNY Mellon Investment Servicing (US) Inc. ; custodian The Bank of New York Mellon ; seriesOf Optimum Fund Trust ; subAdvisedBy Acadian Asset Management LLC , Baillie Gifford Overseas Limited ; transferAgent BNY Mellon Investment Servicing (US) Inc. , Delaware Investments Fund Services Company .\nOptimum Large Cap Growth Fund administrator BNY Mellon Investment Servicing (US) Inc. ; custodian The Bank of New York Mellon ; seriesOf Optimum Fund Trust ; subAdvisedBy American Century Investment Management, Inc. , Los Angeles Capital Management LLC ; transferAgent BNY Mellon Investment Servicing (US) Inc. , Delaware Investments Fund Services Company .\nOptimum Large Cap Value Fund administrator BNY Mellon Investment Servicing (US) Inc. ; custodian The Bank of New York Mellon ; seriesOf Optimum Fund Trust ; subAdvisedBy Massachusetts Financial Services Company ; transferAgent BNY Mellon Investment Servicing (US) Inc. , Delaware Investments Fund Services Company .\nOptimum Small-Mid Cap Growth Fund administrator BNY Mellon Investment Servicing (US) Inc. ; custodian The Bank of New York Mellon ; seriesOf Optimum Fund Trust ; subAdvisedBy Peregrine Capital Management, LLC , Principal Global Investors, LLC ; transferAgent BNY Mellon Investment Servicing (US) Inc. , Delaware Investments Fund Services Company .\nOptimum Small-Mid Cap Value Fund administrator BNY Mellon Investment Servicing (US) Inc. ; custodian The Bank of New York Mellon ; seriesOf Optimum Fund Trust ; subAdvisedBy LSV Asset Management , Wellington Management Company LLP ; transferAgent BNY Mellon Investment Servicing (US) Inc. , Delaware Investments Fund Services Company .\nOptimum Fund Trust underwrittenBy DELAWARE DISTRIBUTORS, L.P. .", "stats": {"input_chars": 23853, "n_triples": 41, "text_to_json_ratio": 6.3}}
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{"sample_id": "0001350487:ALL", "cik": "0001350487", "trust_name": "WisdomTree Trust", "input_text": "ample\nThis example is intended to help you compare the cost of investing in\nthe Fund with the cost of investing in other funds. The example assumes you invest $10,000 in the Fund for the time periods indicated\nand then redeem or hold all of your shares at the end of those periods. The example also assumes that your investment has a 5% return\neach year and that the Fund s operating expenses remain the same. Although your actual costs may be higher or lower, based on these\nassumptions, your costs would be:\n1 Year\n3 Years\n$ 46\n$ 144\nPortfolio Turnover\nThe Fund pays transaction costs, such as commissions, when it buys and\nsells securities (or turns over its portfolio). A higher portfolio turnover rate may indicate higher transaction costs and\nmay result in higher taxes when Fund shares are held in a taxable account. These costs, which are not reflected in the Fund s Annual\nFund Operating Expenses or in the example, affect the Fund s performance. The Fund is newly organized and therefore, portfolio turnover\ninformation is not yet available.\nPrincipal Investment Strategies of the Fund\nThe Fund employs a passive management or indexing\ninvestment approach designed to track the performance of the Index. The Fund generally uses a representative sampling strategy\nto achieve its investment objective, meaning it generally will invest in a sample of the securities in the Index whose risk, return, and\nother characteristics resemble the risk, return, and other characteristics of the Index as a whole. Under normal circumstances, the Fund\ninvests at least 80% of its net assets, plus any borrowings for investment purposes, in constituents of the Index and/or investments that\nhave economic characteristics that are substantially similar to the economic characteristics of such constituents.\nWisdomTree, Inc. ( WisdomTree ), the Index Provider and\nparent company of the Fund s investment adviser, WisdomTree Asset Management, Inc. ( WisdomTree Asset Management or\nthe Adviser ), designed the Index to provide exposure to global companies involved in physical artificial intelligence ( Physical\nAI ) activities ( Physical AI Activities ). Physical AI refers to how artificial intelligence brings intelligence into\nthe physical world, and Physical AI Activities include humanoid and collaborative robots, autonomous drones and vehicles, AI-enabled manufacturing\nsystems, warehouse and supply chain automation, and intelligent machines across sectors such as healthcare, construction, agriculture,\nand defense. The Index is maintained in accordance with a rules-based methodology overseen and implemented by the WisdomTree Artificial\nIntelligence and Innovation Index Committee (the Index Committee ).\n2 WisdomTree Trust Prospectus\nTable of Contents\nTo be eligible for inclusion in the Index, a company must (i) conduct its Primary Business\nActivities and list its shares on a securities exchange operating in one or more of the following countries: Australia, Austria, Belgium,\nCanada, Denmark, Finland, France, Germany, Hong Kong, Ireland, Israel, Italy, Japan (Tokyo Stock Exchange only), Netherlands, Norway,\nPortugal, Singapore, Spain, Sweden, Switzerland, the United Kingdom, or the United States (collectively, the Developed Countries ),\nor Brazil, Chile, China, Czech Republic, Hungary, Mexico, Poland, South Africa, South Korea, Taiwan, or Thailand (collectively, the Emerging\nMarket Countries ); (ii) have a minimum market capitalization of $200 million as of the Index screening date; and (iii) have a\nmedian daily dollar trading volume of at least $1 million for the preceding three months. The country in which a company conducts its\nPrimary Business Activities is determined based on on\n...\nies brokers in Hong Kong in relation to the investment\nof China A-Shares through Stock Connect, it would be compensated by Hong Kong s Investor Compensation Fund. Investing through\nStock Connect is also premised on the proper functioning of operational systems maintained by each market participant and the connectivity\nof differing securities regimes and legal systems in the PRC and Hong Kong. Investments through Stock Connect are also governed by\ndepartmental regulations that have legal effect in the PRC but have not been tested in the PRC courts. Moreover, the current regulations\nare subject to change. There can be no assurance that Stock Connect will not be abolished. The Fund, which may invest in the PRC\nmarkets through Stock Connect, may be adversely affected as a result of such changes.\nTax Risk in China. Uncertainties in PRC tax rules\ngoverning taxation of income and gains from investments in A-Shares could result in unexpected tax liabilities for the Fund. The\nFund s investments in securities, including A-Shares, issued by PRC companies may cause the Fund to become subject to withholding\nand other taxes imposed by the PRC.\nFund Performance\nThe Fund is new and therefore does not yet have performance history.\nOnce the Fund has completed a full calendar year of operations, a bar chart and table will be included that will provide some indication\nof the risks of investing in the Fund by showing the variability of the Fund s return based on net assets and comparing the Fund s\nperformance to a broad measure of market performance. Updated performance information for the Fund will be available online on the Fund s\nwebsite at www.wisdomtree.com/investments .\nManagement\nInvestment Adviser and Sub-Adviser\nWisdomTree Asset Management serves as investment adviser to the Fund. Mellon Investments\nCorporation ( Mellon or the Sub-Adviser ) serves as the investment sub-adviser to the Fund.\nPortfolio Managers\nThe Fund is managed by the Sub-Adviser s Equity Index Strategies portfolio management\nteam. The individual members of the team, who are jointly and primarily responsible for the day-to-day management of the Fund s\nportfolio, are identified below.\nMarlene\nWalker-Smith, a Senior Director and Chief Investment Officer, has been a portfolio manager of the Fund since its inception.\n8 WisdomTree Trust Prospectus\nTable of Contents\nDavid France,\nCFA, a Senior Vice President, Senior Portfolio Manager and Team Manager, has been a portfolio manager of the Fund since its inception.\nTodd\nFrysinger, CFA, a Senior Vice President, Senior Portfolio Manager and Team Manager, has been a portfolio manager of the Fund since its\ninception.\nVlasta\nSheremeta, CFA, a Senior Vice President, Senior Portfolio Manager and Team Manager, has been a portfolio manager of the Fund since its\ninception.\nMichael Stoll, a Senior Vice President, Senior Portfolio Manager\nand Team Manager, has been a portfolio manager of the Fund since its inception.\nBuying and Selling Fund Shares\nThe Fund is an ETF. This means that individual shares of the Fund are listed for trading\non a national securities exchange, currently Cboe BZX Exchange, Inc. (the Listing Exchange ), and may only be purchased\nand sold in the secondary market through a broker-dealer at market prices. Because Fund shares trade at market prices rather than NAV,\nshares may trade at a price greater than NAV (premium) or less than NAV (discount). In addition, an investor may incur costs attributable\nto the difference between the highest price a buyer is willing to pay to purchase shares (bid) and the lowest price a seller is will\n...\nor more than one year. Any\ncapital gain or loss realized upon the redemption of a Creation Unit will generally be treated as long-term capital gain or loss if the\nFund shares comprising the Creation Unit have been held for more than one year. Otherwise, such capital gains or losses are treated as\nshort-term capital gains or losses.\n30 WisdomTree Trust Prospectus\nTable of Contents\nThe Fund may include cash when paying the redemption price for Creation\nUnits in addition to, or in place of, the delivery of a basket of securities. The Fund may be required to sell portfolio securities in\norder to obtain the cash needed to distribute redemption proceeds. This may cause the Fund to recognize investment income and/or capital\ngains or losses that it might not have recognized if it had completely satisfied the redemption in-kind. As a result, the Fund may be\nless tax efficient if it includes such a cash payment than if the in-kind redemption process was used.\nPersons exchanging securities or non-U.S. currency for Creation Units\nshould consult their own tax advisors with respect to the tax treatment of any creation or redemption transaction and whether the wash\nsales rules apply and when a loss might be deductible. If you purchase or redeem Creation Units, you will be sent a confirmation statement\nshowing how many Fund shares you purchased or redeemed and at what price.\nMore information about taxes related to the Fund and its investments\nis included in the SAI.\nThe foregoing discussion summarizes some of the consequences under current U.S. federal\nincome tax law of an investment in the Fund. It is not a substitute for personal tax advice. Consult your personal tax advisor about\nthe potential tax consequences of an investment in the Fund under all applicable tax laws.\nDistribution\nForeside Fund Services, LLC, a wholly-owned subsidiary of Foreside Financial\nGroup (d/b/a ACA Group) (the Distributor ), serves as the distributor of Creation Units for the Fund on an agency basis.\nThe Distributor does not maintain a secondary market in shares of the Fund. The Distributor s principal address is 190 Middle Street,\nSuite 301, Portland, Maine 04101. The Distributor has no role in determining the policies of the Fund or the securities that are purchased\nor sold by the Fund.\nPremium/Discount and NAV Information\nInformation regarding the Fund s NAV and how often shares of the\nFund traded on the Listing Exchange at a price above ( i.e. , at a premium) or below ( i.e. , at a discount) the NAV of the\nFund during the past calendar year and most recent calendar quarter is available at www.wisdomtree.com/investments.\nAdditional Notices\nListing Exchange\nShares of the Fund are not sponsored, endorsed, or promoted by the Listing\nExchange. The Listing Exchange makes no representation or warranty, express or implied, to the owners of the shares of the Fund or any\nmember of the public regarding the ability of the Fund to track the total return performance of the Index or the ability of the Index\nidentified herein to track stock market performance. The Listing Exchange is not responsible for, nor has it participated in, the determination\nof the compilation or the calculation of the Index, nor in the determination of the timing of, prices of, or quantities of the shares\nof the Fund to be issued, nor in the determination or calculation of the equation by which the shares are redeemable. The Listing Exchange\nhas no obligation or liability to owners of the shares of the Fund in connection with the administration, marketing, or trading of the\nshares of the Fund.\nThe Listing Ex\n...\nn the 1940 Act) of the Fund, by a vote cast in person at a meeting called for the purpose of voting on such approval. If the shareholders\nof the Fund fail to approve the Investment Advisory Agreement, WisdomTree Asset Management may continue to serve in the manner and to\nthe extent permitted by the 1940 Act and rules and regulations thereunder.\nThe Investment Advisory Agreement, with respect\nto the Fund, is terminable without any penalty, by vote of the Board, including a majority of the Independent Trustees of the Trust, or\nby vote of a majority of the outstanding voting securities (as defined in the 1940 Act) of the Fund, or by WisdomTree Asset Management,\nin each case on not less than thirty (30) days nor more than sixty (60) days prior written notice to the other\nparty; provided that a shorter notice period shall be permitted for the Fund in the event its shares are no longer listed on a national\nsecurities exchange. The Investment Advisory Agreement will terminate automatically and immediately in the event of its assignment\n(as defined in the 1940 Act).\nSub-Adviser .\nMellon serves as sub-adviser to the Fund pursuant to an investment sub-advisory agreement between WisdomTree Asset Management and Mellon\n(the Sub-Advisory Agreement ) and is responsible for the day-to-day management of the Fund. Mellon, a registered investment\nadviser, manages global quantitative-based investment strategies for institutional and private investors. Its principal office is located\nat 500 Ross Street, Pittsburgh, Pennsylvania 15258. MBC Investments Corporation owns between 80% and 100% of Mellon, with up to 20% owned\nby certain Mellon employees through authorized employee class restricted shares. MBC Investments Corporation is 100% owned by BNY Mellon\nIHC, LLC, which is 100% owned by The Bank of New York Mellon Corporation. Mellon manages the Fund s portfolio investments and places\norders to buy and sell the Fund s portfolio investments. WisdomTree Asset Management pays Mellon for providing sub-advisory services\nto the Fund.\nMellon believes\nthat it may perform sub-advisory and related services for the Trust without violating applicable banking laws or regulations. However,\nthe legal requirements and interpretations about the permissible activities of banks and their affiliates may change in the future. These\nchanges could prevent Mellon from continuing to perform services for the Trust. If this happens, the Board would consider selecting other\nqualified firms.\nThe Sub-Advisory Agreement, with respect to the\nFund, continues in effect for two years from its effective date, and thereafter is subject to annual approval by (i) the Board or (ii)\nthe vote of a majority of the outstanding voting securities (as defined in the 1940 Act) of the Fund, provided that in either event such\ncontinuance is also approved by a vote of a majority of the Trustees of the Trust who are not interested persons (as defined in the 1940\nAct) of the Fund, by a vote cast in person at a meeting called for the purpose of voting on such approval. If the shareholders of the\nFund fail to approve the Sub-Advisory Agreement, WisdomTree Asset Management may continue to serve in the manner and to the extent permitted\nby the 1940 Act and rules and regulations thereunder. The Sub-Advisory Agreement is terminable without any penalty, by vote of the Board\nof or by vote of a majority of the outstanding voting securities (as defined in the 1940 Act) of the Fund, or by WisdomTree Asset Management,\nin each case on not less than thirty (30) days nor more than sixty (60) days prior written notice to th\n...\nctive Amendment No. 905 to the Registrant s registration statement on Form N-1A (File Nos. 333-132380\nand 811-21864), as filed with the SEC on January 17, 2024.\n(d)(8)\nAmended\nand Restated Management Fee Waiver Agreement, dated July 11, 2024 and amended and restated as of December 31, 2025, by and between the\nRegistrant and WisdomTree Asset Management, Inc. is incorporated herein by reference to Exhibit (d)(7) to Post-Effective Amendment No.\n977 to the Registrant s registration statement on Form N-1A (File Nos. 333-132380 and 811-21864), as filed with the SEC on January\n12, 2026.\n(d)(9)\nAdvisory\nFee Waiver Agreement, dated March 11, 2025, between the Registrant and WisdomTree Asset Management, Inc. is incorporated herein by reference\nto Exhibit (d)(8) to Post-Effective Amendment No. 926 to the Registrant s registration statement on Form N-1A (File Nos. 333-132380\nand 811-21864), as filed with the SEC on March 17, 2025.\n(d)(10)\nAmended\nand Restated Sub-Advisory Agreement, dated January 1, 2013, between WisdomTree Asset Management, Inc. and Mellon Investments Corporation\n(the Mellon Sub-Advisory Agreement ) is incorporated herein by reference to Exhibit (d)(6) to Post-Effective Amendment No.\n144 to the Registrant s registration statement on Form N-1A (File Nos. 333-132380 and 811-21864), as filed with the SEC on January\n11, 2013.\n(d)(11)\nAppendices\nA, B-1, B-2, B-3, and B-4, effective as of March 3, 2026, to the Mellon Sub-Advisory Agreement are incorporated herein by reference to\nExhibit (d)(10) to Post-Effective Amendment No. 982 to the Registrant s registration statement on Form N-1A (File Nos. 333-132380\nand 811-21864), as filed with the SEC on March 6, 2026.\n(d)(12)\nInvestment\nSub-Advisory Agreement, dated April 4, 2016, between WisdomTree Asset Management, Inc. and Voya Investment Management Co., LLC (the Voya\nSub-Advisory Agreement ) is incorporated herein by reference to Exhibit (d)(10) to Post-Effective Amendment No. 541 to the Registrant s\nregistration statement on Form N-1A (File Nos. 333-132380 and 811-21864), as filed with the SEC on April 14, 2016.\n2\nTable of Contents\n(d)(13)\nAppendix\nA, as of January 25, 2023, to the Voya Sub-Advisory Agreement is incorporated by reference to Exhibit (d)(8) to Post-Effective Amendment\nNo. 889 to the Registrant s registration statement on Form N-1A (File Nos. 333-132380 and 811-21864), as filed with the SEC on January\n25, 2023.\n(d)(14)\nSub-Advisory\nAgreement, dated September 1, 2021, between WisdomTree Asset Management, Inc. and Newton Investment Management North America, LLC (the\nNewton Sub-Advisory Agreement ) is incorporated herein by reference to Exhibit (d)(8) to Post-Effective Amendment No. 808\nto the Registrant s registration statement on Form N-1A (File Nos. 333-132380 and 811-21864), as filed with the SEC on September\n10, 2021.\n(d)(15)\nAppendix\nA, effective as of December 16, 2025, to the Newton Sub-Advisory Agreement is incorporated herein by reference to Exhibit (d)(14) to Post-Effective\nAmendment No. 969 to the Registrant s registration statement on Form N-1A (File Nos. 333-132380 and 811-21864), as filed with the\nSEC on December 17, 2025.\n(d)(16)\nSub-Advisory\nAgreement, dated March 11, 2025, between WisdomTree Asset Management, Inc. and Insight North America LLC is incorporated herein by reference\nto Exhibit (d)(15) to Post-Effective Amendment No. 926 to the Registrant s registration statement on Form N-1A (File Nos. 333-132380\nand 811-21864), as filed with the SEC on March 17, 2025.\n(d)(17)\nInvestment\nAdvisory Agreement, dated February 19, 2008, between WisdomTree Asset Manag", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Administrator"], "seriesOf": ["Trust"], "subAdvisedBy": ["SubAdviser"], "transferAgent": ["Administrator"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:WisdomTree_Artificial_Intelligence_and_Innovation_Fund", "p": "administrator", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:WisdomTree_Artificial_Intelligence_and_Innovation_Fund", "p": "advisedBy", "o": "org:WisdomTree_Asset_Management_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Artificial_Intelligence_and_Innovation_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": 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"extractable": true}, {"s": "fund:WisdomTree_Cloud_Computing_Fund", "p": "advisedBy", "o": "org:WisdomTree_Asset_Management_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Cloud_Computing_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:WisdomTree_Cloud_Computing_Fund", "p": "seriesOf", "o": "trust:WisdomTree_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Cloud_Computing_Fund", "p": "subAdvisedBy", "o": "org:Mellon_Investments_Corporation", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Cloud_Computing_Fund", "p": "transferAgent", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:WisdomTree_Cybersecurity_Fund", "p": "administrator", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:WisdomTree_Cybersecurity_Fund", "p": "advisedBy", "o": "org:WisdomTree_Asset_Management_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Cybersecurity_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:WisdomTree_Cybersecurity_Fund", "p": "seriesOf", "o": "trust:WisdomTree_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Cybersecurity_Fund", "p": "subAdvisedBy", "o": "org:Mellon_Investments_Corporation", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Cybersecurity_Fund", "p": "transferAgent", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:WisdomTree_Dynamic_International_Equity_Fund", "p": "administrator", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:WisdomTree_Dynamic_International_Equity_Fund", "p": "advisedBy", "o": "org:WisdomTree_Asset_Management_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Dynamic_International_Equity_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:WisdomTree_Dynamic_International_Equity_Fund", "p": "seriesOf", "o": "trust:WisdomTree_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Dynamic_International_Equity_Fund", "p": "subAdvisedBy", "o": "org:Mellon_Investments_Corporation", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Dynamic_International_Equity_Fund", "p": "transferAgent", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:WisdomTree_Dynamic_International_SmallCap_Equity_Fund", "p": "administrator", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:WisdomTree_Dynamic_International_SmallCap_Equity_Fund", "p": "advisedBy", "o": "org:WisdomTree_Asset_Management_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Dynamic_International_SmallCap_Equity_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:WisdomTree_Dynamic_International_SmallCap_Equity_Fund", "p": "seriesOf", "o": "trust:WisdomTree_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Dynamic_International_SmallCap_Equity_Fund", "p": "subAdvisedBy", "o": "org:Mellon_Investments_Corporation", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Dynamic_International_SmallCap_Equity_Fund", "p": "transferAgent", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:WisdomTree_Emerging_Markets_Efficient_Core_Fund", "p": "administrator", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": 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{"sample_id": "0001388485:ALL", "cik": "0001388485", "trust_name": "FundVantage Trust", "input_text": "ck\nCover\ni\nFUND\nSUMMARY\nAMBRUS\nCORE BOND FUND\nInvestment\nObjective\nAmbrus\nCore Bond Fund (the Fund ) seeks to maximize total return, consistent with preservation of capital and prudent investment\nmanagement. Current income is a secondary objective.\nFees\nand Expenses\nThis\ntable describes the fees and expenses that you may pay if you buy, hold and sell shares of the Fund. You may pay other fees, such as\nbrokerage commissions and other fees to financial intermediaries, which are not reflected in the table and example below.\nAnnual\nFund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment):\nInvestor\nClass\nInstitutional\nClass\nManagement\nFees\n0.40 %\n0.40 %\nDistribution\nand/or Service (Rule 12b-1) Fees\n0.25 %\nNone\nAcquired\nFund Fees and Expenses ( AFFE )\n0.01 %\n0.01 %\nOther\nExpenses 1\n0.10 %\n0.10 %\nTotal\nAnnual Fund Operating Expenses 2\n0.76 %\n0.51 %\nFees\nand/or Expenses Recouped 3\n0.02 %\n0.02 %\nTotal\nAnnual Fund Operating Expenses After Fee Waiver and/or Expense Reimbursement 2,3\n0.78 %\n0.53 %\n1\nOther Expenses are based on estimated amounts for the current fiscal year.\n2\nTotal Annual\nFund Operating Expenses will not correlate to the ratio of expenses to average net assets that will be disclosed in the Fund s\nAnnual and Semi-Annual Financials and Additional Information in the financial highlights table, which reflects the operating expenses\nof the Fund and does not include Acquired Fund Fees and Expenses.\n3\nWhittier\nAdvisors, LLC ( Whittier or the Adviser ) has contractually agreed to reduce its investment advisory fee and/or\nreimburse certain expenses of the Fund to the extent necessary to ensure that the Fund s total operating expenses (excluding taxes,\nfees and expenses attributable to a distribution or service plan adopted by FundVantage Trust (the Trust ), interest, extraordinary\nitems, Acquired Fund Fees and Expenses and brokerage commissions) do not exceed 0.50% (on an annual basis) of the Fund s\naverage daily net assets (the Expense Limitation ). The Expense Limitation will remain in place until January 31,\n2027 unless the Board of Trustees of the Trust approves its earlier termination. The Adviser is entitled to recover, subject to approval\nby the Board of Trustees, such amounts reduced or reimbursed for a period of up to three (3) years from the date on which the Adviser\nreduced its compensation and/or assumed expenses for the Fund. The Adviser is permitted to seek reimbursement from the Fund, for fees\nit waived and Fund expenses it paid to the extent the total annual fund operating expenses do not exceed the limits described above or\nany lesser limits in effect at the time of the reimbursement. No reimbursement will occur unless the Fund s expenses are below the\nExpense Limitation.\n1\nExample\nThis\nExample is intended to help you compare the cost of investing in the Fund with the cost of investing in other mutual funds. The Example\nassumes that you invest $10,000 in Investor Class shares and Institutional Class shares of the Fund for the time periods indicated and\nthen redeem all of your shares at the end of those periods. The Example also assumes that your investment has a 5% return each year and\nthat the Fund s operating expenses remain the same (reflecting any contractual fee waivers). Although your actual costs may be higher\nor lower, based on these assumptions your costs would be:\n1\nYear\n3\nYears\n5\nYears\n10\nYears\nInvestor\nClass\n$ 80\n$ 245\n$ 424\n$ 944\nInstitutional\nClass\n$ 54\n$ 166\n$ 287\n$ 642\nPortfolio\nTurnover\nThe\nFund pays transaction costs when it buys and sells securities (or tu\n...\nnces, an exchange or market on which a security trades does not open\nfor trading for the entire day and no other market prices are available. The Adviser as valuation designee will monitor for significant\nevents that may materially affect the values of the Fund s securities or assets and for determining whether the value of the applicable\nsecurities or assets should be re-evaluated in light of such significant events.\nPURCHASE\nOF SHARES\nShare\nClasses\nThe\nTrust offers Investor Class shares and Institutional Class shares of the Fund. Each Class of shares has different expenses and distribution\narrangements to provide for different investment needs. This allows you to choose the class of shares most suitable for you depending\non the amount and expected length of your investment and other relevant factors. Sales personnel may receive different compensation for\nselling each class of shares. Investor Class shares are for individuals, corporate investors and retirement plans. Institutional Class\nshares are available to individuals who can meet the required investment minimum and corporations or other institutions such as trusts,\nendowments, foundations or broker-dealers purchasing for the accounts of others. If you purchase Institutional Class shares through a\nfinancial intermediary, you may be charged a brokerage commission on shares transacted in, other transaction-based fees or other fees\nfor the services of such organization.\n26\nInvestor\nClass\nInstitutional\nClass\nNo\ninitial sales charge\nNo\ninitial sales charge\nHigher\nannual expenses than Institutional Class shares due to distribution fee\nLower\nannual expenses than Investor Class shares due to no distribution fee\nShares\nrepresenting interests in the Fund are offered on a continuous basis by the Funds principal underwriter, Foreside Funds Distributors\nLLC, a wholly owned subsidiary of Foreside Financial Group, LLC (d/b/a ACA Group) (the Underwriter ). The Funds do not charge\nany sales loads or deferred sales loads in connection with the purchase of shares. Shares of the Fund are offered only to residents of\nstates in which the shares are registered or qualified. You can purchase Investor Class and Institutional Class shares of the Fund through\ncertain financial intermediaries who may charge you a commission, or directly through the transfer agent of the Fund, as discussed below.\nNo share certificates are issued in connection with the purchase of Fund shares. The Fund reserves the right to waive the minimum initial\ninvestment requirement for any investor.\nIn\nthe event your financial intermediary modifies or terminates its relationship with the Trust, your shares may be redeemed by the Trust\nunless you make arrangements to (a) transfer your Fund shares to another financial intermediary that is authorized to process Fund orders\nor (b) establish a direct account with the Funds transfer agent by following the instructions under To Open An Account.\nTo open an account directly with the Fund, you must meet the minimum initial investment amount or, if available, exchange your shares\nfor shares of another class in which you are eligible to invest.\nIn\nthe event you modify or change your relationship with your financial intermediary through which you invest in the Fund (for instance,\nfrom an advisory relationship to a brokerage relationship) you may no longer be eligible to invest in a particular share class and your\nfinancial intermediary may exchange your shares for another share class which may be subject to higher expenses and Rule 12b-1 distribution\nfees.\nIn\naddition, the availability of certain\n...\nustee\nShall serve until death, resignation or removal. Trustee since 2009.\nRetired since December 2010; Chief Executive Officer of US Funds Services, BNY Mellon Asset Servicing from July 2010 to December 2010; Chief Executive Officer of PNC Global Investment Servicing from March 2008 to July 2010; President, PNC Global Investment Servicing from 2003 to 2008.\n25\nCopeland Trust (registered investment company with 3 portfolios); Third Avenue Trust (registered investment company with 4 portfolios); Third Avenue Variable Series Trust (registered investment company with 1 portfolio); Polen Credit Opportunities Fund (registered investment company).\n34\nEXECUTIVE OFFICERS\nName and Date of Birth\nPosition(s) Held with Trust\nTerm of Office and Length of Time Served\nPrincipal Occupation(s) During Past Five Years\nJoel L. Weiss Date of Birth: 1/63\nPresident and Chief Executive Officer\nShall serve until death, resignation or removal. Officer since 2007.\nSenior Vice President of Board Management of Tidal ETF Services LLC since August 2025; President of JW Fund Management LLC from June 2016 to July 2025; Vice President and Managing Director of BNY Mellon Investment Servicing (US) Inc. and predecessor firms from 1993 to June 2016.\nChristine S. Catanzaro Date of Birth: 8/84\nTreasurer and Chief Financial Officer\nShall serve until death, resignation, or removal. Officer since 2022.\nVice President of Board Management of Tidal ETF Services LLC since August 2025; Financial Reporting Consultant from October 2020 to July 2025; Senior Manager, Ernst Young LLP from March 2013 to October 2020.\nT. Richard Keyes Date of Birth: 1/57\nVice President\nShall serve until death, resignation or removal. Officer since 2016.\nPresident of TRK Fund Consulting LLC since July 2016; Head of Tax U.S. Fund Services of BNY Mellon Investment Servicing (US) Inc. and predecessor firms from February 2006 to July 2016.\nGabriella Mercincavage\nDate of Birth: 6/68\nAssistant Treasurer\nShall serve until death, resignation or removal. Officer since 2019.\nFund Administration Consultant since January 2019; Fund Accounting and Tax Compliance Accountant to financial services companies from November 2003 to July 2018.\nVincenzo A. Scarduzio Date of Birth: 4/72\nSecretary\nShall serve until death, resignation or removal. Officer since 2012.\nDirector and Senior Vice President Regulatory Administration of The Bank of New York Mellon and predecessor firms since 2001.\nJohn Canning\nDate of Birth: 11/70\nChief Compliance Officer and Anti-Money Laundering Officer\nShall serve until death, resignation or removal. Officer since 2022.\nDirector of Chenery Compliance Group, LLC from March 2021 to present; Senior Consultant of Foreside Financial Group from August 2020 to March 2021; Chief Compliance Officer Chief Operating Officer of Schneider Capital Management LP from May 2019 to July 2020; Chief Operating Officer and Chief Compliance Officer of Context Capital Partners, LP from March 2016 to March 2018 and February 2019, respectively.\n35\nLEADERSHIP STRUCTURE AND RESPONSIBILITIES OF THE BOARD AND ITS COMMITTEES. The basic responsibilities of the Trustees are to monitor the Trust and its funds financial operations and performance, oversee the activities and legal compliance of the Adviser and other major service providers, keep themselves informed and exercise their business judgment in making decisions important to the Trust s proper functioning based on what the Trustees reasonably believe to be in the best interests of the shareholders. The Board of Trustees is comprised of five individuals, each of whom is an Independent Trustee. The Board of Trustees meets multiple times during the year (but at least quarterly) to review the investment performance of the Funds and other operational matters, including policies and procedures with respect to compliance with regulatory and other requirements.\nThe Board of Trustees has appointed an Independent Trustee to serve in the role of Chairman. The Chairman s primary role is to participate in the preparation of the agenda for meetings of the Board of Trustees and the identification of information to be presented to the Board of Trustees with res\n...\na written request to:\nGotham Asset Management, LLC\n825 Third Avenue, Suite 1750\nNew York, NY 10022\nAttention: Legal Compliance\nB- 2\nE.\nRecordkeeping\nThe Firm maintains records of: (a) this proxy voting policy; (b) all proxy statements and materials the Firm receives on behalf of Clients unless such materials are readily available from the SEC via EDGAR; (c) all proxy votes that are made on behalf of the Clients; (d) all written requests from Clients regarding voting history; and (e) all responses (written and oral) to Clients requests. Such records are available to the impacted Client upon request. To fulfill some of these recordkeeping requirements, the Firm may rely on information stored on Proxy Exchange (or the predecessor system used by the Firm), Firm e-mail or other third party service providers.\nB- 3\nFUNDVANTAGE TRUST\nPART C\nOTHER INFORMATION\nItem 28.\nExhibits.\n(a)(i)\n(A)\nSecond Amended and Restated Agreement and Declaration of Trust (the Trust Agreement ). Incorporated by reference to Exhibit (a)(i) to Post-Effective Amendment No. 334 to Registrant s Registration Statement as filed with the Commission on March 3, 2025.\n(B)\nAmended and Restated Schedule A to the Trust Agreement dated January 9, 2026. Incorporated by reference to Exhibit (1)(b) to Form N-14 as filed with the Commission on January 20, 2026.\n(a)(ii)\nCertificate of Trust. Incorporated by reference to Exhibit (a)(ii) to Registrant s Initial Registration Statement as filed with the Commission on March 7, 2007.\n(b)\nBy-Laws. Incorporated by reference to Exhibit (b) to Post-Effective Amendment No. 169 to Registrant s Registration Statement as filed with the Commission on August 28, 2017.\n(c)\nSee, Articles 3, 7 and 8 of Exhibit (a)(i) to the Trust Agreement.\n(d)(i)\n(A)\nInvestment\nAdvisory Agreement with Polen Capital Credit, LLC ( Polen Credit ) dated March 21, 2025 with respect to the Polen Floating\nRate Income ETF and Polen High Income ETF. Incorporated by reference to Exhibit (d)(i) to Post-Effective Amendment No. 335 to Registrant s\nRegistration Statement as filed with the Commission on March 24, 2025.\n(B)\nForm of Amended and Restated Schedule A to the Investment Advisory Agreement with Polen Credit. Incorporated by reference to Exhibit (d)(i)(B) to Post-Effective Amendment No. 342 to the Registrant s Registration Statement as filed with the Commission on January 27, 2026.\n(d)(ii)\n(A)\nInvestment Advisory Agreement with Polen Credit dated June 30, 2022. Incorporated by reference to Exhibit (d)(iii) to Post-Effective Amendment No. 279 to Registrant s Registration Statement as filed with the Commission on June 30, 2022.\n(B)\nAmended and Restated Schedules A and B to the Investment Advisory Agreement with Polen Credit dated June 16, 2025. Incorporated by reference to Exhibit (d)(ii)(B) to Post-Effective Amendment No. 337 to Registrant s Registration Statement as filed with the Commission on July 2, 2025.\n(d)(iii)\nInvestment Sub-Advisory Agreement between Polen Capital Management, LLC ( Polen ) and Polen Credit dated September 29, 2023. Incorporated by reference to Exhibit (d)(ii) to Amendment No. 328 to Registrant s Registration Statement as filed with the Commission on September 29, 2023.\n(d)(iv)\nInvestment Advisory Agreement with Whittier Advisors, LLC ( Whittier ) dated September 1, 2022. Incorporated by reference to Exhibit (d)(v) to Post-Effective Amendment No. 285 to Registrant s Registration Statement as filed with the Commission on September 6, 2022.\n(d)(v)\nInvestment Advisory Agreement with Private Capital Management, LLC ( Private Capital ) dated October 28, 2013. Incorporated by reference to Exhibit (d)(vii) to Post-Effective Amendment No. 95 to Registrant s Registration Statement as filed with the Commission on March 19, 2014.\n(d)(vi)\n(A)\nInvestment Advisory Agreement with the Asset Management Group of Bank of Hawaii ( AMG of BOH ) dated June 25, 2010. Incorporated by reference to Exhibit (d)(x) to Post-Effective Amendment No. 28 to Registrant s Registration Statement as filed with the Commission on July 1, 2010.\n(B)\nAmended and Restated Schedules A and B to Exhibit (d)(ix)(B) to the Investment Advisory Agreement with AMG of BOH dated May 16, 2018 as filed with the Commission on May 16, 2018.\n(d)(vii)\n(A)\nInvestment Advisory Agreement with Polen dated October 19, 2012. Incorporated by reference to Exhibit (d)(x) to Post-Effective Amendment No. 77 to Registrant s Registration Statement as filed with the Commission on August 28, 2013.\n(B)\nAmended and Restated Schedules A and B to the Investment Advisory Agreement with Polen dated June 16, 2025. Incorporated by reference to Exhibit (d)(vii)(B) to Post-Effective Amendment No. 337 to Registrant s Registration Statement as filed with the Commission on July 2, 2025.\n(d)(viii)\n(A)\nInvestment Advisory Agreement with Gotham Asset Management, LLC ( Gotham ) dated November 2, 2010. Incorporated by reference to Exhibit (d)(xv) to Post-Effective Amendment No. 38 to Registrant s Registration Statement as filed with the Commission on November 3, 2010.\n(B)\nAmended and Restated Schedules A and B to the Investment Advisory Agreement with Gotham dated February 12, 2024. Incorporated by reference to Exhibit (d)(viii)(B) to Post-Effective Amendment No. 333 to Registrant s Registration Statement as filed with the Commission on January 28, 2025.\nC- 1\n(d)(ix)\nInvestment Advisory Agreement with Equity Investment Corporation ( EIC ) dated January 10, 2017. Incorporated by reference to Exhibit (d)(xv) to Post-Effective Amendment No. 169 to Registrant s Registration Statement as filed with the Commission on August 28, 2017.\n(d)(x)\n(A)\nInvestment Advisory Agreement with Polen dated September 29, 2025 with respect to the Polen Focus Growth ETF. Incorporated by reference to Exhibit (d)(x)(A) to Post-Effective Amendment No. 341 to Registrant s Registration Statement as filed with the Commission on October 14, 2025.\n(B)\nForm of Amended and Restated Schedules A and B to the Investment Advisory Agreement with Polen dated September 29, 2025. Incorporated by reference to Exhibit (d)(x)(B) to Post-Effective Amendment No. 341 to Registrant s Registration Statement as filed with the Commission on October 14, 2025.\n(e)(i)\nUnderwriting Agreement with Foreside Funds Distributors LLC ( Foreside ) dated April 1, 2012. Incorporated by reference to Exhibit (e) to Post-Effective Amendment No. 55 to Registrant s Registration Statement as filed with the Commission on April 13, 2012.\n(e)(ii)\nAmendment to Underwriting Agreement with Foreside effective September 30, 2021. Incorporated by reference to Exhibit (e)(ii) to Post-Effective Amendment No. 266 to Registrant s Registration Statement as filed with the Commission on January 28, 2022.\n(e)(iii)\nFirst Amendment to Underwriting Agreement with Foreside dated December 2, 2021. Incorporated by reference to Exhibit (e)(iii) to Post-Effective Amendment No. 266 to Registrant s Registration Statement as filed with the Commission on January 28, 2022.\n(e)(iv)\nSecond Amendment to Underwriting Agreement with Foreside dated March 15, 2022. Incorporated by reference to Exhibit (e)(iv) to Post-Effective Amendment No. 284 to Registrant s Registration", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "transferAgent": ["Administrator"], "subAdvisedBy": ["InvestmentAdviser"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:EIC_Value_Fund", "p": "administrator", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:EIC_Value_Fund", "p": "advisedBy", "o": "org:Equity_Investment_Corporation", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:EIC_Value_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:EIC_Value_Fund", "p": "seriesOf", "o": 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"org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Private_Capital_Management_Value_Fund", "p": "advisedBy", "o": "org:Private_Capital_Management_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Private_Capital_Management_Value_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Private_Capital_Management_Value_Fund", "p": "seriesOf", "o": "trust:FundVantage_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Private_Capital_Management_Value_Fund", "p": "transferAgent", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:FundVantage_Trust", "p": "underwrittenBy", "o": "org:Foreside_Funds_Distributors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> EIC Value Fund <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> advisedBy <object_marker> Equity Investment Corporation <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> FundVantage Trust <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <triple_end>\n<triple_start> Pacific Capital Tax-Free Securities Fund <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> advisedBy <object_marker> Asset Management Group of Bank of Hawaii <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> FundVantage Trust <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <triple_end>\n<triple_start> Pacific Capital Tax-Free Short Intermediate Securities Fund <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> advisedBy <object_marker> Asset Management Group of Bank of Hawaii <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> FundVantage Trust <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <triple_end>\n<triple_start> Pacific Capital U.S. Government Money Market Fund <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> advisedBy <object_marker> Asset Management Group of Bank of Hawaii <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> FundVantage Trust <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <triple_end>\n<triple_start> Polen Emerging Markets Growth Fund <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> advisedBy <object_marker> Polen Capital Management, LLC <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> FundVantage Trust <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <triple_end>\n<triple_start> Polen Floating Rate Income ETF <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> advisedBy <object_marker> Polen Capital Credit, LLC <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> FundVantage Trust <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <triple_end>\n<triple_start> Polen 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<predicate_marker> advisedBy <object_marker> Polen Capital Management, LLC <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> FundVantage Trust <predicate_marker> subAdvisedBy <object_marker> Polen Capital Credit, LLC <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <triple_end>\n<triple_start> Polen High Income ETF <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> advisedBy <object_marker> Polen Capital Credit, LLC <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> FundVantage Trust <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <triple_end>\n<triple_start> Polen International Growth Fund <predicate_marker> administrator <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> advisedBy 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{"sample_id": "0001396092:ALL", "cik": "0001396092", "trust_name": "World Funds Trust", "input_text": "express or implied, to the owners of the Shares or any member of the public regarding the advisability of investing in securities generally or in the Shares in particular, or as to the ability of any Fund to meet its investment objective. The Adviser has entered into an agreement with the Sponsor pursuant to which the Sponsor and the Adviser have jointly assumed the obligation of the Adviser to pay all expenses of the Fund, except excluded expenses. The Sponsor will also provide marketing support for the Fund including, but not limited to, providing the Fund with access to and the use of the Sponsor s marketing capabilities, including leveraging the Sponsor s expertise in developing marketing strategies and communications through print and electronic media. For its services, the Sponsor is entitled to a fee from the Adviser, which is calculated daily and paid monthly, based on a percentage of the average daily net assets of the Fund. The Sponsor does not act as a distributor to the Funds and does not sell shares of the Funds. All Funds are distributed through the Distributor. The Portfolio Manager 89 Matthew Tuttle, Chief Executive Officer of the Adviser, has served as each Fund s portfolio manager since their inception in 2024. Matthew Tuttle has been involved in the financial services industry since 1990. He has an MBA in finance from Boston University and is the author of two financial books, Financial Secrets of My Wealthy Grandparents and How Harvard and Yale Beat the Market . He has been launching and managing ETFs since 2015. The SAI provides additional information about the portfolio manager s compensation, other accounts managed by the portfolio manager, and the portfolio manager s ownership in each Fund. The Trust Each Fund is a non-diversified series of the World Funds Trust, an open-end management investment company organized as a Delaware statutory trust on April 9, 2007. The Board supervises the operations of the Funds according to applicable state and federal law, and the Board is responsible for the overall management of the Funds business affairs. Portfolio Holdings A description of the Fund s policies and procedures with respect to the disclosure of the Fund s portfolio securities is available in the Funds SAI. Complete holdings are published on the Funds website on a daily basis. Please visit the Fund s website at www.rexshares.com. In addition, each Fund s complete holdings (as of the dates of such reports) are available in reports on Form N-PORT and Form N-CSR filed with the SEC. 90 HOW TO BUY AND SELL SHARES Most investors will buy and sell shares of the Funds through broker-dealers at market prices. Shares of the Funds are listed for trading on the Exchange and on the secondary market during the trading day and can be bought and sold throughout the trading day like other shares of publicly traded securities. Shares may only be purchased and sold on the secondary market when the Exchange is open for trading. The following table shows the trading symbol of each Fund. T-Rex 2X Long Bitcoin Daily Target ETF BTCL T-Rex 2X Inverse Bitcoin Daily Target ETF BTCZ T-Rex 2X Long Ether Daily Target ETF ETU When buying or selling shares through a broker, you will incur customary brokerage commissions and charges, and you may pay some or all of the spread between the bid and the offered price in the secondary market on each leg of a round trip (purchase and sale) transaction. The NAV of the Funds shares is calculated at the close of regular trading on the Exchange, generally 4:00 p.m. New York time, on each day the Exchang\n...\nxchanger s tax basis in the Creation Units and the sum of the aggregate market values of the securities received plus any cash. The Internal Revenue Service ( Service ), however, may assert that a loss realized upon an exchange of securities for Creation Units cannot be deducted currently under the rules governing wash sales or for other reasons. Persons exchanging securities should consult their own tax advisor with respect to whether the wash sale rules apply and when a loss might not be deductible. Any capital gain or loss realized upon redemption of Creation Units is generally treated as long-term capital gain or loss if the shares have been held for more than one year and as short-term capital gain or loss if the shares have been held for one year or less. If you purchase or redeem Creation Units, you will be sent a confirmation statement showing how many shares you purchased or sold and at what price. See Taxes in the SAI for a description of the requirement regarding basis determination methods applicable to share redemptions and the Fund s obligation to report basis information to the Service. At the time that this prospectus is being prepared, various administrative and legislative changes to the U.S. federal income tax laws are under consideration, but it is not possible at this time to determine whether any of these changes will take place or what the changes might entail. 93 The foregoing discussion summarizes some of the possible consequences under current U.S. federal income tax law of an investment in the Funds. It is not a substitute for personal tax advice. Consult your personal tax advisor about the potential tax consequences of an investment in the shares under all applicable tax laws. See Taxes in the SAI for more information. FUND SERVICE PROVIDERS Commonwealth Fund Services, Inc. (the Administrator ) is the Funds administrator. The firm is primarily in the business of providing administrative services to retail and institutional mutual funds and exchange-traded funds. U.S. Bank Global Fund Services, LLC ( U.S. Bank ) serves as the Funds fund accountant, and it provides certain other services to the Funds not provided by the Administrator. U.S. Bank is primarily in the business of providing administrative, fund accounting services to retail and institutional exchange-traded funds and mutual funds. U.S. Bank serves as the Funds custodian and transfer agent. Foreside Fund Services, LLC (the Distributor ) serves as the Distributor of Creation Units for the Funds on an agency basis. The Distributor does not maintain a secondary market in shares. Practus, LLP serves as legal counsel to the Trust and the Funds. Cohen Company, Ltd. serves as the Funds independent registered public accounting firm. The independent registered public accounting firm is responsible for auditing the annual financial statements of the Funds. OTHER INFORMATION Continuous Offering The method by which Creation Units of shares are created and traded may raise certain issues under applicable securities laws. Because new Creation Units of shares are issued and sold by the Funds on an ongoing basis, a distribution, as such term is used in the Securities Act of 1933, as amended (the Securities Act ), may occur at any point. Broker-dealers and other persons are cautioned that some activities on their part may, depending on the circumstances, result in their being deemed participants in a distribution in a manner which could render them statutory underwriters and subject them to the prospectus delivery requirement and liability provisions of the Securities Act. For example, a broker-dealer firm or its client may be deemed a statutory underwriter if it takes Creation Units after placing an order with the Distributor, breaks them down into constituent shares and sells the shares directly to customers or if it chooses to couple the creation of a supply of new shares with an active selling effort involving solicitation of secondary market demand for shares. A determination of whether one is an underwriter for purposes of the Securities Act must take into account all the facts and circumstances pertaining to the activities of the broker-dealer or its client in the p\n...\ned April 9, 2007 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 241 on Form N-1A filed on October 4, 2017. (a)(2) Certificate of Amendment dated January 7, 2008 to the Registrant s Certificate of Trust dated April 9, 2007 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 241 on Form N-1A filed on October 4, 2017. (a)(3) Registrant s Amended Agreement and Declaration of Trust dated April 9, 2007 and amended on June 23, 2008 and November 16, 2016 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 237 on Form N-1A filed on August 28, 2017. (b) Registrant s Amended and Restated By-Laws dated November 16, 2016 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 237 on Form N-1A filed on August 28, 2017. (c) Not applicable. (d)(1) Investment Advisory Agreement between the Registrant and Union Street Partners, LLC with respect to the Union Street Partners Value Fund is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 426 on Form N-1A filed on July 28, 2023 . (d)(2) Investment Sub-Advisory Agreement between Union Street Partners, LLC and McGinn Investment Management, Inc. with respect to the Union Street Partners Value Fund is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 426 on Form N-1A filed on July 28, 2023 . (d)(3) Investment Advisory Agreement between the Registrant and Perkins Capital Management, Inc. with respect to the Perkins Discovery Fund is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 426 on Form N-1A filed on July 28, 2023 . (d)(4) Amended and Restated Investment Advisory Agreement between the Registrant and Applied Finance Advisors, LLC with respect to the Applied Finance Dividend Fund, Applied Finance Explorer Fund and Applied Finance Select Fund (collectively, the Applied Finance Funds ) is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 429 on Form N-1A on August 28, 2023 . (d)(5) Investment Advisory Agreement between the Registrant and LDR Capital Management, LLC with respect to the LDR High Income Realty Fund is herein incorporated by reference from the Registrant 's Post Effective Amendment No. 501 on Form N-1A f iled on April 29, 2026. (d)(6) Investment Advisory Agreement between the Registrant and Clifford Capital Partners, LLC with respect to the Clifford Capital Partners Fund, the Clifford Focused Small Cap Value Fund and the Clifford Capital International Value Fund is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 420 on Form N-1A filed on January 27, 2023 . (d)(7) Investment Advisory Agreement between the Registrant and Vest Financial LLC, with respect to the Vest US Large Cap 10% Buffer Strategies Fund, Vest US Large Cap 20% Buffer Strategies Fund, Vest S P 500 Dividend Aristocrats Target Income Fund and Vest Bitcoin Strategy Managed Volatility Fund is herein incorporated by reference from the Registrant s Post Effective Amendment No. 463 on Form N-1A filed on April 29, 2024. (d)(8) Management Agreement between Vest Cayman Subsidiary I and Vest Financial, LLC, with respect to the Vest Bitcoin Strategy Managed Volatility Fund is herein incorporated by reference from the Registrant s Post-Effective No. 394 on Form N-1A filed on August 6, 2021. (d)(9) Investment Advisory Agreement between the Registrant and Rule One Partners, LLC with respect to the Rule One Fund is herein incorporated by r\n...\nLLC with respect to the T-Rex 2X Long Bitcoin Daily Target ETF, the T-Rex 2X Inverse Bitcoin Daily Target ETF, T-Rex 2X Long Ether Daily Target ETF and the T-Rex 2X Inverse Ether Daily Target ETF is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 468 on Form N-1A filed on July 29, 2024. (e)(13) Form of Authorized Participant Agreement with Foreside Fund Services, LLC is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 479 on Form N-1A filed on October 18, 2024 . (f) Not applicable. (g)(1) Custody Agreement dated July 30, 2008 between the Registrant and UMB Bank, N.A., is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 241 on Form N-1A filed on October 4, 2017. (g)(2) Amended Appendix B and revised Appendix C to the Custody Agreement, dated July 30, 2008, between the Registrant and UMB Bank, N.A., to include the Union Street Partners Value Fund is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 88 on Form N-1A filed on August 15, 2014. (g)(3) Amended Appendix B and revised Appendix C to the Custody Agreement, dated July 30, 2008, between the Registrant and UMB Bank, N.A., to include the Perkins Discovery Fund is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 88 on Form N-1A filed on August 15, 2014. (g)(4) Amended Appendix B and revised Appendix C to the Custody Agreement, dated August 15, 2014 between the Registrant and UMB Bank, N.A., to include the LDR Real Estate Value-Opportunity Fund is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 418 on Form N-1A filed on October 3, 2022. (g)(5) Amended Exhibit A to the Custody Agreement between the Registrant and Fifth Third Bank on behalf of certain portfolio series is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 465 on Form N-1A filed on April 29, 2024. (g)(6) ETF Custody Agreement between the Registrant and U.S. Bank National Association on behalf of the T-Rex 2X Long Bitcoin Daily Target ETF and the T-Rex 2X Inverse Bitcoin Daily Target ETF is herein incorporated by reference from the Registrant s Post Effective-Amendment No. 468 on Form N-1A filed on July 29, 2024 . (g)(7) Custodian Agreement between the Registrant and U. S. Bank, N.A., on behalf of The Cook Bynum Fund is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 479 on Form N-1A filed on October 18, 2024 . (g)(8) ETF Custody Agreement Amendment between the Registrant and U.S. Bank National Association on behalf of the T-Rex 2X Long Ether Daily Target ETF and the T-Rex 2X Inverse Ether Daily Target ETF is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 479 on Form N-1A filed on October 18, 2024 . (g)(9) Transfer Agent Servicing Agreement between the Registrant and U.S. Bank Global Fund Services, LLC on behalf of the T-Rex 2X Long Bitcoin Daily Target ETF and the T-Rex 2X Inverse Bitcoin Daily Target ETF is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 468 on Form N-1A filed on July 29, 2024 . (g)(10) Transfer Agent Servicing Agreement Amendment between the Registrant and U.S. Bank Global Fund Services, LLC on behalf of the T-Rex 2X Long Ether Daily Target ETF and the T-Rex 2X Inverse Ether Daily Target ETF is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 479 on Form N-1A filed on October 18, 2024 . (h)(1) Fund Services Agreement date", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "transferAgent": ["Administrator"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:Applied_Finance_Dividend_Fund", "p": "administrator", "o": "org:Commonwealth_Fund_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Applied_Finance_Dividend_Fund", "p": "advisedBy", "o": "org:Applied_Finance_Advisors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Applied_Finance_Dividend_Fund", "p": "custodian", "o": "org:Fifth_Third_Bank", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Applied_Finance_Dividend_Fund", "p": "seriesOf", "o": "trust:World_Funds_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Applied_Finance_Dividend_Fund", "p": "transferAgent", "o": "org:Commonwealth_Fund_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Applied_Finance_Explorer_Fund", "p": "administrator", "o": "org:Commonwealth_Fund_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Applied_Finance_Explorer_Fund", "p": "advisedBy", "o": "org:Applied_Finance_Advisors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Applied_Finance_Explorer_Fund", "p": "custodian", "o": "org:Fifth_Third_Bank", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Applied_Finance_Explorer_Fund", "p": "seriesOf", "o": "trust:World_Funds_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Applied_Finance_Explorer_Fund", "p": "transferAgent", "o": "org:Commonwealth_Fund_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Applied_Finance_Select_Fund", "p": "administrator", "o": "org:Commonwealth_Fund_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Applied_Finance_Select_Fund", "p": "advisedBy", "o": "org:Applied_Finance_Advisors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Applied_Finance_Select_Fund", "p": "custodian", "o": "org:Fifth_Third_Bank", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Applied_Finance_Select_Fund", "p": "seriesOf", "o": "trust:World_Funds_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Applied_Finance_Select_Fund", "p": "transferAgent", "o": "org:Commonwealth_Fund_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:World_Funds_Trust", "p": "underwrittenBy", "o": "org:Foreside_Fund_Services_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> Applied Finance Dividend Fund <predicate_marker> administrator <object_marker> Commonwealth Fund Services, Inc. <predicate_marker> advisedBy <object_marker> Applied Finance Advisors, LLC <predicate_marker> custodian <object_marker> Fifth Third Bank <predicate_marker> seriesOf <object_marker> World Funds Trust <predicate_marker> transferAgent <object_marker> Commonwealth Fund Services, Inc. <triple_end>\n<triple_start> Applied Finance Explorer Fund <predicate_marker> administrator <object_marker> Commonwealth Fund Services, Inc. <predicate_marker> advisedBy <object_marker> Applied Finance Advisors, LLC <predicate_marker> custodian <object_marker> Fifth Third Bank <predicate_marker> seriesOf <object_marker> World Funds Trust <predicate_marker> transferAgent <object_marker> Commonwealth Fund Services, Inc. <triple_end>\n<triple_start> Applied Finance Select Fund <predicate_marker> administrator <object_marker> Commonwealth Fund Services, Inc. <predicate_marker> advisedBy <object_marker> Applied Finance Advisors, LLC <predicate_marker> custodian <object_marker> Fifth Third Bank <predicate_marker> seriesOf <object_marker> World Funds Trust <predicate_marker> transferAgent <object_marker> Commonwealth Fund Services, Inc. <triple_end>\n<triple_start> World Funds Trust <predicate_marker> underwrittenBy <object_marker> Foreside Fund Services LLC <triple_end>", "target_serialized_plain": "Applied Finance Dividend Fund administrator Commonwealth Fund Services, Inc. ; advisedBy Applied Finance Advisors, LLC ; custodian Fifth Third Bank ; seriesOf World Funds Trust ; transferAgent Commonwealth Fund Services, Inc. .\nApplied Finance Explorer Fund administrator Commonwealth Fund Services, Inc. ; advisedBy Applied Finance Advisors, LLC ; custodian Fifth Third Bank ; seriesOf World Funds Trust ; transferAgent Commonwealth Fund Services, Inc. .\nApplied Finance Select Fund administrator Commonwealth Fund Services, Inc. ; advisedBy Applied Finance Advisors, LLC ; custodian Fifth Third Bank ; seriesOf World Funds Trust ; transferAgent Commonwealth Fund Services, Inc. .\nWorld Funds Trust underwrittenBy Foreside Fund Services LLC .", "stats": {"input_chars": 15030, "n_triples": 16, "text_to_json_ratio": 10.9}}
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{"sample_id": "0001432353:ALL", "cik": "0001432353", "trust_name": "Global X Funds", "input_text": ", the signal indicates to exit the U.S. Treasury Position and enter the High Yield Bond Position. If the Z-score of the level of the VIX is below 2.00, based on historical data, it may indicate that the High Yield Bond Position will experience positive returns, and the signal votes to re-enter the High Yield Bond Position. Each of the signals are calculated daily by the Calculation Agent. Whenever the required number of signals are triggered, the Underlying Index allocates 100% weight to either the constituents of the High Yield Bond Position or the U.S. Treasury Position. As a result, the Fund may engage in active and frequent trading of its portfolio securities to achieve its investment objective. Whenever the Underlying Index rebalances into either the High Yield Bond Position or into the Treasury Position, the new weights go into effect four trading days after the decision and will be changed on a pro rata basis by 50% on the first day of rebalancing and by the remaining 50% on the next business day. After changing its allocation, the Underlying Index must remain in the same allocation (the High Yield Bond Position or the U.S. Treasury Position) for at least ten trading days before it can change its allocation again. The Fund's investment objective and Underlying Index may be changed without shareholder approval. In seeking to track the Underlying Index, the Fund may purchase the component securities of the High Yield Bond Position, the U.S. Treasury Position, and/or may purchase other ETFs that have economic characteristics that are similar to the economic characteristics of such component securities and/or high yield bonds. The Underlying Index is sponsored by the Index Provider, which is an organization that is independent of, and unaffiliated with, the Fund and Global X Management Company LLC, the investment adviser for the Fund (\"Adviser\"). As of April 24, 2026, the number of components comprising the Underlying Index was 1,259. The Fund's investment objective and Underlying Index may be changed without shareholder approval. The Adviser uses an indexing approach to try to achieve the Fund's investment objective. Unlike many investment companies, the Fund does not try to outperform the Underlying Index. The Fund generally uses a representative sampling strategy with respect to the Underlying Index. Representative sampling is an indexing strategy that involves investing in a representative sample of securities that collectively has an investment profile similar to the Underlying Index in terms of key risk factors, performance attributes and other characteristics. These include market capitalization and other financial characteristics of securities. The Fund may or may not hold all of the securities in the Underlying Index. In doing so, the Fund may not track its Underlying Index with the same degree of accuracy as when the Fund replicates the composition and weighting of the Underlying Index. The Adviser expects that, over time, the correlation between the Fund's performance and that of the Underlying Index, before fees and expenses, will exceed 95%. A correlation percentage of 100% would indicate perfect correlation. The Fund concentrates its investments (i.e., hold 25% or more of its total assets) in a particular industry or group of industries to approximately the same extent that the Underlying Index is concentrated. As of April 24, 2026, the Underlying Index was not concentrated in any industry or sector. The Fund is classified as non-diversified, which means it may invest a larger percentage of its assets in a smaller num\n...\nthe Fund could receive for a security may differ from the Fund s valuation of the security and may differ from the value used by the Underlying Index, particularly for securities that trade in low value or volatile markets or that are valued using a fair value methodology (such as during trading halts). The value of the securities in the Fund's portfolio may change on days when shareholders will not be able to purchase or sell the Fund's Shares. PERFORMANCE INFORMATION The Fund does not have a full calendar year of performance. Once the Fund has completed a full calendar year of operations, a bar chart and table will be included that will provide some indication of the risks of investing in the Fund by showing the variability of the Fund's returns and comparing the Fund's performance to a broad-based benchmark index and the Underlying Index. The Fund's performance is not necessarily indicative of how the Fund will perform in the future. FUND MANAGEMENT Investment Adviser: Global X Management Company LLC. Portfolio Managers: The professionals primarily responsible for the day-to-day management of the Fund are Nam To, CFA and Sandy Lu, CFA ( Portfolio Managers ). Messrs. To and Lu have been Portfolio Managers of the Fund since the Fund's inception. PURCHASE AND SALE OF FUND SHARES Shares of the Fund are or will be listed and traded at market prices on a national securities exchange. Shares may only be purchased and sold on the exchange through a broker-dealer. The price of Shares is based on market price, and because ETF shares trade at market prices rather than at NAV, Shares may trade at a price greater than NAV (a premium) or less than NAV (a discount). Only \"Authorized Participants\" (as defined in the SAI) who have entered into agreements with the Fund's distributor, SEI Investments Distribution Co. (\"Distributor\"), may engage in creation or redemption transactions directly with the Fund. The Fund will only issue or redeem Shares that have been aggregated into blocks called \"Creation Units\". The Fund will issue or redeem Creation Units in return for a basket of cash and/or securities that the Fund specifies any day that the national securities exchanges are open for business ( Business Day ). An investor may incur costs attributable to the difference between the highest price a buyer is willing to pay to purchase shares of the Fund (bid) and the lowest price a seller is willing to accept for shares of the Fund (ask) when buying or selling shares in the secondary market (the bid-ask spread ). To access information regarding the Fund s net asset value, market price, premiums and discounts, and bid-ask spreads, please go to www.globalxetfs.com. TAX INFORMATION The Fund intends to make distributions that may be taxable to you as ordinary income or capital gains, unless you are investing through a tax-advantaged arrangement such as a 401(k) plan or an individual retirement account (\"IRA\"), in which case distributions from such tax-advantaged arrangement may be taxable to you. 8 PAYMENTS TO BROKER-DEALERS AND OTHER FINANCIAL INTERMEDIARIES The Adviser and its related companies may pay broker-dealers or other financial intermediaries (such as a bank) for the sale of Fund Shares and related services. These payments may create a conflict of interest by influencing your broker-dealer, sales persons or other intermediary or its employees or associated persons to recommend the Fund over another investment. Ask your financial adviser or visit your financial intermediary's website for more information. 9 ADDITIONAL INFORMATION ABOUT THE FUND This\n...\nd for an extended period of time or may change states over relatively short periods of time. Disclaimer The Global X Adaptive Risk Managed Yield ETF and its common shares are not sponsored, endorsed, sold or promoted by NorthCrest Asset Management. NorthCrest Asset Management makes no representation or warranty, express or implied, to the shareholders of the Global X Adaptive Risk Managed Yield ETF or any member of the public regarding the advisability of investing in securities generally or in the Global X Adaptive Risk Managed Yield ETF particularly or the ability of any data supplied by NorthCrest Asset Management, to track general stock market performance. NorthCrest Asset Management's only relationship to the Adviser is the licensing of certain trademarks and trade names of Adaptive Wealth Strategies and of the data supplied by NorthCrest Asset Management related to the Adaptive Wealth Strategies Risk Managed Yield Index, which is determined, composed and calculated by Solactive AG without regard to the Global X Adaptive Risk Managed Yield ETF or its common shares. NorthCrest Asset Management has no obligation to take the needs of the Adviser or the shareholders of the Global X Adaptive Risk Managed Yield ETF into consideration in determining, composing or calculating the data supplied by NorthCrest Asset Management. NorthCrest Asset Management is not responsible for and has not participated in the determination of the prices of the common shares of the Global X Adaptive Risk Managed Yield ETF or the timing of the issuance or sale of such common shares. NorthCrest Asset Management has no obligation or liability in connection with the administration, marketing or trading of the Global X Adaptive Risk Managed Yield ETF or their common shares. OTHER SERVICE PROVIDERS SEI Investments Global Funds Services is the sub-administrator for the Fund. Brown Brothers Harriman Co. is the custodian and transfer agent for the Fund. Stradley Ronon Stevens Young, LLP serves as counsel for the Trust and the Trust's Independent Trustees. PricewaterhouseCoopers LLP will serve as the Fund's independent registered public accounting firm for the fiscal year ending November 30, 2026. ADDITIONAL INFORMATION The Trust enters into contractual arrangements with various parties, including among others, the Funds Adviser, sub-adviser(s) (as applicable), custodian(s), and transfer agent(s) who provide services to the Funds. Shareholders are not parties to any such contractual arrangements and are not intended beneficiaries of those contractual arrangements, and those contractual arrangements are not intended to create in any shareholder any right to enforce them against the service providers or to seek any remedy under them against the service providers, either directly or on behalf of the Trust. This Prospectus provides information concerning the Fund that investors should consider in determining whether to purchase Fund Shares. Neither this Prospectus nor the SAI is intended, or should be read, to be or give rise to an agreement or contract 29 between the Trust or the Fund and any investor, or to give rise to any rights in any shareholder or other person other than any rights under federal or state law that may not be waived. FINANCIAL HIGHLIGHTS Because the Fund had not commenced operations as of the November 30, 2025 fiscal year end, financial highlights are not yet available. OTHER INFORMATION The Fund is not sponsored, endorsed, sold or promoted by any national securities exchange. No national securities exchange makes any representation or warranty, express or implied, to the owners of Shares or any member of the public regarding\n...\nh securities are to be purchased or sold by the Trust or the Fund. The Distributor is not affiliated with the Trust, the Adviser or any stock exchange. Additionally, the Adviser or its affiliates may, from time to time, and from its own resources, pay, defray or absorb costs relating to distribution, including payments out of its own resources to SIDCO or to otherwise promote the sale of shares. CUSTODIAN AND TRANSFER AGENT Brown Brothers Harriman Co. (\"BBH\"), located at 50 Post Office Square, Boston, MA 02110, is the custodian of the Trust s portfolio securities and cash on behalf of the Fund. As custodian, BBH has agreed to (1) make receipts and disbursements of money on behalf of the Fund, (2) collect and receive all income and other payments and distributions on account of the Fund's portfolio investments, (3) respond to correspondence from shareholders, security brokers and others relating to its duties; and (4) make periodic reports to the Fund concerning the Fund s operations. BBH does not exercise any supervisory function over the purchase and sale of securities. As compensation for these services, BBH receives certain out-of-pocket costs, transaction fees and asset-based fees which are accrued daily and paid monthly by the Adviser from its fees. As transfer agent, BBH has agreed to (1) issue and redeem Shares of the Fund, (2) make dividend and other distributions to shareholders of the Fund, (3) respond to correspondence by shareholders and others relating to its duties; (4) maintain shareholder accounts, and (5) make periodic reports to the Fund. As compensation for these services, BBH receives certain out-of-pocket costs, transaction fees and asset-based fees which are accrued daily and paid monthly by the Adviser from its fees. SECURITIES LENDING AGENTS The Bank of New York Mellon and Mitsubishi UFJ Trust and Banking Corporation (\"MUFJ\") serve as the securities lending agents for the Trust. DESCRIPTION OF SHARES The Declaration of Trust of the Trust (\"Declaration\") permits the Trust's Board to issue an unlimited number of full and fractional shares of beneficial interest of one or more separate series representing interests in one or more investment portfolios. The Board of Trustees or the Trust may create additional series and each series may be divided into classes. Under the terms of the Declaration, each Share of the Fund represents a proportionate interest in the Fund with each other share of its class in the same Fund and is entitled to such dividends and distributions out of the income belonging to the Fund as are authorized by the Trustees and declared by the Trust. Upon any liquidation of the Fund, shareholders of each class of the Fund are entitled to share pro rata in the net assets belonging to that class available for distribution. Shares do not have any preemptive or conversion rights. The right of redemption is described in the Prospectus. In addition, pursuant to the terms of the 1940 Act, the right of a shareholder to redeem Shares and the date of payment by the Fund may be suspended for more than seven days (i) for any period during which the Exchange is closed, other than the customary weekends or holidays, or trading in the markets the Fund normally utilizes is closed or is restricted as determined by the SEC, (ii) during any emergency, as determined by the SEC, as a result of which it is not reasonably practicable for the Fund to dispose of instruments owned by it 32 or fairly to determine the value of its net assets, or (iii) for such other period as the SEC may by order permit for the protection of t\n...\npayment of financial obligations is uncertain. Vulnerable to future events. B: Highly speculative credit quality. There is a high level of uncertainty as to the capacity to meet financial obligations. CCC, CC, C: Very highly speculative credit quality. In danger of defaulting on financial obligations. There is little difference between these three categories, although CC and C ratings are normally applied to obligations that are seen as highly likely to default, or subordinated to obligations rated in the CCC to B range. Obligations in respect of which default has not technically taken place but is considered inevitable may be rated in the C category. D: When the issuer has filed under any applicable bankruptcy, insolvency or winding up statute or there is a failure to satisfy an obligation after the exhaustion of grace periods, a downgrade to D may occur. DBRS may also use SD (Selective Default) in cases where only some securities are impacted, such as the case of a \"distressed exchange.\" 57 PART C OTHER INFORMATION Item 28. (a) 1 Certificate of Trust dated March 6, 2008 . 1/ 2 Declaration of Trust dated September 8, 2008. 37/ 3 Amended and Restated Schedule A to the Declaration of Trust dated March 4, 2026. 45/ (b) 1 By-Laws of the Registrant dated September 8, 2008. 37/ 2 Amendment to By-Laws of the Registrant dated February 18, 2020. 37/ (c) Instruments Defining Rights of Security Holders, reference is made to: Article III, V, VI and VIII of the Declaration of Trust ; Article III and VIII of the By-Laws ; and Part B Statement of Additional Information - Item 22. (d) 1 Investment Advisory Agreement dated July 2, 2018 . 7/ 2 Amended and Restated Exhibit A to the Investment Advisory Agreement dated March 4, 2026. 45/ 3 Sub-Advisory Agreement between Global X Funds and Mirae Asset Global Investments (USA) LLC dated May 14, 2020 . 13/ 4 Amendment to Sub-Advisory Agreement between Global X Funds and Mirae Asset Global Investments (USA) LLC dated March 4, 2025. 39/ 5 Sub-Advisory Agreement between Global X Funds and Mirae Asset Global Investments (Hong Kong) Limited dated October 25, 2022. 25/ 6 Investment Advisory and Management Agreement between Global X Management Company LLC and the Global X Bitcoin Strategy Subsidiary I Limited dated November 9, 2021. 19/ 7 Investment Advisory and Management Agreement between Global X Management Company LLC and the Global X Bitcoin Trend Strategy Subsidiary Limited dated September 11, 2023. 33/ 8 Investment Advisory and Management Agreement between Global X Management Company LLC and the Global X Bitcoin Covered Call Subsidiary Limited dated September 15, 2025. 42/ 9 Investment Advisory and Management Agreement between Global X Management Company LLC and the Global X Commodity Strategy Subsidiary Limited dated November 20, 2025. 44/ 10 Investment Advisory and Management Agreement between Global X Management Company LLC and the Global X Ethereum Covered Call Subsidiary Limited dated November 20, 2025. 44/ (e) 1 Distribution Agreement dated October 24, 2008. 37/ 2 Form of Authorized Participant Agreement. 44/ 3 Amendment Number Six to the Distribution Agreement dated August 1, 2020. 14/ (f) Not Applicable. (g) 1 Custodian Agreement with Brown Brothers Harriman Co. (\"BBH\") dated October 20, 2008. 37/ 2 Amendment to the Custodian Agreement with BBH dated July 19, 2017 . 17/ 3 Amendment to the Custodian Agreement with BBH dated August 16, 2019 . 10/ 4 Amendment to the Custodian Agreement with BBH dated October 24, 2019 . 12/ 5 Amendment to the Custodian Agreement with BBH dated August 4, 2021. 18/ 6 Amendment to the Custodian Agreement with BBH dated March 1, 2023. 29/ 7 Amendment to the Custodian Agreement with BBH dated June 2, 2023. 30/ 8 Amendment to the Custodian Agreement with BBH dated July 25, 2023 . 31/ 9 Amendment to the Custodian Agreeme", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["Administrator"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "transferAgent": ["Custodian"], "subAdvisedBy": ["SubAdviser"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:Global_X_1_3_Month_T_Bill_ETF", "p": "administrator", "o": "org:Global_X_Management_Company_LLC", "alias_grounded": 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{"sample_id": "0001439297:ALL", "cik": "0001439297", "trust_name": "INTERNATIONAL GROWTH & INCOME FUND", "input_text": "/A\nShare\nclasses (before\ntaxes)\nInception\ndate\n1\nyear\n5\nyears\n10\nyears\nLifetime\nA\n(with maximum sales charge)\n10/1/2008\n2.65 %\n2.32 %\n3.73 %\n5.66 %\nC\n10/1/2008\n1.53\n2.77\n3.71\n5.63\nF-1\n10/1/2008\n3.31\n3.53\n4.32\n6.01\nF-3\n1/27/2017\n3.69\n3.93\nN/A\n6.24\n529-A\n(with maximum sales charge)\n10/1/2008\n0.35\n2.78\n3.93\n5.75\n529-C\n10/1/2008\n1.48\n2.73\n3.90\n5.72\n529-E\n10/1/2008\n3.09\n3.32\n4.09\n5.74\n529-F-1\n10/1/2008\n3.48\n3.73\n4.52\n6.21\n529-F-2\n10/30/2020\n3.57\nN/A\nN/A\n7.89\n529-F-3\n10/30/2020\n3.63\nN/A\nN/A\n7.94\nR-1\n10/1/2008\n2.56\n2.80\n3.60\n5.35\nR-2\n10/1/2008\n2.59\n2.80\n3.56\n5.22\nR-2E\n8/29/2014\n2.86\n3.11\n3.92\n2.99\nR-3\n10/1/2008\n3.02\n3.26\n4.04\n5.71\nR-4\n10/1/2008\n3.33\n3.57\n4.36\n6.04\nR-5E\n11/20/2015\n3.56\n3.77\nN/A\n5.61\nR-5\n10/1/2008\n3.63\n3.89\n4.67\n6.36\nR-6\n5/1/2009\n3.69\n3.94\n4.72\n7.17\nIndexes\n1\nyear\n5\nyears\n10\nyears\nLifetime (from Class\nF-2 inception)\nMSCI\nAll Country World ex USA Index (reflects no deductions for sales charges, account fees, expenses or U.S. federal income taxes)\n5.53 %\n4.10 %\n4.80 %\n4.87 %\nClass\nF-2 annualized 30-day yield at June 30, 2025: 2.48 % (For\ncurrent yield information, please call American Funds Service Company at (800)\n421-4225 or visit capitalgroup.com.)\nAfter-tax\nreturns are shown only for Class F-2 shares; after-tax returns for other share classes will vary. After-tax\nreturns are calculated using the highest individual federal income tax rates in effect during each year of the periods shown and do not\nreflect the impact of state and local taxes. Your\nactual after-tax returns depend on your individual tax situation and likely will differ from the results shown above. In addition, after-tax\nreturns are not relevant if you hold your fund shares through a tax-favored arrangement, such as a 401(k) plan, individual retirement\naccount (IRA) or 529 college savings plan.\n7 International\nGrowth and Income Fund / Prospectus\nManagement\nInvestment\nadviser Capital Research and Management Company Portfolio managers The\nindividuals primarily responsible for the portfolio management of the fund are:\nPortfolio\nmanager/ Fund\ntitle (if applicable)\nPortfolio\nmanager in\nthis fund since:\nPrimary\ntitle with investment adviser\nBarbara\nBurtin\n2023\nPartner\nCapital World Investors\nBobby\nChada\n2021\nPartner\nCapital International Investors\nMichael\nCohen\n2018\nPartner\nCapital World Investors\nPatrice\nCollette\n2010\nPartner\nCapital World Investors\nLeo\nHee\n2015\nPartner\nCapital World Investors\nAndrew\nB. Suzman Co-President\n2008\nPartner\nCapital World Investors\nLisa\nThompson\n2018\nPartner\nCapital International Investors\nSteven\nT. Watson Co-President\n2008\nPartner\nCapital International Investors\nPurchase\nand sale of fund shares The minimum\namount to establish an account for all share classes is normally $250 and the minimum to add to an account is $50. For a payroll deduction\nretirement plan account, payroll deduction savings plan account or employer-sponsored 529 account, the minimum is $25 to establish or\nadd to an account. For accounts with Class F-3 shares held and serviced by the fund s transfer agent, the minimum investment amount\nis $1 million.\nIf\nyou are a retail investor, you may sell (redeem) shares on any business day through your dealer or financial professional or by writing\nto American Funds Service Company at P.O. Box 6007, Indianapolis, Indiana 46206-6007; telephoning American\nFunds Service Company at (800) 421-4225; faxing American Funds Service Company at (888) 421-4351; or accessing our website at\ncapitalgroup.com. Please contact your plan administrator or recordkeeper to sell (redeem) shares from your retirement plan.\nTax\ninformation Dividends\nand capital gain distributions you receive from the fund are subject to federal income taxes and may also be subject to state and local\ntaxes, unless you are tax-exempt or your account is tax-favored (in which case you may be taxed later, upon withdrawal of your investment\nfrom such account).\nPayments\nto broker-dealers and other financial intermediaries If\nyou purchase shares of the fund through a broker-dealer or other financial intermediary (such as a bank), the fund and the fund s\ndistributor or its affiliates may pay the intermediary for the sale of fund shares and related services. These payments may create a conflict\nof interest by influencing the broker-dealer or other intermediary and your individual financial professional to recommend the fund over\nanother investment. Ask your individual financial professional or visit your financial intermediary s website for more information.\nInternational\nGrowth and Income Fund / Prospectus 8\nInvestment\nobjective, strategies and risks The\nfund s investment objective is to provide you with long-term growth of capital while providing current income. While it has no\npresent intention to do so, the fund s board may change the fund s investment objective without shareholder approval upon\n60 days prior written notice to shareholders. The fund pursues this objective by investing primarily in stocks of companies domiciled\noutside the United States, including\n...\nportfolio\nmanagers compensation, their ownership of securities in the fund and other accounts they manage is in the statement of additional\ninformation.\nCertain privileges\nand/or services described on the following pages of this prospectus and in the statement of additional information may not be available\nto you, depending on your investment dealer or retirement plan recordkeeper. Please see your financial professional or retirement\nplan recordkeeper for more information.\n17 International\nGrowth and Income Fund / Prospectus\nShareholder\ninformation\nShareholder\nservices American Funds Service Company, the fund s transfer agent, offers a wide range of\nservices that you can use to alter your investment program should your needs or circumstances change. These services may be terminated\nor modified at any time upon 60 days prior written notice.\nA more\ndetailed description of policies and services is included in the fund s statement of additional information and the owner s\nguide sent to new American Funds shareholders entitled Welcome . Class 529 shareholders should also refer to the applicable program\ndescription for information on policies and services relating specifically to their account(s). These\ndocuments are available by writing to or calling American Funds Service Company.\nInternational\nGrowth and Income Fund / Prospectus 18\nUnless\notherwise noted or unless the context requires otherwise, references on the following pages to (i) Class A, C, T or F shares also refer\nto the corresponding Class 529-A, 529-C, 529-T or 529-F shares, (ii) Class F shares refer to Class F-1, F-2 and F-3 shares and\n(iii) Class R shares refer to Class R-1, R-2, R-2E, R-3, R-4, R-5E, R-5 and R-6 shares.\nPurchase,\nexchange and sale of shares The\nfund s transfer agent, on behalf of the fund and Capital Client Group, Inc., the fund s distributor, is required by law\nto obtain certain personal information from you or any other person(s) acting on your behalf in order to verify your identity or such\nother person s identity. If you do not provide the information, the transfer agent may not be able to open your account. If the\ntransfer agent is unable to verify your identity or that of any other person(s) authorized to act on your behalf, or believes it has identified\npotentially criminal activity, the fund and Capital Client Group, Inc. reserve the right to close your account or take such other action\nthey deem reasonable or required by law.\nWhen\npurchasing shares, you should designate the fund or funds in which you wish to invest. Subject to the exception below, if no fund is designated,\nyour money will be held uninvested (without liability to the transfer agent for loss of income or appreciation pending receipt of proper\ninstructions) until investment instructions are received, but for no more than three business days. Your investment will be made at the\nnet asset value (plus any applicable sales charge, in the case of Class A or Class T shares) next determined after investment instructions\nare received and accepted by the transfer agent. If investment instructions are not received, your money will be invested in Class A shares\n(or, if you are investing through a financial intermediary who offers only Class T shares, in Class T shares) of American Funds\nU.S. Government Money Market Fund on the third business day after receipt of your investment.\nIf the amount\nof your cash investment is $10,000 or less, no fund is designated, and you made a cash investment (excluding exchanges) within the last\n16 months, your money will be invested in the same proportion and in th\n...\ne fund may lend portfolio securities to brokers, dealers or other institutions\nthat provide cash or U.S. Treasury securities as collateral in an amount at least equal to the value of the securities loaned. While portfolio\nsecurities are on loan, the fund will continue to receive the equivalent of the interest and the dividends or other distributions paid\nby the issuer on the securities, as well as a portion of the interest on the investment of the collateral. Additionally, although the\nfund will not have the right to vote on securities while they are on loan, the fund has a right to consent on corporate actions and a\nright to recall each loan to vote on proposals, including proposals involving material events affecting securities loaned. The fund has\ndelegated the decision to lend portfolio securities to the investment adviser. The adviser also has the discretion to consent on corporate\nactions and to recall securities on loan to vote. In the event the adviser deems a corporate action or proxy vote material, as determined\nby the adviser based on factors relevant to the fund, it will use reasonable efforts to recall the securities and consent to or vote on\nthe matter.\nSecurities\nlending involves risks, including the risk that the loaned securities may not be returned in a timely manner or at all, which would interfere\nwith the fund s ability to vote proxies or settle transactions, and/or the risk of a counterparty default. Additionally, the fund\nmay lose money from the reinvestment of collateral received on loaned securities in investments that decline in value, default or do not\nperform as expected. The fund will make loans only to parties deemed by the fund s adviser to be in good standing and when, in the\nadviser s judgment, the income earned would justify the risks.\nJPMorgan\nChase Bank, N.A. ( JPMorgan ) serves as securities lending agent for the fund. As the securities lending agent, JPMorgan administers\nthe fund s securities lending program pursuant to the terms of a securities lending agent agreement entered into between the fund\nand JPMorgan. Under the terms of the agreement, JPMorgan is responsible for making available to approved borrowers securities from the\nfund s portfolio. JPMorgan is also responsible for the administration and management of the fund s securities lending program,\nincluding the preparation and execution of an agreement with each borrower governing the terms and conditions of any securities loan,\nensuring that securities loans are properly coordinated and documented, ensuring that loaned securities are valued daily and that the\ncorresponding required collateral is delivered by the borrowers, arranging for the investment of collateral received from borrowers, and\narranging for the return of loaned securities to the fund in accordance with the fund s instructions or at loan termination. As\ncompensation for its services, JPMorgan receives a portion of the amount earned by the fund for lending securities.\nThe\nfollowing table sets forth, for the fund s most recently completed fiscal year, the fund s dollar amount of income and fees\nand/or other compensation related to its securities lending activities. Net income from securities lending activities may differ from\nthe amount reported in the fund s Form N-CSR, which reflects estimated accruals.\nGross\nincome from securities lending activities\n$2,812,000\nFees\npaid to securities lending agent from a revenue split\n37,000\nFees\npaid for any cash collateral management service (including fees deducted from a pooled cash collateral reinvestment vehicle) not included\nin the", "ontology": {"Fund": {"advisedBy": ["Administrator"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "transferAgent": ["TransferAgent"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:International_Growth_and_Income_Fund", "p": "advisedBy", "o": "org:Capital_Research_and_Management_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:International_Growth_and_Income_Fund", "p": "custodian", "o": "org:JPMorgan_Chase_Bank_N_A", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:International_Growth_and_Income_Fund", "p": "seriesOf", "o": "trust:INTERNATIONAL_GROWTH_INCOME_FUND", "alias_grounded": true, "grounded": false, "context_grounded": false, "extractable": true}, {"s": "fund:International_Growth_and_Income_Fund", "p": "transferAgent", "o": "org:American_Funds_Service_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:INTERNATIONAL_GROWTH_INCOME_FUND", "p": "underwrittenBy", "o": "org:Capital_Client_Group_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> International Growth and Income Fund <predicate_marker> advisedBy <object_marker> Capital Research and Management Company <predicate_marker> custodian <object_marker> JPMorgan Chase Bank, N.A. <predicate_marker> seriesOf <object_marker> INTERNATIONAL GROWTH & INCOME FUND <predicate_marker> transferAgent <object_marker> American Funds Service Company <triple_end>\n<triple_start> INTERNATIONAL GROWTH & INCOME FUND <predicate_marker> underwrittenBy <object_marker> Capital Client Group, Inc. <triple_end>", "target_serialized_plain": "International Growth and Income Fund advisedBy Capital Research and Management Company ; custodian JPMorgan Chase Bank, N.A. ; seriesOf INTERNATIONAL GROWTH & INCOME FUND ; transferAgent American Funds Service Company .\nINTERNATIONAL GROWTH & INCOME FUND underwrittenBy Capital Client Group, Inc. .", "stats": {"input_chars": 12220, "n_triples": 5, "text_to_json_ratio": 23.5}}
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{"sample_id": "0001552947:ALL", "cik": "0001552947", "trust_name": "TWO ROADS SHARED TRUST", "input_text": "Member\n2025-01-01\n2025-12-31\n0001552947\ntrst:S000075684Member\ntrst:SAndP500TotalReturnIndexReflectsNoDeductionForFeesExpensesOrTaxesMember\n2022-03-30\n2025-12-31\niso4217:USD\nxbrli:shares\niso4217:USD\nxbrli:shares\nxbrli:pure\nFiled with the Securities and Exchange\nCommission on May 29, 2026\n1933 Act Registration File No.\n333-182417\n1940 Act File No. 811-22718\nSECURITIES AND EXCHANGE COMMISSION\nWashington, D.C. 20549\nFORM N-1A\nREGISTRATION STATEMENT UNDER THE SECURITIES ACT OF\n1933 x\no Pre-Effective\nAmendment No.\nx Post-Effective\nAmendment No. 433\nand/or\nREGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY\nACT OF 1940 x\nx Amendment\nNo. 436\n(Check appropriate box or boxes.)\nTWO ROADS SHARED TRUST\n(Exact Name of Registrant as Specified\nin Charter)\n225 Pictoria Drive, Suite 450\nCincinnati, OH 45246\n(Address of Principal Executive\nOffices, including Zip Code)\nRegistrant s Telephone Number,\nincluding Area Code:\n631-490-4300\nThe Corporation Trust Company\n1209 Orange Street\nWilmington, DE 19801\n(Name and. Address of Agent for\nService)\nCopy to:\nStacy\nH. Louizos\nBlank Rome LLP\n1271 Avenue of the Americas\nNew York, NY 10020\nTimothy\nBurdick\nUltimus Fund Solutions, LLC\n80 Arkay Drive, Suite 110\nHauppauge, NY 11788\nIt is proposed that this filing will become effective\n(check appropriate box)\no immediately\nupon filing pursuant to paragraph (b)\nx on\nMay 31, 2026 pursuant to paragraph (b)\no 60\ndays after filing pursuant to paragraph (a)(l)\no on\n(date) pursuant to paragraph (a)(l)\no 75\ndays after filing pursuant to paragraph (a)(2)\no on\n(date) pursuant to paragraph (a)(2) of Rule 485.\nIf\nappropriate, check the following box: o this post-effective amendment designates a new effective\ndate for a previously filed post-effective amendment.\nRegents\nPark Hedged Market Strategy ETF\nRPHS\na\nseries of Two Roads Shared Trust\nPROSPECTUS\nMay\n31, 2026\nAdvised\nby:\nRegents Park Funds, LLC\n19900 MacArthur Blvd., Suite 655\nIrvine, CA 92612\nRegentsParkFunds.com\n1-866-866-4848\nThis\nProspectus provides important information about the Regents Park Hedged Market Strategy ETF that you should know before investing. Please\nread it carefully and keep it for future reference.\nThese\nsecurities have not been approved or disapproved by the Securities and Exchange Commission ( SEC ) nor has the SEC passed\nupon the accuracy or adequacy of this Prospectus. Any representation to the contrary is a criminal offense.\nShares\nof the Regents Park Hedged Market Strategy ETF (the Fund )\nare listed and traded on the Cboe BZX Exchange, Inc. (the Exchange ).\nImportant\nNote: On January 20, 2026, the Board of Trustees of the Two Roads Shared Trust approved an Agreement and Plan of Reorganization\n(the Plan ) pursuant to which each of the Fund, Anfield Universal Fixed Income Fund, Anfield Enhanced Market Strategy\nETF, Anfield U.S. Equity Sector Rotation ETF, Anfield Universal Fixed Income ETF, and Anfield Dynamic Fixed Income ETF (each an\nExisting Fund ) will reorganize into a corresponding newly created series (each an Acquiring Fund ) of Horizon\nFunds (each a Reorganization and collectively, the Reorganizations ). The Existing Funds are managed by\nAnfield Capital Management, LLC ( Anfield ) or Regents Park Funds, LLC ( Regents Park ), affiliated investment\nadvisers owned by Anfield Group, LLC. Regents Park serves as the investment adviser and Anfield serves as the investment sub-adviser\nto the Fund. Anfield and Regents Park, together with Anfield Group, LLC and certain other related persons, entered into an asset\npurchase agreement with Horizon Investments, LLC ( Horizon ), pursuant to which Horizon will\n...\nlver and Young have managed the Fund since it commenced operations in 2022. Mr. Baxter has managed the Fund since 2023 and Mr. Conseil\nhas managed the Fund since 2024.\nPurchase\nand Sale of Fund Shares: The Fund will issue and redeem shares at NAV only in large blocks of 25,000 shares (each block of shares\nis called a Creation Unit ). Creation Units are issued and redeemed for cash and/or in-kind for securities. Except when\naggregated in Creation Units, the shares are not redeemable securities of the Fund.\nShares\nof the Fund are listed for trading on the Exchange and trade at market prices rather than NAV. Individual shares of the Fund may only\nbe purchased and sold in secondary market transactions through a broker or dealer at market price. Because shares trade at market prices,\nrather than NAV, shares of the Fund may trade at a price that is greater than NAV ( i.e. , a premium) or less than NAV ( i.e. ,\na discount).\nAn\ninvestor may incur costs attributable to the difference between the highest price a buyer is willing to pay to purchase shares of the\nFund (bid) and the lowest price a seller is willing to accept for shares of the Fund (ask) when buying or selling shares in the secondary\nmarket (the bid-ask spread ).\nRecent\ninformation, including information about the Fund s NAV, market price, premiums and discounts, and bid-ask spreads, is included\non the Fund s website at RegentsParkFunds.com .\nTax\nInformation: The Fund s distributions generally will be taxable as ordinary income, long-term capital gains or qualified dividend\nincome, or a combination of the three. A sale of shares may result in capital gain or loss.\nPayments\nto Broker-Dealers and Other Financial Intermediaries: If you purchase the Fund through a broker-dealer or other financial intermediary\n(such as a bank), the Fund and its related companies, including the Adviser or the Sub-Adviser, may pay the intermediary for the sale\nof Fund shares and related services. These payments may create a conflict of interest by influencing the broker-dealer or other intermediary\nand your salesperson to recommend the Fund over another investment. Ask your salesperson or visit your financial intermediary s\nwebsite for more information.\n9\nADDITIONAL\nINFORMATION ABOUT INVESTMENT OBJECTIVE, PRINCIPAL INVESTMENT STRATEGIES AND RELATED RISKS\nThis\nsection provides more detailed information regarding the Fund s investment objective, principal investment strategies and certain\nrelated risks of investing in the Regents Park Hedged Market Strategy ETF (the Fund ) and discussed in the Fund Summary,\nas well as information about additional investment strategies and techniques that the Fund may employ in pursuing its investment objective.\nThe Fund may make other types of investments to the extent permitted by applicable law. Additional information about the Fund, its investment\nstrategies and risks can also be found in the Fund s Statement of Additional Information ( SAI ). This section also\nprovides information regarding the Fund s disclosure of portfolio holdings. The investment objective and the investment strategies\nof the Fund are non-fundamental, which means that they may be changed without shareholder approval.\nInvestment\nObjective: The investment objective of the Fund is to seek to provide capital appreciation through exposure to the U.S. Large Cap\nequity market while hedging overall market risk. The Fund s investment objective may be changed by the Fund s Board of Trustees\nupon 60 days prior written notice to shareholders. There is no assurance that the Fund will achieve its investment object\n...\nies), those trades do not cause the harmful effects that may result\nfrom frequent cash trades. To the extent trades are effected in whole or in part in cash, those trades could result in dilution to the\nFund and increased transaction costs, which could negatively impact the Fund s ability to achieve its investment objective. However,\ndirect trading by APs is critical to ensuring that the Fund s shares trade at or close to NAV. The Fund also employs fair valuation\npricing to minimize potential dilution from market timing. In addition, the Fund imposes transaction fees on purchases and redemptions\nof Fund shares to cover the custodial and other costs incurred by the Fund in effecting trades. These fees increase if an investor substitutes\ncash in part or in whole for securities, reflecting the fact that the Fund s trading costs increase in those circumstances. Given\nthis structure, the Trust has determined that it is not necessary to adopt policies and procedures to detect and deter market timing\nof the Fund s shares.\nDISTRIBUTION\nAND SERVICE PLAN\nThe\nFund has adopted a distribution and service plan ( Plan ) pursuant to Rule 12b-1 under the 1940 Act. Under the Plan, the\nFund is authorized to pay distribution fees to the distributor and other firms that provide distribution and shareholder services ( Service\nProviders ). If a Service Provider provides these services, the Fund may pay fees at an annual rate not to exceed 0.25% of average\ndaily net assets, pursuant to Rule 12b-1 under the 1940 Act.\nNo\ndistribution or service fees are currently paid by the Fund, and there are no current plans to impose these fees. In the event Rule 12b-1\nfees were charged, over time they would increase the cost of an investment in the Fund.\nAdditional\nCompensation to Financial Intermediaries: Northern Lights Distributors, LLC, the Fund s\ndistributor, its affiliates, and the Fund s Adviser or Sub-Adviser or their affiliates may, at their own expense and out of their\nown legitimate profits, provide additional cash payments to financial intermediaries who sell shares of the Fund, including affiliates\nof the Adviser or Sub-Adviser. Financial intermediaries include brokers, financial planners, banks, insurance companies, retirement or\n401(k) plan administrators and others. These payments may be in addition to any Rule 12b-1 fees that the Fund could charge pursuant to\na Rule 12b-1 plan and any sales charges that are disclosed elsewhere in this Prospectus. These payments are generally made to financial\nintermediaries that provide shareholder or administrative services, or marketing support. Marketing support may include access to sales\nmeetings, sales representatives and financial intermediary management representatives, inclusion of the Fund on a sales list, including\na preferred or select sales list, or other sales programs. These payments also may be made as an expense reimbursement in cases where\nthe financial intermediary provides shareholder services to Fund shareholders.\nDIVIDENDS,\nOTHER DISTRIBUTIONS AND TAXES\nUnlike\ninterests in conventional mutual funds, which typically are bought and sold from and to the fund only at closing NAVs, the Fund s\nshares are traded throughout the day in the secondary market on a national securities exchange on an intra-day basis and are created\nand redeemed for cash and/or in-kind in Creation Units at each day s next calculated NAV. In a conventional mutual fund, redemptions\ncan have an adverse tax impact on taxable shareholders if the mutual fund needs to sell portfolio securities to obtain cash to meet net\nfund redemptions.\n...\nund, and losses realized by the Fund\non positions that are part of a straddle may be deferred under the straddle rules, rather than being taken into account in calculating\ntaxable income for the taxable year in which the losses are realized. In addition, certain carrying charges (including interest expense)\nassociated with positions in a straddle may be required to be capitalized rather than deducted currently. Certain elections that the\nFund may make with respect to its straddle positions may also affect the amount, character and timing of the recognition of gains or\nlosses from the affected positions.\n26\nThe\ntax consequences of straddle transactions to the Fund are not entirely clear in all situations under currently available authority. The\nstraddle rules may increase the amount of short-term capital gain realized by the Fund, which is taxed as ordinary income when distributed\nto U.S. shareholders in a non-liquidating distribution. Because application of the straddle rules may affect the character of gains or\nlosses, defer losses and/or accelerate the recognition of gains or losses from the affected straddle positions, if the Fund makes a non-liquidating\ndistribution of its short-term capital gain, the amount which must be distributed to U.S. shareholders as ordinary income may be increased\nor decreased substantially as compared to a fund that did not engage in such transactions.\nThe\nforegoing discussion summarizes some of the possible consequences under current U.S. federal income tax law of an investment in the Fund.\nIt is not a substitute for personal tax advice. Consult your personal tax advisor about the potential tax consequences of an investment\nin the shares under all applicable tax laws. See TAX STATUS in the SAI for more information.\nFUND\nSERVICE PROVIDERS\nUltimus\nFund Solutions, LLC ( Ultimus ) is the Fund s administrator and fund accountant. It has its principal office at 225\nPictoria Drive, Suite 450, Cincinnati, Ohio 45246, and is primarily in the business of providing administrative, fund accounting\nand transfer agent services to retail and institutional mutual funds. Ultimus is an affiliate of Northern Lights Distributors, LLC.\nBrown\nBrothers Harriman Co. ( BBH ), 50 Post Office Square, Boston, MA 02110, is the Fund s custodian and transfer\nagent.\nNorthern\nLights Distributors, LLC (the Distributor ), 4221 North 203rd Street, Suite 100, Elkhorn, Nebraska 68022, is the distributor\nfor the shares of the Fund. The Distributor is a registered broker-dealer and member of the Financial Industry Regulatory Authority,\nInc. ( FINRA ).\nBlank\nRome LLP, 1271 Avenue of the Americas, New York, NY 10020, serves as legal counsel to the Trust.\nDeloitte\nTouche LLP, 695 Town Center Drive, Suite 1000, Costa Mesa, CA 92626, serves as the Fund s independent registered public accounting\nfirm, providing services including (i) audit of annual financial statements, (ii) review of certain documents to be filed with the U.S.\nSecurities and Exchange Commission and (iii) other audit related and tax services including preparation of the Fund s tax returns.\nOTHER\nINFORMATION\nInvestment\nby Other Investment Companies\nFor\npurposes of the 1940 Act, the Fund is a registered investment company, and the acquisition of the Fund s shares by other investment\ncompanies is subject to the restrictions of Section 12(d)(1) thereof. Rule 12d1-4 under the 1940 Act allows a registered investment company\nto invest in Fund shares beyond the limits of Section 12(d)(1) subject to certain conditions, including that a registered investment\ncompany enters into an Investmen\n...\nBRS\nuses rating symbols as a concise method of expressing its opinion to the market but there are a limited number of rating categories for\nthe possible slight risk differentials that exist across the rating spectrum and DBRS does not assert that credit ratings in the same\ncategory are of exactly the same quality.\nB- 9\nPART\nC\nOTHER\nINFORMATION\nItem\n28.\nExhibits.\n(a)\n(1)\nAmended\nAgreement and Declaration of Trust dated May 28, 2019 is incorporated herein by reference to the Registrant s Registration\nStatement filed on August 28, 2019.\n(2)\nCertificate\nof Trust as filed with the State of Delaware on June 8, 2012 is incorporated herein by reference to\nthe Registrant s Registration Statement filed on June 28, 2012.\n(b)\nRegistrant s\nAmended and Restated By Laws is incorporated herein by reference to the Registrant s\nRegistration\nStatement filed on September 25, 2018.\n(c)\nInstruments\nDefining Rights of Security Holders see relevant portions of Certificate of Trust and By-Laws\n(d)\n(1)\nInvestment\nAdvisory Agreement between Registrant and Redwood Investment Management, LLC with respect to the Redwood Managed Volatility Fund\nis incorporated herein by reference to the Registrant s Registration Statement filed on October 22, 2013.\n(2)\nInvestment\nAdvisory Agreement between Registrant and Anfield Capital Management, LLC, with respect to the Anfield Universal Fixed Income Fund\nis incorporated herein by reference to the Registrant s Registration Statement filed on August 11, 2014.\n(3)\nInvestment\nAdvisory Agreement between Registrant and Hanlon Investment Management, Inc., with respect to the Tactical Dividend and Momentum\nFund is incorporated herein by reference to the Registrant s Registration Statement filed on August 12, 2015.\n(4)\nInvestment\nAdvisory Agreement between Registrant and Holbrook Holdings, Inc. with respect to the Holbrook Income Fund is incorporated herein\nby reference to the Registrant s Registration Statement filed on June 13, 2016.\n(5)\nAmended\nExhibit A to the Investment Advisory Agreement between Registrant and Holbrook Holdings, Inc. reflecting the addition of Holbrook\nStructured Income Fund is incorporated herein by reference to the Registrant s Registration Statement filed on March 21, 2022.\n(6)\nInvestment\nAdvisory Agreement between Registrant and Redwood Investment Management, LLC dated February 21, 2017 is incorporated herein by reference\nto the Registrant s Registration Statement filed on March 8, 2017.\n(7)\nInvestment\nAdvisory Agreement between Registrant and Recurrent Investment Advisors, LLC with respect to the Recurrent Natural Resources Fund\nand the Recurrent MLP Infrastructure Fund is incorporated herein by reference to the Registrant s Registration Statement\nfiled on October 24, 2017.\n(8)\nInvestment\nAdvisory Agreement between Registrant and Regents Park Funds, LLC is incorporated herein by reference to the Registrant s Registration\nStatement filed on December 27, 2017.\n(9)\nAmended\nExhibit A to the Investment Advisory Agreement dated February 21, 2017 between Registrant and Redwood Investment Management, LLC\nis incorporated herein by reference to the Registrant s Registration Statement filed on August 28, 2019.\n(10)\nInvestment\nSub-Advisory Agreement between Registrant and Affinity Investment Advisors, LLC with respect to the Simplify Affinity\nWorld Leaders Equity ETF to be filed by subsequent amendment.\n(11)\nInvestment\nAdvisory Agreement between Registrant and Anfield Capital Management, LLC with respect to the Anfield Enhanced Market ETF is incorporated\nherein by reference to the Registrant s Registration Statement file", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "transferAgent": ["Administrator"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:Holbrook_Income_Fund", "p": "administrator", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Holbrook_Income_Fund", "p": "advisedBy", "o": "org:Holbrook_Holdings_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Holbrook_Income_Fund", "p": "custodian", "o": "org:U_S_Bank_National_Association", "alias_grounded": true, "grounded": false, "context_grounded": false, "extractable": true}, {"s": "fund:Holbrook_Income_Fund", "p": "seriesOf", "o": "trust:TWO_ROADS_SHARED_TRUST", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Holbrook_Income_Fund", "p": "transferAgent", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Holbrook_Structured_Income_Fund", "p": "administrator", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Holbrook_Structured_Income_Fund", "p": "advisedBy", "o": "org:Holbrook_Holdings_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Holbrook_Structured_Income_Fund", "p": "custodian", "o": "org:U_S_Bank_National_Association", "alias_grounded": true, "grounded": false, "context_grounded": false, "extractable": true}, {"s": "fund:Holbrook_Structured_Income_Fund", "p": "seriesOf", "o": "trust:TWO_ROADS_SHARED_TRUST", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Holbrook_Structured_Income_Fund", "p": "transferAgent", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:TWO_ROADS_SHARED_TRUST", "p": "underwrittenBy", "o": "org:Northern_Lights_Distributors", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> Holbrook Income Fund <predicate_marker> administrator <object_marker> Ultimus Fund Solutions, LLC <predicate_marker> advisedBy <object_marker> Holbrook Holdings, Inc. <predicate_marker> custodian <object_marker> U.S. Bank National Association <predicate_marker> seriesOf <object_marker> TWO ROADS SHARED TRUST <predicate_marker> transferAgent <object_marker> Ultimus Fund Solutions, LLC <triple_end>\n<triple_start> Holbrook Structured Income Fund <predicate_marker> administrator <object_marker> Ultimus Fund Solutions, LLC <predicate_marker> advisedBy <object_marker> Holbrook Holdings, Inc. <predicate_marker> custodian <object_marker> U.S. Bank National Association <predicate_marker> seriesOf <object_marker> TWO ROADS SHARED TRUST <predicate_marker> transferAgent <object_marker> Ultimus Fund Solutions, LLC <triple_end>\n<triple_start> TWO ROADS SHARED TRUST <predicate_marker> underwrittenBy <object_marker> Northern Lights Distributors <triple_end>", "target_serialized_plain": "Holbrook Income Fund administrator Ultimus Fund Solutions, LLC ; advisedBy Holbrook Holdings, Inc. ; custodian U.S. Bank National Association ; seriesOf TWO ROADS SHARED TRUST ; transferAgent Ultimus Fund Solutions, LLC .\nHolbrook Structured Income Fund administrator Ultimus Fund Solutions, LLC ; advisedBy Holbrook Holdings, Inc. ; custodian U.S. Bank National Association ; seriesOf TWO ROADS SHARED TRUST ; transferAgent Ultimus Fund Solutions, LLC .\nTWO ROADS SHARED TRUST underwrittenBy Northern Lights Distributors .", "stats": {"input_chars": 18019, "n_triples": 11, "text_to_json_ratio": 18.6}}
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{"sample_id": "0001562565:ALL", "cik": "0001562565", "trust_name": "Fidelity Merrimack Street Trust", "input_text": "nd's\nshares\nfrom year to\nyear and compares the performance of the\nfund's\nshares to the performance of a securities market index and a hypothetical composite of market indexes over various periods of time.\nThe hypothetical composite of market indexes has characteristics relevant to the\nfund's investment strategies. Index descriptions appear in the \"Additional Index Information\" section of the prospectus.\nPast performance (before and after taxes) is not an indication of future performance\n.\nVisit\nwww.fidelity.com\nfor more recent performance information.\nYear-by-Year Returns\n2024\n2025\n1.84\n%\n5.50\n%\nDuring the periods shown in the chart:\nReturns\nQuarter ended\nHighest Quarter Return\n3.05\n%\nSeptember 30, 2025\nLowest Quarter Return\n-\n1.20\n%\nDecember 31, 2024\nYear-to-Date Return\n-\n0.02\n%\nMarch 31, 2026\nAverage Annual Returns\nAfter-tax returns are calculated using the historical highest individual federal marginal income tax rates, but do not reflect the impact of state or local taxes.\nActual after-tax returns may differ depending on your individual circumstances.\nReturn After Taxes on Distributions and Sale of Fund Shares may be higher than other returns for the same period due to a tax benefit of realizing a capital loss upon the sale of fund shares.\nFor the periods ended December 31, 2025\nPast 1\nyear\nLife of\nfund\nFidelity Municipal Bond Opportunities ETF\nReturn Before Taxes\n5.50\n%\n4.80\n%\nA\nReturn After Taxes on Distributions\n5.44\n%\n4.76\n%\nA\nReturn After Taxes on Distributions and Sale of Fund Shares\n4.67\n%\n4.49\n%\nA\nFidelity Municipal Bond Opportunities Composite Index\n(reflects no deduction for fees, expenses, or taxes)\n4.36\n%\n3.73\n%\nBloomberg Municipal Bond Index\n(reflects no deduction for fees, expenses, or taxes)\n4.25\n%\n3.61\n%\nA\nFrom\nFebruary 16, 2023\n.\nInvestment Adviser\nFidelity Management Research Company LLC (FMR) (the Adviser) is the fund's manager. Other investment advisers serve as sub-advisers for the fund.\nPortfolio Manager(s)\nCormac Cullen (Co-Portfolio Manager) has managed the fund since 2025 and managed the Predecessor Fund since 2023.\nMichael Maka (Co-Portfolio Manager) has managed the fund since 2025 and managed the Predecessor Fund since 2023.\nElizah McLaughlin (Co-Portfolio Manager) has managed the fund since 2025 and managed the Predecessor Fund since 2023.\nPurchase and Sale of Shares\nShares of the fund are not eligible for purchase by registered investment companies or business development companies to the extent such acquisition is in reliance on Rule 12d1-4 under the Investment Company Act of 1940.\nShares of the fund are listed and traded on an exchange, and individual fund shares may only be bought and sold in the secondary market through a broker or dealer at market price. These transactions, which do not involve the fund, are made at market prices that may vary throughout the day, rather than at NAV. Shares of the fund may trade at a price greater than the fund's NAV (premium) or less than the fund's NAV (discount). An investor may incur costs attributable to the difference between the highest price a buyer is willing to pay to purchase shares (bid) and the lowest price a seller is willing to accept for shares (ask) when buying or selling fund shares in the secondary market (the \"bid-ask spread\"). Recent information, including information regarding the fund's NAV, market price, premiums and discounts, and bid-ask spread, is available at www.fidelity.com.\nTax Information\nThe fund seeks to earn income and pay dividends exempt from federal income tax. Income exempt from federal income tax may be subject to state or local tax, or to the federal alternative minimum tax. A portion of the dividends you receive may be subject to federal and state income taxes. You may also receive taxable distributions attributable to the fund's sale of bonds.\nPayments to Broker-Dealers and Other Financial Intermediaries\nThe fund, the Adviser, Fidelity Distributors Company LLC (FDC), and/or their affiliates may pay intermediaries, which may include banks, broker-dealers, retirement plan sponsors, administrators, or service-providers (who may be affiliated with the Adviser or FDC), for the sale of fund shares and related services. These payments may create a conflict of interest by influencing your intermediary and your investment professional to recommend the fund over another investment. Ask your investment professional or visit your intermediary's web site for more information.\nFund Basics\nInvestment Details\nInvestment Objective\nFidelity Municipal Bond Opportunities ETF seeks to provide a high current yield exempt from federal income tax. Growth of capital may also be considered.\nPrincipal Investment Strategies\nThe Adviser normally invests at least 80% of the fund's assets in municipal securities whose interest is exempt from federal income tax.\nMunicipal debt securities are issued to raise money for a variety of public and private purposes, including general financing for state and local governments, financing for eligible non-profit organizations, or financing for a specific project or public facility. Municipal debt securities in which the fund invests include securities issued by U.S. territories and possessions, general obligation bonds of municipalities, local or state governments, project or revenue-specific bonds, or pre-refunded or escrowed bonds, municipal money market securities, and synthetic securities. Municipal securities usually pay a fixed, variable, or floating rate of interest, and must repay the amount borrowed, usually at the maturity of the security.\nDerivative instruments that provide investment exposure to the\ninvestments above or exposure to\none or more market risk factors associate\n...\ns its redemptions with cash rather than with in-kind securities, the fund may be required to sell portfolio securities in order to obtain the cash needed to distribute redemption proceeds, which involves transaction costs and may cause the fund to recognize gains that might not have been otherwise recognized or to recognize such gains sooner than otherwise. Losses from sales of immediately reacquired securities are subject to deferral, potentially indefinitely. The fund generally intends to distribute net annual gains, if any, to shareholders to comply with applicable tax rules, causing shareholders to be subject to tax on gains they would not otherwise be subject to or at an earlier date than if the fund effected redemptions in-kind.\nIf investors buy shares when a fund has realized but not yet distributed income or capital gains, they will be \"buying a dividend\" by paying the full price for the shares and then receiving a portion of the price back in the form of a potentially taxable distribution.\nAny taxable distributions investors receive will normally be taxable to them when they receive them.\nTaxes on Transactions\nPurchases and sales of shares, as well as purchases and redemptions of Creation Units, may result in a capital gain or loss for federal tax purposes.\nFund Services\nFund Management\nAdviser\nFMR. The Adviser is the fund's manager. The address of the Adviser is 245 Summer Street, Boston, Massachusetts 02210.\nAs of December 31,\n2025 , the Adviser had approximately\n$5 .\n6 trillion in discretionary assets under management, and approximately\n$7 .\n1 trillion when combined with all of its affiliates' assets under management.\nAs the manager, the Adviser has overall responsibility for directing the fund's investments and handling its business affairs.\nSub-Adviser(s)\nFMR Investment Management (UK) Limited (FMR UK) , at\n25 Cannon Street , London,\nEC4M 5SB , United Kingdom, serves as a sub-adviser for the fund. As of December 31,\n2025 , FMR UK had approximately\n$25.8 billion in discretionary assets under management. FMR UK is an affiliate of the Adviser.\nFMR UK may provide investment research and advice on issuers based outside the United States and may also provide investment advisory services for the fund.\nFidelity Management Research (Hong Kong) Limited (FMR H.K.) , at Floor 19, 41 Connaught Road Central, Hong Kong, serves as a sub-adviser for the fund. As of December 31,\n2025 , FMR H.K. had approximately\n$32.5 billion in discretionary assets under management. FMR H.K. is an affiliate of the Adviser.\nFMR H.K. may provide investment research and advice on issuers based outside the United States and may also provide investment advisory services for the fund.\nFidelity Management Research (Japan) Limited (FMR Japan) , at Kamiyacho Prime Place, 1-17, Toranomon-4-Chome, Minato-ku, Tokyo, Japan, serves as a sub-adviser for the fund. As of March 31,\n2025 , FMR Japan had approximately $2.8 billion in discretionary assets under management. FMR Japan is an affiliate of the Adviser.\nFMR Japan may provide investment research and advice on issuers based outside the United States and may also provide investment advisory services for the fund.\nPortfolio Manager(s)\nCormac Cullen is Co-Portfolio Manager of Fidelity Municipal Bond Opportunities ETF, which he has managed since 2025 and the Predecessor Fund which he managed since 2023. He also manages other funds. Since joining Fidelity Investments in 2007, Mr. Cullen has worked as a research analyst, structured analyst, senior legal counsel, and portfolio manager.\nMichael Maka is Co-Portfolio Manager of Fidelity Municipal Bond Opportunities ETF, which he has managed since 2025 and the Predecessor Fund which he managed since 2023. He also manages other funds. Since joining Fidelity Investments in 2000, Mr. Maka has worked as the head of municipal trading and a portfolio manager.\nElizah McLaughlin is Co-Portfolio Manager of Fidelity Municipal Bond Opportunities ETF, which she has managed since 2025 and the Predecessor Fund which she managed since 2023. She also manages other funds. Since joining Fidelity Investments in 1997, Ms. McLaughlin has worked as an analyst and portfolio manager.\nThe SAI provides additional information about the compensation of, any other accounts managed by, and any fund shares held by the portfolio manager(s).\nFrom time to time a manager, analyst, or other Fidelity employee may express views regarding a particular company, security, industry, or market sector. The vi\n...\nces intended to result in the sale of fund shares.\nThese payments are described in more detail in this section and in the SAI.\nDistribution and Service Plan(s)\nWhile the fund will not make direct payments for distribution or shareholder support services, the fund has adopted a Distribution and Service Plan pursuant to Rule 12b-1 under the 1940 Act with respect to its shares. The Plan recognizes that the Adviser may use its management fee revenues, as well as its past profits or its resources from any other source, to pay FDC for expenses incurred in connection with providing services intended to result in the sale of shares of the fund and/or shareholder support services. The Adviser, directly or through FDC, may pay significant amounts to intermediaries that provide those services. Currently, the Board of Trustees of the fund has authorized such payments for shares of the fund.\nIf payments made by the Adviser to FDC or to intermediaries under the Distribution and Service Plan were considered to be paid out of the fund's assets on an ongoing basis, they would increase the cost of your investment and might cost you more than paying other types of sales charges.\nNo dealer, sales representative, or any other person has been authorized to give any information or to make any representations, other than those contained in this prospectus and in the related SAI, in connection with the offer contained in this prospectus. If given or made, such other information or representations must not be relied upon as having been authorized by the fund or FDC. This prospectus and the related SAI do not constitute an offer by the fund or by FDC to sell shares of the fund to, or to buy shares of the fund from, any person to whom it is unlawful to make such offer.\nOther Service Providers\nThe Bank of New York Mellon serves as\ntransfer agent and custodian for the fund , and is located at 240 Greenwich Street, New York, New York.\nAppendix\nFinancial Highlights\nFinancial Highlights are intended to help you understand the financial history of fund shares for the past 5 years (or, if shorter, the period of operations). Certain information reflects financial results for a single share. The total returns in the table represent the rate that an investor would have earned (or lost) on an investment in shares (assuming reinvestment of all dividends and distributions). Effective April 4, 2025, Fidelity Municipal Core Plus Bond Fund (the \"Predecessor Fund\") was reorganized into the fund. The fund has adopted the Financial Statements of the Predecessor Fund. Therefore, the financial highlights shown below are those of Fidelity Municipal Core Plus Bond Fund, a class of shares of the Predecessor Fund, for all periods prior to the fund's commencement of operations. The annual information below for the Predecessor Fund has been audited by PricewaterhouseCoopers LLP, independent registered public accounting firm, whose reports, along with the Predecessor Fund's financial statements, are included in the Predecessor Fund's annual report. Annual reports are available for free upon request.\nFidelity Municipal Bond Opportunities ETF\nYears ended January 31,\n2026\nA\n2025\nA\n2024\nA,B\nSelected Per-Share Data\nNet asset value, beginning of period\n$\n49.98\n$\n50.47\n$\n49.10\nIncome from Investment Operations\nNet investment income (loss)\nC,D\n1.844\n1.817\n1.684\nNet realized and unrealized gain (loss)\n.989\n(.511)\n1.331\nE\nTotal from investment operations\n2.833\n1.306\n3.015\nDistributions from net investment income\n(1.661)\n(1.738)\n(1.625)\nDistributions from net realized gain\n(.112)\n(.059)\n(.015)\nTotal\n...\nated by an Authorized Participant's agreement, in the event the Authorized Participant has submitted a redemption request in proper form but is unable to transfer all or part of the Creation Units to be redeemed to FDC, on behalf of the fund, at or prior to the closing time of regular trading on the listing exchange (or the NYSE if the listing exchange is not open that day) on the date such redemption request is submitted, FDC will nonetheless accept the redemption request in reliance on the undertaking by the Authorized Participant to deliver the missing fund shares as soon as possible, which undertaking shall be secured by the Authorized Participant's delivery and maintenance of collateral consisting of cash having a value (marked to market daily) at least equal to 105% and up to 115% of the value of the missing fund shares. The current procedures for collateralization of missing shares require, among other things, that any cash collateral shall be in the form of U.S. dollars in immediately available funds and shall be held by the fund and marked to market daily, and that the fees of the fund and any sub-custodians in respect of the delivery, maintenance, and redelivery of the cash collateral shall be payable by the Authorized Participant. The Participant Agreement will permit the fund to purchase the missing fund shares or acquire the Deposit Securities and specified cash payment (the \"Balancing Amount\") underlying such shares at any time and will subject the Authorized Participant to liability for any shortfall between the cost to the fund of purchasing such shares, Deposit Securities or Balancing Amount and the value of the collateral.\nThe calculation of the value of the Fund Securities and the Cash Redemption Amount to be delivered upon redemption will be made by Fidelity Service Company, Inc. (FSC) according to the procedures set forth in the section entitled \"Valuation\" computed on the Business Day on which a redemption order is deemed received by the transfer agent. Therefore, if a conforming redemption order in proper form is submitted to the transfer agent by an Authorized Participant not later than Closing Time, or 3:00 p.m. Eastern time in the case of nonconforming orders, on the Transmittal Date, and the requisite number of shares of the fund are delivered to the fund's custodian prior to the DTC Cut-Off-Time, then the value of the Fund Securities and the Cash Redemption Amount to be delivered will be determined by FSC on such Transmittal Date. If, however, a conforming redemption order is submitted to the transfer agent by an Authorized Participant not later than the Closing Time, or 3:00 p.m. Eastern time in the case of nonconforming orders, on the Transmittal Date but either (i) the requisite number of shares of the fund and the Cash Redemption Amount are not delivered by the DTC Cut-Off-Time as described above on the next Business Day following the Transmittal Date, or (ii) the redemption order is not submitted in proper form, then the redemption order will not be deemed received as of the Transmittal Date. In such case, the value of the Fund Securities and the Cash Redemption Amount to be delivered will be computed as of the Closing Time on the Business Day that such order is deemed received by the transfer agent, i.e., the Business Day on which the shares of the fund are delivered through DTC to FDC by the DTC Cut-Off-Time on such Business Day pursuant to a properly submitted redemption order.\nThe fund may in its discretion exercise its option to redeem shares in cash, and the redeeming Beneficial Owner will be req\n...\nnicipal Bond Opportunities ETF\nnone\nnone\nnone\nAGGREGATE DOLLAR RANGE OF\nFUND SHARES IN ALL FUNDS\nOVERSEEN WITHIN FUND FAMILY\nover $100,000\nover $100,000\nover $100,000\nIndependent Trustees\nDOLLAR RANGE OF\nFUND SHARES\nELIZABETH S ACTON\nLAURA M BISHOP\nANN E DUNWOODY\nROBERT F GARTLAND\nFidelity Municipal Bond Opportunities ETF\nnone\nnone\nnone\nnone\nAGGREGATE DOLLAR RANGE OF\nFUND SHARES IN ALL FUNDS\nOVERSEEN WITHIN FUND FAMILY\nover $100,000\nover $100,000\nover $100,000\nover $100,000\nDOLLAR RANGE OF\nFUND SHARES\nROBERT W HELM\nMARK A MURRAY\nLESTER OWENS\nEDWARD A. WIESE\nFidelity Municipal Bond Opportunities ETF\nnone\nnone\nnone\nnone\nAGGREGATE DOLLAR RANGE OF\nFUND SHARES IN ALL FUNDS\nOVERSEEN WITHIN FUND FAMILY\nover $100,000\nover $100,000\nnone\nover $100,000\nDOLLAR RANGE OF\nFUND SHARES\nCAROL J ZIERHOFFER\nFidelity Municipal Bond Opportunities ETF\nnone\nAGGREGATE DOLLAR RANGE OF\nFUND SHARES IN ALL FUNDS\nOVERSEEN WITHIN FUND FAMILY\nover $100,000\nThe following tables set forth information describing the compensation of each Trustee and Member of the Advisory Board (if any) for his or her services for the fiscal year\nended January 31, 2026, or calendar year ended December 31,\n2025 , as applicable.\nCompensation Table (A)\nAGGREGATE\nCOMPENSATION\nFROM A FUND\nACCRUED\nVOLUNTARY\nDEFERRED\nCOMPENSATION\nFROM A FUND\nFidelity Municipal Bond Opportunities ETF\n(B)\nELIZABETH S ACTON\n$\n18\n$\n0\nLAURA M BISHOP\n$\n19\n$\n0\nANN E DUNWOODY\n$\n17\n$\n0\nROBERT F GARTLAND\n$\n20\n$\n0\nROBERT W HELM\n$\n17\n$\n0\nMARK A MURRAY\n$\n18\n$\n0\nLESTER OWENS\n$\n17\n$\n0\nEDWARD A. WIESE\n(C)\n$\n17\n$\n0\nCAROL J ZIERHOFFER\n$\n17\n$\n0\n(A) Abigail P. Johnson, Jennifer Toolin McAuliffe, and Christine J. Thompson are interested persons and are compensated by Fidelity.\n(B) Estimated for the fund's first full fiscal year.\n(C) Mr. Wiese serves as a Trustee of Fidelity Merrimack Street Trust effective May 15, 2025.\nTOTAL\nCOMPENSATION\nFROM THE\nFUND COMPLEX\n(A)\nVOLUNTARY\nDEFERRED\nCOMPENSATION\nFROM THE FUND\nCOMPLEX\nELIZABETH S ACTON\n$\n562,500\n$\n132,000\nLAURA M BISHOP\n$\n567,500\n$\n384,773\nANN E DUNWOODY\n$\n525,500\n$\n348,473\nROBERT F GARTLAND\n$\n638,500\n$\n180,000\nROBERT W HELM\n$\n532,500\n$\n348,473\nMARK A MURRAY\n$\n551,000\n$\n357,472\nLESTER OWENS\n$\n522,000\n$\n0\nEDWARD A. WIESE\n$\n352,500\n$\n160,000\nCAROL J ZIERHOFFER\n$\n520,500\n$\n121,966\n(A) Reflects compensation received for the calendar year ended December 31,\n2025 , for\n315 funds of 31 trusts (including Fidelity\nBoylston Street Trust, Fidelity Money Market Trust, and Fidelity Municipal Trust II, which do not contain any assets). Compensation figures include cash and may include amounts elected to be deferred.\nAs of March 31, 2026, the Trustees, Members of the Advisory Board (if any), and officers of the fund owned, in the aggregate, less than 1% of the class's total outstanding shares, with respect to the fund.\nAs of April 13, 2026, the following owned of record and/or beneficially 5% or more of the outstanding shares:\nFund or Class Name\nOwner Name\nCity\nState\nOwnership %\nFidelity Municipal Bond Opportunities ETF\nNATIONAL FINANCIAL SERVICES LLC\nNEW YORK\nNY\n73.94%\nFidelity Municipal Bond Opportunities ETF\nCHARLES SCHWAB CO., INC.\nSAN FRANCISCO\nCA\n22.10%\nA shareholder owning of record or beneficially more than 25% of a fund's outstanding shares may be considered a controlling person. That shareholder's vote could have a more significant effect on matters presented at a shareholders' meeting than votes of other shareholders.\nCONTROL OF INVESTMENT ADVISERS\nFMR LLC, as successor by merger to FMR Corp., is the ultimate parent company of FMR, FMR Investment Management (UK) Limited, Fidelity Manag", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "subAdvisedBy": ["SubAdviser"], "transferAgent": ["Custodian"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:Fidelity_Systematic_Municipal_Bond_Index_ETF", "p": "administrator", "o": "org:Fidelity_Service_Company", "alias_grounded": true, "grounded": true, "context_grounded": false, "extractable": true}, {"s": "fund:Fidelity_Systematic_Municipal_Bond_Index_ETF", "p": "advisedBy", "o": "org:Fidelity_Management_Research_Company_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Fidelity_Systematic_Municipal_Bond_Index_ETF", "p": "custodian", "o": "org:BANK_OF_NEW_YORK_MELLON", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Fidelity_Systematic_Municipal_Bond_Index_ETF", "p": "seriesOf", "o": "trust:Fidelity_Merrimack_Street_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Fidelity_Systematic_Municipal_Bond_Index_ETF", "p": "subAdvisedBy", "o": "org:FMR_Investment_Management_UK_Limited", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Fidelity_Systematic_Municipal_Bond_Index_ETF", "p": "subAdvisedBy", "o": "org:Fidelity_Management_Research_Hong_Kong_Limited", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Fidelity_Systematic_Municipal_Bond_Index_ETF", "p": "subAdvisedBy", "o": "org:Fidelity_Management_Research_Japan_Limited", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Fidelity_Systematic_Municipal_Bond_Index_ETF", "p": "transferAgent", "o": "org:BANK_OF_NEW_YORK_MELLON", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:Fidelity_Merrimack_Street_Trust", "p": "underwrittenBy", "o": "org:Fidelity_Distributors_Company_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> Fidelity Systematic Municipal Bond Index ETF <predicate_marker> administrator <object_marker> Fidelity Service Company <predicate_marker> advisedBy <object_marker> Fidelity Management & Research Company LLC <predicate_marker> custodian <object_marker> BANK OF NEW YORK MELLON <predicate_marker> seriesOf <object_marker> Fidelity Merrimack Street Trust <predicate_marker> subAdvisedBy <object_marker> FMR Investment Management (UK) Limited <predicate_marker> subAdvisedBy <object_marker> Fidelity Management & Research (Hong Kong) Limited <predicate_marker> subAdvisedBy <object_marker> Fidelity Management & Research (Japan) Limited <predicate_marker> transferAgent <object_marker> BANK OF NEW YORK MELLON <triple_end>\n<triple_start> Fidelity Merrimack Street Trust <predicate_marker> underwrittenBy <object_marker> Fidelity Distributors Company LLC <triple_end>", "target_serialized_plain": "Fidelity Systematic Municipal Bond Index ETF administrator Fidelity Service Company ; advisedBy Fidelity Management & Research Company LLC ; custodian BANK OF NEW YORK MELLON ; seriesOf Fidelity Merrimack Street Trust ; subAdvisedBy FMR Investment Management (UK) Limited , Fidelity Management & Research (Hong Kong) Limited , Fidelity Management & Research (Japan) Limited ; transferAgent BANK OF NEW YORK MELLON .\nFidelity Merrimack Street Trust underwrittenBy Fidelity Distributors Company LLC .", "stats": {"input_chars": 21037, "n_triples": 9, "text_to_json_ratio": 24.0}}
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{"sample_id": "0001635295:ALL", "cik": "0001635295", "trust_name": "BNY Mellon Absolute Insight Funds, Inc.", "input_text": "File\nNo .\n333-202460 811-23036 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION\nSTATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. [__] Post-Effective\nAmendment No. 59 [X] and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF\n1940 [X] Amendment No. 59 [X] (Check appropriate box\nor boxes.) BNY Mellon Absolute Insight Funds, Inc. (Exact Name of Registrant\nas Specified in Charter) c/o BNY Mellon Investment Adviser, Inc. 240\nGreenwich Street, New York, New York 10286 (Address of Principal Executive Offices)\n(Zip Code) Registrant's Telephone Number, including\nArea Code: (212) 922-6400 Deirdre Cunnane, Esq. 240\nGreenwich Street New York, New York 10286 (Name and Address of\nAgent for Service) It is proposed that this filing will become effective (check\nappropriate box) __ immediately upon filing pursuant to paragraph (b) X on\nAugust\n29, 2025 pursuant to paragraph (b) __\ndays after filing pursuant to paragraph (a)(1) __ on\n(date) pursuant to paragraph (a)(1) ___\ndays after filing pursuant to paragraph (a)(2) __ on\n(date) pursuant to paragraph (a)(2) of Rule 485 If\nappropriate, check the following box: __ this\npost-effective amendment designates a new effective date for a previously filed post-effective amendment.\nBNY Mellon\nCore Plus Fund Prospectus\n| August 29, 2025 Class Ticker A DCPAX C DCPCX I DCPIX Y DCPYX As\nwith all mutual funds, the Securities and Exchange Commission has not approved or disapproved these\nsecurities or passed upon the adequacy of this prospectus. Any representation to the contrary is a\ncriminal offense.\nContents Fund Summary Fund\nSummary 1 Fund Details Goal and Approach 7 Investment Risks 8 Management 14 Shareholder Guide Choosing a Share Class 17 Buying and Selling Shares 21 General Policies 24 Distributions and Taxes 26 Services for Fund Investors 26 Financial Highlights Financial Highlights 29 Appendix Appendix A- 1 For More Information See back cover.\nFund\nSummary Investment\nObjective The fund seeks high total return consistent\nwith preservation of capital. Fees and Expenses This\ntable describes the fees and expenses that you may pay if you buy, hold and sell shares of the fund.\nYou may pay other fees, such as brokerage commiss\n...\nl, the\nfund normally invests in a diversified portfolio of fixed-income securities\nof U.S. and foreign issuers. The fixed-income securities in which the fund may invest include: (i)\nsecurities issued or guaranteed by the U.S. government, its agencies or government sponsored enterprises\n(U.S. government securities); (ii) corporate debt securities, including bonds, notes, debentures, convertible\nsecurities, preferred stock and corporate commercial paper; issued by U.S. and non-U.S. corporations\nand other entities, such as master limited partnerships; (iii) mortgage-related securities; (iv) asset-backed\nsecurities; (v) inflation indexed bonds issued by governments or corporations; (vi) structured notes\n(i.e., specially designed debt instruments whose return is determined by reference to an index or security);\n(vii) loan participations and assignments; (viii) delayed funding loans and revolving credit facilities;\n(ix) bank certificates of deposit, fixed time deposits and bankers' acceptances; (x) repurchase agreements\nand reverse repurchase agreements; (xi) debt securities issued by states or local governments or their\nagencies, authorities or other government sponsored enterprises (municipal securities); (xii) obligations\nof foreign governments or their subdivisions, agencies or government sponsored enterprises; and (xiii)\nobligations of international agencies or supranational entities. These securities may have all types\nof interest rate payment and reset terms, including fixed rate, adjustable rate, floating rate, zero\ncoupon, contingent, deferred, payment in kind and auction rate features. The fund\nnormally invests primarily in fixed-income securities rated, at the time of purchase, investment grade\n(i.e., Baa3/BBB- or higher) or the\nunrated equivalent as determined by Insight North America LLC, the fund's sub-adviser. The fund, however,\nmay invest up to 25% of its net assets in fixed-income securities rated, at the time of purchase, below\ninvestment grade (\"high yield\" or \"junk\" bonds) or the unrated equivalent as determined by the fund's\nsub-adviser. Typically, the fund's portfolio can be expected\nto have an average effective duration ranging between three and eight years. The fund's sub-adviser\nmay lengthen or shorten the fund's portfolio duration outside this range depending on its evaluation\nof market conditions. Duration is an indication of an investment's \"interest rate risk,\" or how sensitive\na bond or the fund's portfolio may be to changes in interest rates. Generally, the longer a bond's duration,\nthe more likely it is to react to interest rate fluctuations and the greater its long-term risk/return\npotential. In constructing the fund's portfolio, the sub-adviser\nrelies primarily on proprietary, internally-generated credit research. This credit research focuses on\nboth industry/sector analysis and detailed individual security selection. The fund's sub-adviser seeks\nto identify investment opportunities for the fund based on its evaluation of the relative value of sectors\nand securities and the credit risk of individual issuers. The sub-adviser uses fundamental credit analysis\nto estimate the relative value and attractiveness of various sectors and securities and to exploit pricing\ninefficiencies in fixed-income markets. The sub-adviser analyzes individual issuer credit risk based\non factors such as management depth and experience, competitive advantage, market and product position\nand overall financial strength. The sub-adviser may supplement its internal research with external,\nthird-party credit research and related credit t\n...\nlower the fund's after-tax performance. Temporary\ninvestment risk: Under adverse market conditions, the fund could invest some\nor all of its assets in U.S. Treasury securities and money market securities, or hold cash. Although\nthe fund would do this for temporary defensive purposes, it could reduce the benefit from any upswing\nin the market. During such periods, the fund's investments may not be consistent with its principal\ninvestment strategy, and the fund may not achieve its investment objective. Management\nInvestment Adviser The\ninvestment adviser for the fund is BNY Mellon Investment Adviser, Inc., 240 Greenwich Street, New York,\nNew York 10286. BNYIA manages approximately $368 billion in 87 mutual fund portfolios. For the past\nfiscal year, the fund paid BNYIA a management fee at the annual rate of .35% of the value of the fund's\naverage daily net assets. A discussion regarding the basis for the board approving the fund's management\nagreement with BNYIA is available in the fund's Form N-CSR for the fiscal year ended April 30, 2025.\nBNYIA is the primary mutual fund business of The Bank of New York Mellon Corporation (BNY), a global\ninvestments company dedicated to helping its clients manage and service their financial assets throughout\nthe investment lifecycle. Whether providing financial services for institutions, corporations or individual\ninvestors, BNY delivers informed investment management and investment services in 35 countries. BNY\nis a leading investment management and investment services company, uniquely focused to help clients\nmanage and move their financial assets in the rapidly changing global marketplace. BNY has $55.8 trillion\nin assets under custody and administration and $2.1 trillion in assets under management. BNY is the\ncorporate brand of The Bank of New York Mellon Corporation and may be used to reference the corporation\nas a whole and/or its various subsidiaries generally. BNY Investments is one of the world's leading\ninvestment management organizations, and one of\n14\nthe top U.S. wealth managers, encompassing BNY's affiliated\ninvestment management firms, wealth management services and global distribution companies. Additional\ninformation is available at www.bny.com/investments. The asset\nmanagement philosophy of BNYIA is based on the belief that discipline and consistency are important to\ninvestment success. For each fund, BNYIA seeks to establish clear guidelines for portfolio management\nand to be systematic in making decisions. This approach is designed to provide each fund with a distinct,\nstable identity. Sub-Adviser BNYIA\nhas engaged its affiliate, Insight North America LLC, to serve as the\nfund's sub-adviser. INA, subject to BNYIA 's supervision\nand approval, provides day-to-day management of the fund's assets. INA is an indirect wholly-owned subsidiary\nof BNY registered in the United States with the Securities and Exchange Commission as an investment adviser.\nINA's principal office is located at 200 Park Avenue, New York, New York 10166. As of June 30, 2025,\nINA had approximately $130.0 billion of assets under management. (Assets under management (AUM) is represented\nby the value of a client's assets or liabilities managed by INA. These will primarily be the mark-to-market\nvalue of investments managed by INA, including collateral if applicable. Where a client mandate requires\nINA to manage some or all of a client's liabilities, AUM will be equal to the value of the client's specific\nliability benchmark and/or the notional value of other risk exposure through the use of derivatives.)\nA discussion r\n...\nditional Information (SAI) provides additional portfolio manager information, including\ncompensation, other accounts managed and ownership of fund shares. BNYIA\nhas obtained from the Securities and Exchange Commission an exemptive order, upon which the fund may\nrely, to use a manager of managers approach that permits BNYIA , subject\nto certain conditions and approval by the fund's board, to enter into and materially amend sub-investment\nadvisory agreements with one or more sub-advisers who are either unaffiliated or affiliated with BNYIA\nwithout obtaining shareholder approval. The exemptive order also relieves the fund from disclosing the\nsub-investment advisory fee paid by BNYIA to a\nsub-adviser in documents filed with the Securities and Exchange Commission and provided to shareholders.\nIn addition, pursuant to the order, it is not necessary to disclose the sub-investment advisory fee\npayable by BNYIA separately to a sub-adviser\nthat is a wholly-owned subsidiary (as defined in the Investment Company Act of 1940, as amended) of BNY\nin documents filed with the Securities and Exchange Commission and provided to shareholders; such fees\nare to be aggregated with fees payable to BNYIA . BNYIA\nhas ultimate responsibility (subject to oversight by the fund's board) to supervise any sub-adviser and\nrecommend the hiring, termination, and replacement of any sub-adviser to the fund's board. Currently,\nthe fund has selected INA, an indirect wholly-owned subsidiary of BNY, to manage all of the fund's assets.\nThe fund's board, including a majority of the \"non-interested\" board members, must approve each new\nsub-adviser. In addition, the fund is required to provide shareholders with information about each new\nsub-adviser within 90 days of the hiring of any new sub-adviser. Distributor BNY Mellon Securities Corporation (BNYSC), a wholly-owned subsidiary of BNYIA,\nserves as distributor of the fund and of the other funds in the BNY Mellon Family of Funds. Any Rule\n12b-1 fees and shareholder services fees, as applicable, are paid to BNYSC for financing the sale and\ndistribution of fund shares and for providing shareholder account service and maintenance, respectively.\nBNYIA or BNYSC may provide cash payments out of its own resources to financial intermediaries that sell\nshares of funds in the BNY Mellon Family of Funds or provide other services. Such payments are separate\nfrom any sales charges, 12b-1 fees and/or shareholder services fees or other expenses that may be paid\nby a fund to those financial intermediaries. Because those payments are not made by fund shareholders\nor the fund, the fund's total expense ratio will not be affected by any such payments. These payments\nmay be made to financial intermediaries, including affiliates, that provide shareholder servicing, sub-administration,\nrecordkeeping and/or sub-transfer agency services, marketing support and/or access to sales meetings,\nsales representatives and management representatives of the financial intermediary. Cash compensation\nalso may be paid from BNYIA's or BNYSC's own resources to financial intermediaries for inclusion of a\nfund on a sales list, including a preferred or select sales list or in\n15\nother sales programs. These payments sometimes are referred\nto as \"revenue sharing.\" From time to time, BNYIA or BNYSC also may provide cash or non-cash compensation\nto financial intermediaries or their representatives in the form of occasional gifts; occasional meals,\ntickets or other entertainment; support for due diligence trips; educational conference sponsorships;\nsupport for recognition pro\n...\nub-Investment\nAdvisory Agreement between the Registrant and Insight North America LLC, dated October 31, 2017, as amended\nJune 3, 2019, is incorporated herein by reference to Exhibit (d)(2) of Post-Effective Amendment No. 24. (d)(3) Expense Limitation Agreement relating to BNY Mellon Core Plus Fund. * (e)(1) Amended\nand Restated Distribution Agreement between the Registrant and BNY Mellon Securities Corporation, dated\nJune 3, 2019, as revised March 6, 2024, is incorporated herein by reference to Exhibit (e)(1) of Post-Effective\nAmendment No. 58. (e)(2) Form\nof Broker-Dealer Selling Agreement is incorporated herein by reference to Exhibit (e)(2) of Post-Effective\nAmendment No. 26. (e)(3) Form\nof and Bank Selling Agreement is incorporated herein by reference to Exhibit (e)(2) of Post-Effective\nAmendment No. 26. (e)(4) Form\nof Service Agreement is incorporated herein by reference to Exhibit (e)(3) of Post-Effective Amendment\nNo. 41. (f) Not\napplicable. (g)(1) Custody Agreement, dated\nJanuary 1, 2011, is incorporated herein by reference to Exhibit (g) of Pre-Effective Amendment No. 2. (g)(2) Amendment\nto Custody Agreement, dated October 1, 2013, is incorporated herein by reference to Exhibit (g)(2) of\nPost-Effective Amendment No. 55 to the Registration Statement on Form N-1A, filed on August 25, 2023\n(\"Post-Effective Amendment No. 55\"). (g)(3) Second\nAmendment to Custody Agreement, dated December 22, 2016, is incorporated herein by reference to Exhibit\n(g)(2) of Post-Effective Amendment No. 5 to the Registration Statement, filed on March 9, 2017. (g)(4) Third\nAmendment to Custody Agreement, April 1, 2023, is incorporated herein by reference to Exhibit (g)(4)\nof Post-Effective Amendment No. 55. (h)(1) Amended and Restated Transfer Agency Agreement between the Registrant and BNY\nMellon Transfer, Inc., effective January 1, 2025. * (h)(2) Shareholder\nServices Plan, dated November 3, 2015, as revised June 3, 2019, is incorporated herein by reference to\nExhibit (h)(2) of Post-Effective Amendment No. 26. (h)(3) 12d1-4\nFund of Funds Investment Agreement between Northern Lights Fund Trust and BNY Absolute Insight Funds,\nInc., on behalf of BNY Mellon Core Plus Fund, effective\nJanuary 19, 2022,\nis incorporated herein by reference to Exhibit (h)(3) of Post-Effective Amendment No. 41. (h)(4) 12d1-4\nFund of Funds Investment Agreement between iShares , a registered trademark of BlackRock, Inc., and\nBNY Mellon Absolute Insight Funds, Inc., on behalf of BNY Mellon Core Plus Fund, effective January 19, 2022,\nis incorporated herein by reference to Exhibit (h)(4) of Post-Effective Amendment No. 41. (h)(5) 12d1-4\nFund of Funds Investment Agreement between The Select Sector SPDR Trust and BNY Mellon Absolute Insight\nFunds, Inc., on behalf of BNY Mellon Core Plus Fund, effective January 19, 2022, is incorporated herein\nby reference to Exhibit (h)(5) of Post-Effective Amendment No. 41. (h)(6) 12d1-4\nFund of Funds Investment Agreement between Vanguard Funds and BNY Mellon Absolute Insight Funds, Inc.,\non behalf of BNY Mellon Core Plus Fund, effective January 19, 2022, is incorporated herein by reference\nto Exhibit (h)(6) of Post-Effective Amendment No. 41. (i) Opinion\nand Consent of Registrant's counsel, Venable LLP, dated November 3, 2017, is incorporated herein by reference\nto Exhibit (d)(4) of Post-Effective Amendment No. 15. (j)(1) Consent\nof Independent Registered Public Accounting Firm. * (k) Not\napplicable. (l) Not\napplicable. (m) Distribution Plan, dated\nNovember 3, 2015, as revised June 3, 2019, is incorporated herein by reference to Exhibit (m)(1) of Po\n...\n5/21 4/23 Asset Recovery XX, LLC ** Assistant Treasurer 5/21\nPresent Asset Recovery XXII, LLC ** Assistant Treasurer 5/21 4/23 B.N.Y. Holdings (Delaware)\nCorporation # Assistant\nVice President Tax 7/21\nPresent BNY Administrative Services LLC ** Assistant Treasurer Tax 5/21 Present BNY Alcentra Group Holdings, Inc. Assistant Treasurer Tax 5/21 11/22\nName\nand Position With BNY Mellon Investment Adviser, Inc. Other Businesses Position Held Dates BNY Aurora Holding Corp.\n++ Vice President 5/21 Present BNY Capital Corporation ** Vice President Tax 7/21 Present BNY Capital Funding LLC ++ Assistant Treasurer Tax Manager 4/21 3/24 3/22 Present BNY Capital Markets\nHoldings, Inc. ++ Assistant\nTreasurer Tax 3/22 Present BNY Capital Resources Corporation ++ Assistant Treasurer Tax 5/21 Present BNY Foreign Holdings, Inc. ++ Vice President Tax 1/22 8/23 Assistant Treasurer Tax 8/23 Present BNY International Financing Corporation ++ Vice President 1/25 Present BNY Investment Management Services LLC # Assistant Treasurer Tax 5/21 Present BNY Lease Equities (Cap Funding) LLC ++ Assistant Treasurer Tax 5/21 Present BNY\nMellon Advisors, Inc. Assistant\nTreasurer Tax 5/21 Present BNY Mellon Asset Management Operations LLC ^^ Assistant Treasurer 5/21 12/22 BNY\nMellon Capital Markets, LLC ++ Assistant Treasurer Tax 5/21 Present BNY\nMellon ETF Investment Adviser, LLC ++ Assistant Treasurer Tax 5/21 Present BNY Mellon Government Securities Services Corp. ++ Vice President Tax 5/21 Present BNY\nMellon Insurance Agency, Inc. ++ Vice\nPresident Tax 5/21 Present BNY International Financing Corporation ++ Vice President 1/25 Present BNY Mellon Investment Adviser, Inc. ++ Vice President Tax 5/21 Present BNY Mellon Investment Management Holdings LLC # Assistant Vice President Tax 5/21 Present BNY\nMellon Investment Servicing (US) Inc. ********** Assistant Treasurer Tax 8/21 Present BNY Mellon Investment Servicing Trust Assistant Treasurer Tax 8/21 Present\nName\nand Position With BNY Mellon Investment Adviser, Inc. Other Businesses Position Held Dates Company # BNY\nMellon Investor Solutions, LLC * Assistant\nTreasurer Tax 7/21 1/24 BNY Mellon Performance\nRisk Analytics, LLC ++ Assistant\nTreasurer Tax 5/21 Present BNY\nMellon Securities Corporation ++ Vice\nPresident - Tax 5/21 Present BNY Mellon Trust Company of Illinois Assistant Treasurer Tax 5/21 Present BNY Mellon Trust of Delaware # Assistant Treasurer 5/21 Present BNY Mellon US Services Holdings LLC ++ Assistant Treasurer - Tax 6/21 Present BNY Mellon, National Association ++ Vice President Tax 10/23 Present BNY Partnership Funding LLC ++ Assistant Treasurer Tax 5/21 Present BNY\nReal Estate Holdings LLC ++ Assistant\nTreasurer Tax 4/21 Present BNY Salvage Inc.\n++ Assistant Treasurer Tax 5/21 Present BNY-N.J. II Corp. ++ Assistant Treasurer Tax 8/21 9/24 CenterSquare Investment Management Holdings, Inc. +++ Assistant Treasurer Tax 5/21 2/25 ClearSky Subsidiary,\nLLC ++ Assistant Treasurer Tax 11/24 Present Colson Services Corp. ++ Assistant Treasurer Tax 6/21 Present Eagle Access LLC ++ Assistant\nTreasurer Tax 6/21 Present Eagle Investment Systems LLC ++ Assistant Treasurer Tax 6/21 Present ECM DE, LLC ++ Assistant\nTreasurer Tax 5/21 Present iNautix\n(USA) LLC ### Assistant\nTreasurer Tax 5/21 7/25 Insight North America\nLLC ++ Assistant Treasurer - Tax 5/21 Present Madison Pershing LLC ### Assistant Treasurer Tax 8/21 Present MBC Investments Corporation # Assistant Treasurer Tax 5/21 Present Mellon Financial Services Corporation #1 + Assistant Treasurer Tax 5/21 Present Mellon Global Investing Corp. + Assistant T", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["Administrator"], "custodian": ["Administrator"], "seriesOf": ["Trust"], "subAdvisedBy": ["SubAdviser"], "transferAgent": ["TransferAgent"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:BNY_Mellon_Core_Plus_Fund", "p": "administrator", "o": "org:BNY_Mellon_Investment_Adviser_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:BNY_Mellon_Core_Plus_Fund", "p": "advisedBy", "o": "org:BNY_Mellon_Investment_Adviser_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:BNY_Mellon_Core_Plus_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:BNY_Mellon_Core_Plus_Fund", "p": "seriesOf", "o": "trust:BNY_Mellon_Absolute_Insight_Funds_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:BNY_Mellon_Core_Plus_Fund", "p": "subAdvisedBy", "o": "org:Insight_North_America_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:BNY_Mellon_Core_Plus_Fund", "p": "transferAgent", "o": "org:BNY_Mellon_Investment_Servicing_US_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:BNY_Mellon_Core_Plus_Fund", "p": "transferAgent", "o": "org:BNY_Mellon_Transfer_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:BNY_Mellon_Absolute_Insight_Funds_Inc", "p": "underwrittenBy", "o": "org:BNY_Mellon_Securities_Corporation", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> BNY Mellon Core Plus Fund <predicate_marker> administrator <object_marker> BNY Mellon Investment Adviser, Inc. <predicate_marker> advisedBy <object_marker> BNY Mellon Investment Adviser, Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> BNY Mellon Absolute Insight Funds, Inc. <predicate_marker> subAdvisedBy <object_marker> Insight North America LLC <predicate_marker> transferAgent <object_marker> BNY Mellon Investment Servicing (US) Inc. <predicate_marker> transferAgent <object_marker> BNY Mellon Transfer, Inc. <triple_end>\n<triple_start> BNY Mellon Absolute Insight Funds, Inc. <predicate_marker> underwrittenBy <object_marker> BNY Mellon Securities Corporation <triple_end>", "target_serialized_plain": "BNY Mellon Core Plus Fund administrator BNY Mellon Investment Adviser, Inc. ; advisedBy BNY Mellon Investment Adviser, Inc. ; custodian The Bank of New York Mellon ; seriesOf BNY Mellon Absolute Insight Funds, Inc. ; subAdvisedBy Insight North America LLC ; transferAgent BNY Mellon Investment Servicing (US) Inc. , BNY Mellon Transfer, Inc. .\nBNY Mellon Absolute Insight Funds, Inc. underwrittenBy BNY Mellon Securities Corporation .", "stats": {"input_chars": 20276, "n_triples": 8, "text_to_json_ratio": 26.4}}
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{"sample_id": "0001680255:ALL", "cik": "0001680255", "trust_name": "Goehring & Rozencwajg Investment Funds", "input_text": "you\nmay pay if you buy, hold and sell shares of the Fund. You may pay other fees, such as brokerage commissions and other fees to financial\nintermediaries, which are not reflected in the tables and examples below.\nShareholder\nFees (Fees Paid Directly from Your Investment)\nInstitutional\nClass Shares\nRetail\nClass Shares\nRedemption\nFee (as a percentage of amount redeemed or exchanged on shares held for less than 30 days)\n2.00 %\n2.00 %\nAnnual\nFund Operating Expenses (Expenses that You Pay Each Year as a Percentage of the Value of Your Investment)\nInstitutional\nClass Shares\nRetail\nClass Shares\nManagement\nFees\n0.90 %\n0.90 %\nDistribution\nand Service (12b-1) Fee (1)\nNone\n0.25 %\nOther\nExpenses\n0.28 %\n0.28 %\nShareholder\nServices Fee\nNone\n0.06 %\nAcquired\nFund Fees and Expenses (2)\n0.03 %\n0.03 %\nTotal\nAnnual Fund Operating Expenses\n1.21 %\n1.52 %\nFee\nWaiver and Expense Reimbursement (3)\n( 0.26 %)\n( 0.24 %)\nTotal\nAnnual Fund Operating Expenses (after fee waiver and expense reimbursement)\n0.95 %\n1.28 %\n(1) Pursuant\nto a Distribution and Services Plan for Retail Class Shares, Retail Class Shares may pay 12b-1 fees at annual rates not exceeding 0.50%\nof the average daily net asset value of Retail Class Shares. The Board of Trustees has approved fees at an annual rate of 0.25% of the\naverage daily net asset value for the current fiscal year. However, that rate may be increased up to 0.50% in subsequent years without\nshareholder approval.\n(2)\nThe operating expenses\nin this fee table will not correlate to the expense ratio in the Fund s Financial Highlights because the financial statements\ninclude only the direct operating expenses incurred by the Fund. Therefore, amounts may not agree with the Financial Highlights due\nto the inclusion in this table of Acquired Fund Fees and Expenses.\n(3)\nGoehring Rozencwajg\nAssociates, LLC, the Fund s investment adviser ( GRA or the Adviser ), has contractually agreed to\nlimit the amount of the Fund s total annual fund operating expenses, exclusive of Acquired Fund Fees and Expenses, brokerage\nexpenses, interest expense, taxes and extraordinary expenses, to 0.92% and 1.25% of the Fund s average daily net assets for\nInstitutional Class shares and Retail Class shares, respectively. This agreement is in effect through September 30, 2026 , may only\nbe terminated before then by the Board of Trustees, and is reevaluated on an annual basis. With respect to the Fund, the Adviser\nshall be permitted to recover, on a class-by-class basis, expenses it has borne subsequent to the effective date of the agreement\ndescribed above (whether through reduction of its management fee or otherwise) only to the extent that the Fund s expenses\nin later periods fall below the lesser of (1) the expense limit in effect at the time the Adviser waives or limits the expenses and\n(2) the expense limit in effect at the time the Adviser seeks to recover the expenses; provided, however, that the Fund will not\nbe obligated to pay any such reduced fees and expenses more than three years after the date on which the fee and expense was reduced.\n1\nExample\nThis example helps you compare the costs of investing\nin the Fund with the cost of investing in other mutual funds. The example assumes that you invest $10,000 in the Fund for the time periods\nindicated and then redeem all of your shares at the end of those periods. The example also assumes that your investment has a 5% return\neach year and that the Fund s operating expenses remain the same. After one year, the example does not take into consideration the\nAdviser s current agreement to waive fees.\nAlthough\ny\n...\na fee based on an\nannual rate of 0.90% of the Fund s average daily net assets. For the period June 1, 2024 to May 31, 2025, the Fund s gross\nadvisory fees of $1,072,451 were waived, resulting in a payment of $2,598,067 in net advisory fees.\nA discussion regarding the basis for the Board\nof Trustees approval of the management contract for the Fund will be provided in the Fund s Form N-CSR filing for the semi-annual\nperiod ended November 30, 2025.\nThe Portfolio Managers\nLeigh R. Goehring and Adam Rozencwajg serve as portfolio\nmanagers with primary responsibility for the day-to-day management of the Fund s portfolio and full discretionary authority over\nthe selection of investments for the Fund. Each of Mr. Goehring and Mr. Rozencwajg has served as the Fund s portfolio manager since\nthe Fund s inception. More information about each portfolio manager s compensation, other accounts managed by each portfolio\nmanager and each portfolio manager s ownership of securities in each Fund is included in the SAI.\nPORTFOLIO\nMANAGER/TITLE\nPAST\n5 YEARS BUSINESS EXPERIENCE\nLeigh R. Goehring,\nPortfolio Manager\nManaging Partner of GRA; Prior to January 2016,\nSole Portfolio Manager at Chilton Global Natural Resources Fund; Joined Chilton Investment Company in 2005. Prior to 2005, Sole Portfolio\nManager at Prudential-Jennison Natural Resources Fund (known as the Prudential Global Natural Resources Fund prior to 2000); Joined\nPrudential-Jennison Natural Resources Fund in 1991.\nAdam A. Rozencwajg,\nPortfolio Manager\nManaging Partner of GRA; Prior to January 2016,\nVice President at the Chilton Investment Company, working exclusively as a member of the Chilton Global Natural Resources Fund with\nMr. Goehring; Joined Chilton Investment Company in 2007.\nAdministrator, Distributor and Transfer Agent\nALPS Fund Services, Inc. (the Transfer Agent )\nserves as the Fund s administrator, fund accounting agent and transfer agent. ALPS Distributors, Inc. (the Distributor )\nserves as the Fund s distributor.\n26\nAdditional Information\nThe Fund enters into contractual arrangements with\nvarious parties, including, among others, the Fund s Adviser, shareholder service provider, custodian, Transfer Agent and Distributor,\nwho provide services to the Fund. Shareholders are not parties to, or intended (or third-party ) beneficiaries of, any of\nthose contractual arrangements, and those contractual arrangements are not intended to create in any individual shareholder or group of\nshareholders any right to enforce them against the service providers or to seek any remedy under them against the service providers, either\ndirectly or on behalf of the Fund.\nThis Prospectus provides information concerning the\nFund that you should consider in determining whether to purchase shares of the Fund. None of this Prospectus, the SAI or any contract\nthat is an exhibit to the Fund s registration statement, is intended to, nor does it, give rise to an agreement or contract between\nthe Fund and any investor, or give rise to any contract or other rights in any individual shareholder, group of shareholders or other\nperson other than any rights conferred explicitly by applicable federal or state securities laws that may not be waived.\nThe Trust s Amended and Restated Agreement and\nDeclaration of Trust (the Declaration of Trust ) provides that shareholders shall not have the right to bring or enforce\ncertain types of claims except as provided in the Declaration of Trust or in the Trust s Bylaws (the Bylaws ) or expressly\nprovided by law and not permitted to be waived. The Declaration of Trust provides that no shareholder shall have the right to bring or\nmaintain any court action or other proceeding asserting a derivative claim (as\n...\nund s\ninvestments is available in the Fund s annual and semi-annual reports to shareholders and in Form N-CSR. In the Fund s annual\nreport, you will find a discussion of the market conditions and investment strategies that significantly affected the Fund s performance\nduring its last fiscal year. In Form N-CSR, you will find the Fund s annual and semi-annual financial statements.\nThe Fund sends only one report to a household if more\nthan one account has the same address. Contact the Transfer Agent if you do not want this policy to apply to you.\nStatement of Additional Information\nThe SAI provides more detailed information about the\nFund. It is incorporated by reference into (is legally a part of) this combined Prospectus.\nHow to Obtain Additional Information\nYou\ncan obtain shareholder reports, when available, or the SAI (without charge), make inquiries or request other information about the Fund\nby contacting the Transfer Agent at 1-844-464-6467 or writing the Fund at 115 Broadway, 5th Floor, New York, NY 10006, or calling your\nfinancial consultant. This information is also available free of charge on the Fund s website at www.gr-funds.com.\nText-only\ncopies of the Fund s reports and SAI are available free from the EDGAR Database on the SEC s website at http://www.sec.gov.\nCopies of this information may be obtained, after paying a duplicating fee, by electronic request at the following email address: publicinfo@sec.gov.\nIf someone makes a statement about the Fund that is\nnot in this Prospectus, you should not rely upon that information. Neither the Fund nor the Distributor is offering to sell shares of\nthe Fund to any person to whom the Fund may not lawfully sell its shares.\nInvestment Company Act File No. 811-23177\nSTATEMENT OF ADDITIONAL INFORMATION\nSeptember 26, 2025\nGOEHRING ROZENCWAJG INVESTMENT FUNDS\nGoehring Rozencwajg Resources Fund\nInstitutional Class Shares (GRHIX)\nRetail Class Shares (GRHAX)\n115 Broadway, 5th Floor\nNew York, NY 10006\nGoehring Rozencwajg Investment Funds (the\nTrust ) is an open-end series management investment company organized as a Massachusetts business trust. The Goehring\nRozencwajg Resources Fund (the Fund ) is a series of the Trust.\nThis Statement of Additional Information ( SAI )\nis not a prospectus and is only authorized for distribution when preceded or accompanied by the Fund s current prospectus dated\nSeptember 26, 2025, as supplemented from time to time (the Prospectus ). This SAI supplements and should be read in conjunction\nwith the Prospectus. The Prospectus is incorporated by reference into this SAI. Copies of the Prospectus and the Annual\nReport to Shareholders may be obtained without charge by writing the Fund at the address listed above, or by calling the Fund s\ntransfer agent at 1-844-464-6467.\nTABLE OF CONTENTS\nINVESTMENT\nOBJECTIVES AND POLICIES\n1\nADDITIONAL INVESTMENT\nACTIVITIES AND RISKS\n2\nINVESTMENT LIMITATIONS\n41\nTEMPORARY DEFENSIVE\nPOSITIONS\n42\nPORTFOLIO TURNOVER\n42\nDISCLOSURE OF PORTFOLIO\nHOLDINGS\n42\nPORTFOLIO TRANSACTIONS\nAND BROKERAGE\n45\nPURCHASE AND REDEMPTION\nOF SHARES\n47\nTRUSTEES AND OFFICERS\n51\nINVESTMENT ADVISER\n59\nPRINCIPAL HOLDERS OF\nSECURITIES\n61\nPORTFOLIO MANAGERS\n62\nNET ASSET VALUE\n64\nDISTRIBUTIONS AND TAXES\n65\nDESCRIPTION OF THE TRUST\n79\nOTHER INFORMATION ABOUT\nTHE FUND\n82\nPERFORMANCE INFORMATION\n82\nFINANCIAL STATEMENTS\n83\nAppendix A - Proxy Voting\nPolicies and Procedures\nA-1\nINVESTMENT OBJECTIVES AND POLICIES\nThe Prospectus discusses the investment objectives\nof the Fund, as well as the strategies it employs to achieve those objectives. The Fund is a no-load investment\n...\nr agent, fund accountant, principal underwriter,\nsoftware or technology service providers, pricing and proxy voting service providers, research and trading service providers, auditors,\naccountants, and legal counsel, or any other entity that has a need to know such information in order to fulfill their contractual obligations\nto provide services to the Fund.\nPolicy Overview\nThe Board has adopted, on behalf of the Fund,\npolicies and procedures relating to disclosure of the Portfolio Holdings. These policies and procedures are designed to protect the confidentiality\nof the Portfolio Holdings information and to prevent the selective disclosure of such information. These policies and procedures\nmay be modified at any time with the approval of the Board.\nIn order to protect the Fund from any trading\npractices or other use by a Third Party that could harm the Fund, Portfolio Holdings and other Fund-specific information must not\nbe selectively released or disclosed except under the circumstances described below.\nThe Board will periodically review the list of\nentities that have received, other than through public channels, Portfolio Holdings data, to ensure that the disclosure of the information\nwas in the best interest of shareholders, identify any potential for conflicts of interest and evaluate the effectiveness of its current\nportfolio holding policy.\nThe identity of such entities is provided below:\nName of Recipient\nFrequency of\nHoldings Disclosure\nInformation\nLag\nDate of\nInformation\nDate Provided\nto Recipients\nGoehring Rozencwajg Associates, LLC\n(Adviser)\nDaily\nNone\nDaily\nDaily\nALPS Distributors, Inc.\n(Distributor)\nAs needed\nNone\nAs needed\nAs needed\nALPS Fund Services, Inc.\n(Administrator)\nDaily\nNone\nDaily\nDaily\nRopes Gray LLP\n(Counsel)\nAs needed\nNone\nAs needed\nAs needed\nState Street Bank Trust Company\n(Custodian)\nDaily\nNone\nDaily\nDaily\nGrant Thornton LLP\n(Independent Registered Public Accounting Firm)\nAs needed\nNone\nAs needed\nAs needed\n43\nOnly the Adviser s chief compliance officer\nor general counsel (or persons designated by the Adviser s general counsel or chief compliance officer), may approve the disclosure\nof the Fund s Portfolio Holdings. Except as set forth under Policy Exceptions below, exceptions to this Policy may\nonly be made if the Adviser s chief compliance officer or general counsel, or an officer of the Fund in consultation with the Adviser s\nchief compliance officer or general counsel, determines that the disclosure is being made for a legitimate business purpose. Such disclosures\nmust be documented and reported to the Board on a quarterly basis. In all cases, Third Parties and Service Providers are required to execute\na non-disclosure agreement requiring the recipient to keep confidential any Portfolio Holdings data received and not to trade on the Confidential\nPortfolio Information (defined below) received. Neither the Trust nor its Service Providers (nor any persons affiliated with either) can\nreceive any compensation or other consideration in connection with the sharing of the Fund s Portfolio Holdings.\nDisclosure of Portfolio Holdings information that\nis not publicly available ( Confidential Portfolio Information ) may be made to Service Providers. In addition, to the extent\npermitted under applicable law, the Adviser may regularly distribute (or authorize the custodian or principal underwriter to distribute)\nConfidential Portfolio Information to the Fund s relevant Service Providers and facilitate the review of the Fund by certain mutual\nfund analysts and ratings agencies (such as Morningstar and Lipper Analytical", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "transferAgent": ["TransferAgent"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:Goehring_Rozencwajg_Resources_Fund", "p": "administrator", "o": "org:ALPS_Fund_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Goehring_Rozencwajg_Resources_Fund", "p": "advisedBy", "o": "org:Goehring_Rozencwajg_Associates_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Goehring_Rozencwajg_Resources_Fund", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Goehring_Rozencwajg_Resources_Fund", "p": "seriesOf", "o": "trust:Goehring_Rozencwajg_Investment_Funds", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Goehring_Rozencwajg_Resources_Fund", "p": "transferAgent", "o": "org:Alps_Fund_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:Goehring_Rozencwajg_Investment_Funds", "p": "underwrittenBy", "o": "org:ALPS_Distributors_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> Goehring & Rozencwajg Resources Fund <predicate_marker> administrator <object_marker> ALPS Fund Services, Inc. <predicate_marker> advisedBy <object_marker> Goehring & Rozencwajg Associates, LLC <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> Goehring & Rozencwajg Investment Funds <predicate_marker> transferAgent <object_marker> Alps Fund Services, Inc. <triple_end>\n<triple_start> Goehring & Rozencwajg Investment Funds <predicate_marker> underwrittenBy <object_marker> ALPS Distributors, Inc. <triple_end>", "target_serialized_plain": "Goehring & Rozencwajg Resources Fund administrator ALPS Fund Services, Inc. ; advisedBy Goehring & Rozencwajg Associates, LLC ; custodian State Street Bank and Trust Company ; seriesOf Goehring & Rozencwajg Investment Funds ; transferAgent Alps Fund Services, Inc. .\nGoehring & Rozencwajg Investment Funds underwrittenBy ALPS Distributors, Inc. .", "stats": {"input_chars": 14537, "n_triples": 6, "text_to_json_ratio": 24.2}}
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{"sample_id": "0001771146:ALL", "cik": "0001771146", "trust_name": "ETF Opportunities Trust", "input_text": "ty, express or implied, to the owners of the Shares or any member of the public regarding the advisability of investing in securities generally or in the Shares in particular, or as to the ability of any Fund to meet its investment objective. The Adviser has entered into an agreement with the Sponsor pursuant to which the Sponsor and the Adviser have jointly assumed the obligation of the Adviser to pay all expenses of the Fund, except excluded expenses. The Sponsor will also provide marketing support for the Fund including, but not limited to, providing the Fund with access to and the use of the Sponsor s marketing capabilities, including leveraging the Sponsor s expertise in developing marketing strategies and communications through print and electronic media. For its services, the Sponsor is entitled to a fee from the Adviser, which is calculated daily and paid monthly, based on a percentage of the average daily net assets of the Fund. The Sponsor does not act as a distributor to the Funds and does not sell shares of the Funds. All Funds are distributed through the Distributor. The Portfolio Manager Matthew Tuttle, Chief Executive Officer of the Adviser, has served as the Fund s portfolio manager since their inception in 2026. Matthew Tuttle has been involved in the financial services industry since 1990. He has an MBA in finance from Boston University and is the author of two financial books, Financial Secrets of My Wealthy Grandparents and How Harvard and Yale Beat the Market . He has been launching and managing ETFs since 2015. The SAI provides additional information about the portfolio manager s compensation, other accounts managed by the portfolio manager, and the portfolio manager s ownership in the Fund. The Trust 33 The Fund is a non-diversified series of the ETF Opportunities Trust, an open-end management investment company organized as a Delaware statutory trust on March 18, 2019. The Board supervises the operations of the Fund according to applicable state and federal law, and the Board is responsible for the overall management of the Fund s business affairs. Portfolio Holdings A description of the Fund s policies and procedures with respect to the disclosure of the Fund s portfolio securities is available in the Fund s SAI. Complete holdings are published on the Fund s website on a daily basis. Please visit the Fund s website at www.rexshares.com. In addition, the Fund s complete holdings (as of the dates of such reports) are available in reports on Form N-PORT and Form N-CSR filed with the SEC. DISTRIBUTION (12B-1) PLAN The Board has adopted a Distribution and Shareholder Service Plan (the Plan ) pursuant to Rule 12b-1 under the 1940 Act. In accordance with the Plan, the Fund is authorized to pay an amount up to 0.25% of its average daily net assets each year for certain distribution-related activities and shareholder services. No Rule 12b-1 fees are currently paid by the Fund, and there are no current plans to impose these fees. However, in the event Rule 12b-1 fees are charged in the future, because the fees are paid out of the Fund s assets, over time these fees will increase the cost of your investment and may cost you more than certain other types of sales charges. HOW TO BUY AND SELL SHARES Most investors will buy and sell shares of the Fund through broker-dealers at market prices. Shares of the Fund are listed for trading on the Exchange and on the secondary market during the trading day and can be bought and sold throughout the trading day like other shares of publicly traded securities. Shares may only be purch\n...\nhe aggregate market value of the securities received plus any cash received. The Internal Revenue Service ( Service ), however, may assert that a loss realized upon an exchange of securities for Creation Units cannot be deducted currently under the rules governing wash sales or for other reasons. Persons exchanging securities should consult their own tax adviser with respect to whether the wash sale rules apply and when a loss might be deductible. Any capital gain or loss realized upon redemption of Creation Units is generally treated as long-term capital gain or loss if the Creation Units have been held for more than one year and as short-term capital gain or loss if the Creation Units have been held for one year or less. If you purchase or redeem Creation Units, you will be sent a confirmation statement showing how many Creation Units you purchased or sold and at what price. See Taxes in the SAI for a description of the requirement regarding basis determination methods applicable to share redemptions (including redemptions of Creation Units) and the Fund s obligation to report basis information to the Service. At the time that this prospectus is being prepared, various administrative and legislative changes to the U.S. federal tax laws are under consideration, but it is not possible at this time to determine whether any of these changes will take place or what the changes might entail. The foregoing discussion summarizes some of the possible consequences under current U.S. federal income tax law of an investment in the Fund. It is not a substitute for personal tax advice. Consult your personal tax adviser about the potential tax consequences of an investment in the shares under all applicable tax laws. See Taxes in the SAI for more information. FUND SERVICE PROVIDERS Commonwealth Fund Services, Inc. (the Administrator ) is the Fund s administrator. The firm is primarily in the business of providing administrative services to retail and institutional mutual funds and exchange-traded funds. Citi Fund Services Ohio, Inc. ( Citi ) serves as the Funds fund accountant, and it provides certain other services to the Funds not provided by the Administrator. Citi is primarily in the business of providing administrative, fund accounting services to retail and institutional exchange-traded funds and mutual funds. Citibank, N.A. serves as the Funds custodian and transfer agent. Foreside Fund Services, LLC (the Distributor ) serves as the Distributor of Creation Units for the Fund on an agency basis. The Distributor does not maintain a secondary market in shares. Practus, LLP serves as legal counsel to the Trust and the Fund. Cohen Company, Ltd. serves as the Fund s independent registered public accounting firm. The independent registered public accounting firm is responsible for auditing the annual financial statements of the Fund. OTHER INFORMATION Continuous Offering The method by which Creation Units of shares are created and traded may raise certain issues under applicable securities laws. Because new Creation Units of shares are issued and sold by the Fund on an ongoing basis, a distribution, as such term is used in the Securities Act of 1933, as amended (the Securities Act ), may occur at any point. Broker-dealers and other persons are cautioned that some activities on their part may, depending on the circumstances, result in their being deemed participants in a distribution in a manner which could render them statutory underwriters and subject them to the prospectus delivery requirement and liability provisions of the Securities Act. 37 For example, a broker-dealer firm or its client may be deemed a statutory underwriter if it takes Creation Units after placing an order with the Distributor, breaks them down into constituent shares and sells the shares directly to customers or if it chooses to couple the creation of a supply of new shares with an active selling effort involving solicitation of secondary market demand for shares. A determination of whether one is an underwriter for purposes of the Securities Act must take into account all the facts and circumstances pertain\n...\nthe candidate s perceived ability to contribute to the ongoing functions of the Board, including the candidate s ability and commitment to attend meetings regularly and work collaboratively with other members of the Board; (vii) the candidate s ability to qualify as an Independent Trustee and any other actual or potential conflicts of interest involving the candidate and the Trust; and (viii) such other factors as the Nominating and Corporate Governance Committee determines to be relevant in light of the existing composition of the Board and any anticipated vacancies. Prior to making a final recommendation to the Board, the Nominating and Corporate Governance Committee shall conduct personal interviews with those candidates it concludes are the most qualified candidates. 57 OTHER INFORMATION Item 28. Exhibits (a)(1) Certificate of Trust of ETF Opportunities Trust ( Registrant ) is herein incorporated by reference from the Registrant s Pre-Effective Amendment No 1 on Form N-1A/ A filed on June 15, 2020. (a)(2) Agreement and Declaration of Trust is herein incorporated by reference from the Registrant s Pre-Effective Amendment No 1 on Form N-1A/A filed on J une 15, 2020. (b) By-Laws of the Registrant is herein incorporated by reference from the Registrant s Pre-Effective Amendment No 1 on Form N-1A/A filed on J une 15, 2020. (c) Articles IV, VII and VIII of the Declaration of Trust, Exhibit 28(a)(2) above, define the rights of holders of the securities being registered. (Certificates for shares are not issued.) (d)(1) Advisory Agreement between the Registrant and Ridgeline Research LLC dated December 4, 2019 is herein incorporated by reference from the Registrant s Pre-Effective Amendment No. 1 on Form N-1A/A filed on J une 15, 2020. (d)(2) Sub-Advisory Agreement between Vident Asset Management and Ridgeline Research LLC dated October 6, 2023 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 130 on Form N-1A filed on March 29, 2024. (d)(3) Amended Advisory Agreement between the Registrant and Formidable Asset Management, LLC dated March 9, 2021 is herein incorporated by reference from the Registrant's Post-Effective Amendment No. 65 on Form N-1A filed on July 31, 2023. (d)(4) Sub-Advisory Agreement between Tidal Investments, LLC and Formidable Asset Management, LLC dated May 30, 2024 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 223 on Form N-1A filed on February 18, 2025. (d)(5) Advisory Agreement between the Registrant and Applied Finance Advisors, LLC dated March 9, 2021 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 11 on Form N-1A filed on July 20, 2021 . (d)(6) Sub-Advisory Agreement between Tidal Investments, LLC and Applied Finance Advisors, LLC dated March 9, 2021 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 201 on Form N-1A filed on December 13, 2024. (d)(7) Advisory Agreement between the Registrant and Kingsbarn Capital Management, LLC dated November 1, 2021 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 45 on Form N-1A filed on March 30, 2023. (d)(8) Sub-Advisory Agreement between Vident Asset Management and Kingsbarn Capital Management, LLC dated October 6, 2023 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 130 on Form N-1A filed on March 29, 2024 . (d)(9) Advisory Agreement between the Registrant and WealthTrust Asset Management, LLC dated November 10, 2021 is herein incorporated by re\n...\nrm N-1A filed on April 30, 2026. (d)(14) Amended Investment Advisory Agreement between the Registrant and Tuttle Capital Management LLC * (d)(15) Management Agreement between T-REX (Cayman) Portfolios SPC and Tuttle Capital Management, LLC dated March 18, 2025 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 454 on Form N-1A filed on November 7, 2025. (d)(16) Amendment No. 1 to Management Agreement between T-REX (Cayman) Portfolios SPC and Tuttle Capital Management, LLC dated July 17, 2025 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 454 on Form N-1A filed on November 7, 2025. (d)(17) Amendment No. 2 to Management Agreement between T-REX (Cayman) Portfolios SPC and Tuttle Capital Management, LLC dated August 27, 2025 is herein incorporated by reference from the Registrant's Post-Effective Amendment No. 802 on Form N-1A filed on May 27, 2026. (d)(18) Amendment No. 3 to Management Agreement between T-REX (Cayman) Portfolios SPC and Tuttle Capital Management, LLC dated October 28, 2025 is herein incorporated by reference from the Registrant's Post-Effective Amendment No. 802 on Form N-1A filed on May 27, 2026. (d)(19) Amendment No. 4 to Management Agreement between T-REX (Cayman) Portfolios SPC and Tuttle Capital Management, LLC dated November 19, 2025 is herein incorporated by reference from the Registrant's Post-Effective Amendment No. 802 on Form N-1A filed on May 27, 2026. (d)(20) Amendment No. 5 to Management Agreement between T-REX (Cayman) Portfolios SPC and Tuttle Capital Management, LLC dated April 24, 2026 is herein incorporated by reference from the Registrant's Post-Effective Amendment No. 802 on Form N-1A filed on May 27, 2026. (d)(21) Advisory Agreement between the Registrant and REX Advisers, LLC dated August 15, 2023, September 27, 2023, February 21, 2024, September 25, 2024, March 11, 2025, and May 1, 2025 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 325 on Form N-1A filed on July 28, 2025. (d)(22) Amended Advisory Agreement between the Registrant and REX Advisers, LLC * (d)(23) Sub-Advisory Agreement between REX Advisers, LLC and Vident Asset Management dated August 15, 2023, as amended September 27, 2023, February 21, 2024, September 25, 2024, and March 11, 2025 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 240 on Form N-1A filed on March 24, 2025. (d)(24) Amended Sub-Advisory Agreement between REX Advisers, LLC and Vident Asset Management * (d)(25) Sub- Advisory Agreement between REX Advisers, LLC and Tuttle Capital Management, LLC on behalf of the T-REX 3X ETFs and T-REX 4X ETFs * (d)(26) Sub-Advisory Agreement between Brendan Wood TopGun Partnerships Inc. and Tuttle Capital Management, LLC dated September 26, 2023 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 101 on Form N-1A filed on October 20, 2023 . (d)(27) Advisory Agreement between the Registrant and IDX Advisors, LLC dated September 26, 2023 as amended Jun 19, 2025 is incorporated by reference from the Registrant s Post-Effective Amendment No. 438 on Form N-1A filed on October 29, 2025. (d)(28) Sub-Advisory Agreement between Tidal Investments, LLC and IDX Advisors, LLC dated September 26, 2023 as amended May 30, 2024 is herein incorporated by reference from the Registrant s Post-Effective Amendment No. 201 on Form N-1A filed on December 13, 2024. (d)(29) Form of Sub-Advisory Agreement between the Registrant and IDX Advisors, LLC dated Jun 19, 2025 is herein i", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "subAdvisedBy": ["SubAdviser"], "transferAgent": ["Custodian"]}}, "target_triples": [{"s": "fund:REX_AI_Equity_Premium_Income_ETF", "p": "administrator", "o": "org:Commonwealth_Fund_Services_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:REX_AI_Equity_Premium_Income_ETF", "p": "advisedBy", "o": "org:REX_Advisers_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:REX_AI_Equity_Premium_Income_ETF", "p": "custodian", "o": "org:Citibank_N_A", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:REX_AI_Equity_Premium_Income_ETF", "p": "seriesOf", "o": "trust:ETF_Opportunities_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:REX_AI_Equity_Premium_Income_ETF", "p": "subAdvisedBy", "o": "org:Vident_Asset_Management", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:REX_AI_Equity_Premium_Income_ETF", "p": "transferAgent", "o": "org:Citibank_N_A", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> REX AI Equity Premium Income ETF <predicate_marker> administrator <object_marker> Commonwealth Fund Services, Inc. <predicate_marker> advisedBy <object_marker> REX Advisers, LLC <predicate_marker> custodian <object_marker> Citibank, N.A. <predicate_marker> seriesOf <object_marker> ETF Opportunities Trust <predicate_marker> subAdvisedBy <object_marker> Vident Asset Management <predicate_marker> transferAgent <object_marker> Citibank, N.A. <triple_end>", "target_serialized_plain": "REX AI Equity Premium Income ETF administrator Commonwealth Fund Services, Inc. ; advisedBy REX Advisers, LLC ; custodian Citibank, N.A. ; seriesOf ETF Opportunities Trust ; subAdvisedBy Vident Asset Management ; transferAgent Citibank, N.A. .", "stats": {"input_chars": 14958, "n_triples": 6, "text_to_json_ratio": 31.9}}
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{"sample_id": "0001810747:ALL", "cik": "0001810747", "trust_name": "Simplify Exchange Traded Funds", "input_text": "2025-12-31\n0001810747\ncik0001810747:C000238807Member\ncik0001810747:MSCIUSAIMIHealthCareNetTotalReturnUSDIndexMember\n2025-01-01\n2025-12-31\n0001810747\ncik0001810747:C000238807Member\ncik0001810747:MSCIUSAIMIHealthCareNetTotalReturnUSDIndexMember\n2023-03-27\n2025-12-31\niso4217:USD\nxbrli:shares\niso4217:USD\nxbrli:shares\nxbrli:pure\nAs filed with the Securities and Exchange Commission May 18, 2026\nSecurities Act File No. 333-238475\nInvestment Company Act File No. 811-23570\nU.S. SECURITIES AND EXCHANGE COMMISSION\nWashington, D.C. 20549\nFORM N-1A\nREGISTRATION STATEMENT UNDER\nTHE SECURITIES ACT OF 1933\nPre-Effective Amendment No. __\nPost-Effective Amendment No. 223\nand/or\nTHE INVESTMENT COMPANY ACT OF 1940\nAmendment No. 224\nSimplify Exchange Traded Funds\n(Exact Name of Registrant as Specified in its Charter)\n10845 Griffith Peak Drive, 2/F Las Vegas, NV 89135 (Address of Principal Executive Offices)\nRegistrant s Telephone Number, including Area Code: 646-585-0476\nThe Corporation Trust Company\nCorporation Trust Center\n1209 Orange Street\nWilmington, Delaware 19801\n(Name and address of agent for service)\nCopy to:\nJoAnn M. Strasser\nThompson Hine LLP\n41 South High Street, Suite 1700\nColumbus, Ohio 43215\nIt is proposed that this filing will become effective:\nImmediately upon filing pursuant to paragraph (b)\nOn May 19, 2026 pursuant to paragraph (b)\n60 days after filing pursuant to paragraph (a)(1)\nOn (date) pursuant to paragraph (a)(1)\n75 days after filing pursuant to paragraph (a)(2)\nOn (date) pursuant to paragraph (a)(2) of Rule 485.\nIf appropriate, check the following box:\nThis post-effective amendment designates a new effective date for a previously filed post-effective amendment.\nFund Name\nTicker Symbol (Exchange)\nSimplify Propel Opportunities ETF\nSURI (NYSE Arca, Inc.)\na series of Simplify Exchange Traded Funds\nPROSPECTUS\nMay 19, 2026\nwww.simplify.us/etfs\nphone: 1 (855) 772-8488\nThis Prospectus provides important information about the Fund that you should know before investing. Please read it carefully and keep it for future reference.\nThese securities have not been approved or disapproved by the Securities and Exchange Commission nor has the Securities and Exchange Commission passed upon the accuracy or adequacy of this Prospectus. Any representation to the contrary is a criminal offense.\nThe Fund s shares are listed and traded on the Exchange listed above.\nTABLE OF CONTENTS\nFUND SUMMARY SIMPLIFY PROPEL OPPORTUNITIES ETF\n1\nADDITIONAL INFORMATION ABOUT PRINCIPAL INVESTMENT STRATEGIES AND RELATED RISKS\n10\nInvestment Objective\n10\nPrincipal Investment Strategies\n10\nPrincipal Investment Risks\n12\nPortfolio Holdings Disclosure\n19\nCybersecurity\n19\nMANAGEMENT\n19\nInvestment Adviser\n19\nInvestment Sub-Adviser\n20\nPortfolio Managers\n20\nHOW SHARES ARE PRICED\n21\nHOW TO BUY AND SELL SHARES\n22\nFREQUENT PURCHASES AND REDEMPTIONS OF FUND SHARES\n23\nDISTRIBUTION AND SERVICE PLAN\n23\nDIVIDENDS, OTHER DISTRIBUTIONS AND TAXES\n23\nFUND SERVICE PROVIDERS\n25\nOTHER INFORMATION\n25\nFINANCIAL HIGHLIGHTS\n27\ni\nFUND SUMMARY SIMPLIFY PROPEL OPPORTUNITIES ETF\nInvestment Objective: The Simplify Propel Opportunities ETF (the Fund or SURI ) seeks long-term capital appreciation.\nFees and Expenses of the Fund: This table describes the fees and expenses that you may pay if you buy, hold, and sell shares of the Fund. You may pay other fees, such as brokerage commissions and other fees to financial intermediaries on the purchase and sale of Fund shares, which are not reflected in the tables and examples below.\nAnnual Fund Operating Expenses (expenses that you pay each year as a percentage o\n...\nstatements include only the direct operating expenses incurred by the Fund.\n(3)\nThe adviser and sub-adviser have each agreed to waive its respective advisory and sub-advisory fee by 0.25% on an annualized basis through May 31, 2027. This waiver may be terminated by the Trust s Board of Trustees on 60 days written notice to the adviser and sub-adviser and will terminate automatically if the management agreement or sub-advisory agreement is terminated.\nExample: This Example is intended to help you compare the cost of investing in the Fund with the cost of investing in other funds.\nThe Example assumes that you invest $10,000 in the Fund for the time periods indicated and then redeem all of your shares at the end of those periods. The Example also assumes that your investment has a 5% return each year and that the Fund s operating expenses remain the same. The Example further assumes that the Fund s fee waiver agreement will only be in place for the term specified above. Although your actual costs may be higher or lower, based upon these assumptions your costs would be:\n1 Year\n3 Years\n5 Years\n10 Years\n$ 259\n$ 848\n$ 1,462\n$ 3,120\n1\nPortfolio Turnover: The Fund pays transaction costs, such as commissions, when it buys and sells securities (or turns over its portfolio). A higher portfolio turnover rate may indicate higher transaction costs and may result in higher taxes when Fund shares are held in a taxable account. These costs, which are not reflected in annual fund operating expenses or in the Example, affect the Fund s performance. During the most recent fiscal year, the Fund s portfolio turnover rate was 22 % of the average value of its portfolio.\nPrincipal Investment Strategies: The Fund is an actively managed exchange-traded fund ( ETF ). The Fund s investment adviser Simplify Asset Management Inc. (the Adviser ) collaborates with the Fund s sub-adviser, Propel Bio Management, LLC (the Sub-Adviser ), to seek to achieve the Fund s investment objective. The Fund concentrates its investments (i.e., invests more than 25% of its net assets) in the securities of issuers in the biotechnology, pharmaceuticals, healthcare technology, and life science tools and services industries. Each of these industries are commonly categorized within the healthcare sector because they share similar economic features and regulatory constraints. The Fund also may invest in securities of issuers engaged in energy-related endeavors such as the production, generation, and sale of energy resources. The Sub-Adviser employs an actively managed opportunistic multi-asset strategy that focuses on common stock, preferred stock, convertible bonds, structured notes, corporate notes and bonds, and ETFs that primarily invest in the preceding security types. The Fund also may invest in money market funds. The Adviser employs a derivatives strategy to partially protect or enhance Fund returns. The Sub-Adviser is responsible for security selection and the Adviser is responsible for trade execution, regulatory oversight of the Fund and the derivatives strategy.\nThe Fund invests without restriction as to security currency, issuer capitalization (including micro-capitalization), or country and without restriction as to debt credit quality, maturity, structure, or issuer type. Lower quality corporate debt is commonly known as a junk bond. Junk bonds are generally rated lower than Baa3 by Moody s Investors Service, Inc. or lower than BBB- by Standard and Poor s Ratings Group or lower than BBB- by Fitch Ratings, Inc. The Fund may invest in privately placed and restricted securities (including 144A bonds). The Fund is classified as a non-diversified fund under the Inv\n...\nrendered plus any Cash Component it pays. An Authorized Participant that exchanges Creation Units for securities will generally recognize a gain or loss equal to the difference between the exchanger s basis in the Creation Units and the sum of the aggregate market value of the securities received plus any cash equal to the difference between the NAV of the Shares being redeemed and the value of the securities. The Internal Revenue Service ( Service ), however, may assert that a loss realized upon an exchange of securities for Creation Units cannot be deducted currently under the rules governing wash sales or for other reasons. Persons exchanging securities should consult their own tax advisor with respect to whether wash sale rules apply and when a loss might be deductible.\nAny capital gain or loss realized upon redemption of Creation Units is generally treated as long-term capital gain or loss if the Shares have been held for more than one year and as short-term capital gain or loss if the Shares have been held for one year or less.\nIf you purchase or redeem Creation Units, you will be sent a confirmation statement showing how many Shares you purchased or sold and at what price. See Tax Status in the SAI for a description of the newly effective requirement regarding basis determination methods applicable to Share redemptions and the Fund s obligation to report basis information to the Service.\nThe foregoing discussion summarizes some of the possible consequences under current federal tax law of an investment in the Fund. It is not a substitute for personal tax advice. Consult your personal tax advisor about the potential tax consequences of an investment in the Shares under all applicable tax laws. See Tax Status in the SAI for more information.\nFUND SERVICE PROVIDERS\nBank of New York Mellon is the Fund s administrator, transfer agent, custodian and fund accountant. It has its principal office at 240 Greenwich St., New York, NY 10286, and is primarily in the business of providing administrative, fund accounting and transfer agent services to retail and institutional mutual funds.\nForeside Financial Services, LLC (the Distributor ), located at Three Canal Plaza, Suite 100, Portland, ME 04101, is the distributor for the shares of the Fund. The Distributor is a registered broker-dealer and member of the Financial Industry Regulatory Authority, Inc. ( FINRA ).\nThompson Hine LLP, 41 South High Street, Suite 1700, Columbus, OH 43215, serves as legal counsel to the Trust.\nCohen\nCompany, Ltd., located at 1835 Market St., Suite 310, Philadelphia, PA 19103, serves as the Fund s independent registered\npublic accounting firm. The independent registered public accounting firm is responsible for auditing the annual financial statements\nof the Fund.\nPropel Bio Management, LLC, located at 1800 Avenue of the Stars, Los Angeles, CA 90067, serves as sub-adviser to the Fund.\nOTHER INFORMATION\nContinuous Offering\nThe method by which Creation Units of Shares are created and traded may raise certain issues under applicable securities laws. Because new Creation Units of Shares are issued and sold by the Fund on an ongoing basis, a distribution, as such term is used in the Securities Act of 1933, as amended (the Securities Act ), may occur at any point. Broker-dealers and other persons are cautioned that some activities on their part may, depending on the circumstances, result in their being deemed participants in a distribution in a manner which could render them statutory underwriters and subject them to the prospectus delivery requirement and liability provisions of the Securities Act.\n25\nFor example, a broker-dealer firm or its client may be deemed a statutory underwriter if it takes Creation Units after placing an order with the Distributor, breaks them down into constituent Shares and sells the Shares directly to customers or if it chooses to couple the creation o\n...\nproxy advisory firm uses as a basis for its voting recommendations;\nwhether the proxy advisory firm has adequate policies and procedures to identify, disclose, and address actual and potential conflicts of interest.\nClass Action Lawsuits\nFrom time to time, securities held in the accounts of clients will be the subject of class action lawsuits. SAMI has no obligation to determine if securities held by the client are subject to a pending or resolved class action lawsuit. It also has no duty to evaluate a client s eligibility or to submit a claim to participate in the proceeds of a securities class action settlement or verdict. Furthermore, the Company has no obligation or responsibility to initiate litigation to recover damages on behalf of clients who may have been injured because of actions, misconduct, or negligence by corporate management of issuers whose securities are held by clients.\nWhere the Company receives written or electronic notice of a class action lawsuit, settlement, or verdict directly relating to a client account, it will forward all notices, proof of claim forms, and other materials, to the client. Electronic mail is acceptable where appropriate if the client has authorized contact in this manner.\nA- 4\nPART C: OTHER INFORMATION\nItem 28. Exhibits\n(a)\n(1)\nCertificate of Trust dated February 28, 2020, as filed with the State of Delaware on February 28, 2020, for Simplify Exchange Traded Funds (the Registrant or Trust ) 2\n(2)\nAgreement and Declaration of Trust of the Registrant 3\n(b)\n(1)\nBy-Laws of the Registrant 3\n(b)\n(2)\nAmended and Restated By-Laws of the Registrant 22\n(c)\nNot applicable.\n(d)\n(1)\nManagement Agreement between the Registrant and Simplify Asset Management Inc. (the Adviser ) 21\n(2)\nInvestment Sub-Advisory Agreement between the Adviser and Volt Equity LLC ( Volt ) 5\n(3)\nManagement Agreement between the Adviser and the Simplify Volatility Premium Cayman Fund 6\n(4)\nManagement Agreement between the Adviser and the Simplify U.S. Equity PLUS Bitcoin Cayman Fund 7\n(5)\nManagement Agreement between the Adviser and the Simplify Managed Futures Strategy Cayman Fund 12\n(6)\nManagement Agreement between the Adviser and the Simplify Bitcoin Strategy PLUS Income Cayman Fund 14\n(7)\nInvestment Sub-Advisory Agreement between the Trust, Adviser and the Sub-Adviser with respect to the Simplify Propel Opportunities ETF 17\n(8)\nFee Waiver Agreement between the Trust, Adviser and the Sub-Adviser with respect to the Simplify Propel Opportunities ETF 27\n(9)\nManagement Agreement between the Adviser and the Simplify Commodities No K-1 Strategy Cayman Fund 18\n(10)\nManagement Agreement between the Registrant and Adviser on behalf of the Simplify Multi-QIS Alternative Cayman Fund 21\n(11)\nInvestment Sub-Advisory Agreement between the Adviser and Asterozoa Capital, LLC with respect to Simplify Opportunistic Income ETF 19\n(12)\nTrading Advisory Agreement between Adviser and Altis Partners (Jersey) Limited 18\nC- 1\n(13)\nFee Waiver Agreement between the Trust, the Adviser, the Sub-Adviser with respect to Simplify Opportunistic Income ETF 21\n(14)\nManagement Agreement between the Registrant and Adviser on behalf of the Simplify Enhanced Income Cayman Fund Limited 19\n(15)\n(i)\nAmendment to Exhibit A of the Management Agreement between the Trust and Adviser 39\n(ii)\nAmendment to Exhibit A of the Management Agreement between the Trust and Adviser to add Simplify DBi CTA Managed Futures Index ETF 40\n(16)\nFee Waiver Agreement between the Trust and the Adviser with respect to Simplify Short Term Treasury Futures Strategy ETF, Simplify Intermediate Term Treasury Futures Strategy ETF, Simplify Macro Strategy ETF, Simplify Aggregate Bond ETF, Simplify High Yield PLUS Credit Hedge ETF, and Simplify MBS ETF 21\n(17)\nAmendment to Exhibit A of the Fee Waiver Agreement between the Trust and the Adviser as previously filed on October 27, 2023 21\n(18)\nInvestment Sub-Advisory Agreement between the Trust, Adviser and System 2 Advisors L.P. with respect to the Simplify Tara India Opportunities ETF 22\n(19)\nFee Waiver Agreement between the Adviser and System 2 Advisors L.P. with respect to Simplify Tara India Opportunities ETF 27\n(20)\nInvestment Sub-Advisory Agreement between the Adviser and Gamma Asset Management LLC with respect to Simplify Gamma Emerging Market Bond ETF 25\n(21)\nInvestment Sub-Advisory Agreement between the Trust, Adviser, and FCO Advisors LP with respect to Simplify National Muni Bond ETF 25\n(22)\nFee Waiver Agreement between the Trust and the Adviser with respect to Simplify Gamma Emerging Market Bond ETF 36\n(23)\nSub-Advisory Fee Waiver Agreement between the Adviser and the Sub-Adviser with respect to Simplify Gamma Emerging Market Bond ETF 25\n(24)\nManagement Agreement between Adviser and Simplify Gold Strategy PLUS Income Cayman Fund 28\n(25)\nInvestment Sub-Advisory Agreement between the Adviser and Kayne Anderson Capital Advisors, L.P. with respect to Simplify Kayne Anderson Energy and Infrastructure Credit ETF 33\n(26)\nInvestment Sub-Advisory Agreement between the Adviser and Piper Sandler Co. with respect to Simplify Piper Sandler US Small-Cap PLUS Income ETF 31\nC- 2\n(27)\nManagement Agreement with respect to Simplify Chinese Commodities Strategy No K-1 ETF Subsidiary 42\n(28)\nTrading Advisory Agreement between Adviser and Altis Partners (Jersey) Limited with respect to Simplify Chinese Commodities Strategy No K-1 ETF 42\n(29)\nFee Waiver Agreement between the Trust and the Adviser with respect to Simplify US Equity PLUS Managed Futures Strategy ETF 41\n(30)\nInvestment Sub-Advisory Agreement between the Adviser and Ancorato with respect to Simplify Ancorato Target 25 Distribution ETF 39\n(31)\nManagement Agreement with respect to Simplify DBi CTA Managed Futures Index Subsidiary 40\n(32)\nAmendment to Management Agreement to add Simplify Tax Aware Alternatives ETF and Simplify Tax Aware Diversified Income Strategy ETF ( Tax Aware ETFs ) 44\n(33)\nFee Waiver Agreement with respect to Tax Aware ETFs 44\n(34)\nAmendment to Management Agreement to add Simplify Silverlight Active Equity ETF ( Silverlight ETF ) 32\n(35)\nFee Waiver Agreement with respect to Silverlight ETF 32\n(36)\nInvestment Sub-Advisory Agreement between the Adviser and Silverlight Asset Management, LLC with respect to Silverlight ETF 32\n(37)\nAmendment to Management Agreement to add Simplify Kayne Energy and Infrastructure Equity ETF and Simplify Kayne Power Infrastructure Equity ETF ( Kayne ETFs ) 32\n(38)\nInvestment Sub-Advisory Agreement between the Adviser and Kayne Anderson Capital Advisors, L.P. with respect to Kayne ETFs 32\n(e)\n(1)\nDistribution Agreement 3\n(2)\nAmendment to the ETF Distribution Agreement 41\n(3)\nAmendment to the ETF Distribution Agreement for the purpose of adding Simplify Tax Aware ETFs 44\n(4)\nAmendment to the ETF Distribution Agreement for the purpose of adding Simplify", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Administrator"], "seriesOf": ["Trust"], "transferAgent": ["Administrator"], "subAdvisedBy": ["SubAdviser"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:Simplify_Aggregate_Bond_ETF", "p": "administrator", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Simplify_Aggregate_Bond_ETF", "p": "advisedBy", "o": "org:Simplify_Asset_Management_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Simplify_Aggregate_Bond_ETF", "p": "custodian", "o": 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Bank of New York Mellon ; advisedBy Simplify Asset Management Inc. ; custodian The Bank of New York Mellon ; seriesOf Simplify Exchange Traded Funds ; transferAgent The Bank of New York Mellon .\nSimplify Volt TSLA Revolution ETF administrator The Bank of New York Mellon ; advisedBy Simplify Asset Management Inc. ; custodian The Bank of New York Mellon ; seriesOf Simplify Exchange Traded Funds ; subAdvisedBy Volt Equity LLC ; transferAgent The Bank of New York Mellon .\nSimplify Exchange Traded Funds underwrittenBy Foreside Financial Services, LLC .", "stats": {"input_chars": 18075, "n_triples": 178, "text_to_json_ratio": 1.2}}
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{"sample_id": "0001859001:ALL", "cik": "0001859001", "trust_name": "WisdomTree Digital Trust", "input_text": "rally expects to invest in investments whose risk, return,\nand other characteristics resemble the risk, return, and other characteristics of the constituents of the Index or the Index as a whole.\nThe Fund also may invest in a sample of the constituents of the Index whose risk, return, and other characteristics resemble those of\nthe Index as a whole.\nThe Index is provided by Volos Portfolio\nSolutions, Inc. ( Volos or the Index Provider ). The Index tracks the value of a cash-secured ( i.e. ,\ncollateralized) put option sales strategy, which consists of (1) selling (or writing ) put options on the SPDR S P 500\nETF Trust ( SPY ) (the SPY Puts ) and (2) a cash collateral account that accrues\ninterest at a theoretical three-month Treasury bill rate on a daily basis. SPY Puts are derivative instruments that typically rise in\nvalue when the price of SPY falls because SPY Puts are options to sell SPY at a designated strike price. All SPY Puts are exchange-listed\nstandardized options. The Index s put option sales strategy is designed to generate income when SPY exhibits neutral to positive\nperformance with low volatility, as such performance is expected to decrease the hypothetical price of the sold SPY Puts. The Index selects\nSPY Puts that target a premium of 2.5% ( i.e. , the SPY Put costs approximately 2.5% of the official daily price of SPY). At any\ngiven time, the Index references two SPY Puts with expiration dates that are two weeks apart.\n2 WisdomTree Digital Trust Prospectus\nTable of Contents\nIn seeking to track the price and\nyield performance, before fees and expenses, of the Index, the Fund expects to sell put options on the S P 500\nIndex ( Index Options ) and hold U.S. Treasury bills. The Fund also may use SPY Puts and any\nother call or put option or futures contracts WisdomTree Digital Management, Inc. ( WisdomTree Digital Management or the\nAdviser ) or Newton Investment Management North America, LLC ( NIMNA or the Sub-Adviser ) believes\nwill enable the Fund to implement its investment strategy and achieve its investment objective. By selling an Index Option, the Fund\nreceives a premium from the option buyer. The premium will increase the Fund s return if the sold Index Option has decreased in\nprice on the Roll Date (as defined below) relative to the premium received by the Fund from writing the Index Option. The Index Option\nwill decrease in price if the S P 500 Index experiences\npositive performance because the Index Option is more valuable when the value of the S P 500\nIndex decreases and/or experiences high volatility. If, however, the price of the sold Index Option increases\ncompared to the price of the Index Option when written by the Fund ( e.g. , in response to the S P 500\nIndex decreasing in value and/or experiencing high volatility), the Fund pays the buyer the difference\nbetween the Index Option price on the Roll Date and the Index Option price when written by the Fund. The Fund s sale of cash-secured\nIndex Options serves to partially offset a decline in the value of the S P 500\nIndex to the extent of the premiums received. However, if the value of the S P 500\nIndex increases beyond the premiums received, Fund returns would not be expected to increase accordingly.\nThe Fund s potential return is limited to the amount of the option premiums it receives. Under normal circumstances, the Fund will\ninvest at least 80% of its net assets, plus any borrowings for investment purposes, in investments that seek to provide the Fund with\npremium income related to selling derivative contracts on equity securities or equity indexes or will invest in other instruments that\nprovide similar economic characteristics.\nThe Index Options sold by the Fund are\nselected to target a premium of 2.5% ( i.e. , the cash received by the Fund from the buyer of the Index Option is approximately 2.5%\nof the daily value of the S P 500 Index). At any given\ntime, the Fund holds at least two Index Options (or other investments designed to achieve the same effect) with different expiration dates.\nThe Fund generally closes out the Index Options prior to their expiration dates, and newly selected Index Options are sold by the Fund\non the same day (the Roll Date ) in a process known as rolling . Rolling refers to the practice of closing out\none options position and opening another with a different expiration date and/or a different strike price. When an Index Option is closed\nout by the Fund on the Roll Date, the Fund generally selects a new Index Option with a target expiration date in the following month.\nEach new Index Option will also have a strike price that is the higher of (i) the at the money strike price ( i.e. ,\na strike price that is closest to but greater than the current market value of the S P 500\nIndex), or (ii) the strike price for an Index Option that has a premium closest to 2.5%.\nBy following the Index s put option sales strategy, as described\nabove, the Fund expects to operate in a manner similar to, and subject to the same risks as, the Index. The number of Index Options sold\nby the Fund varies but is limited by the amount held by the Fund in U.S. Treasury bills. At each Roll Date, any settlement from the existing\nIndex Options is paid from the U.S. Treasury bills investment proceeds and new Index Options are sold. The revenue from their sale is\nadded to the Fund s U.S. Treasury bills account.\nThe Fund is managed in a way that seeks, under normal circumstances,\nto provide monthly distributions at a relatively stable level.\nUse of Blockchain\nAs described further below, through its transfer agent, the Fund uses\nblockchain technology in relation to maintaining a record of its shares. The following Use of Blockchain section describes\nwhat blockchain technology is and how the Fund uses it for the recording of its shares.\nWisdomTree Transfers, Inc., the Fund s transfer agent ( WisdomTree\nTransfers or Transfer Agent ), maintains the official record of share ownership through an integrated recordkeeping\nsystem with records in book-entry form and digital representations of Fund shares that are recorded or tokenized on the\napplicable blockchain. A transfer of the record on the blockchain can act as an information source for the Transfer Agent to register\na transaction in its book-entry records. The Transfer Agent will reconcile book-entry and blockchain transactions on at least a daily\nbasis. Reconciliation involves maintaining a matching book-entry record and blockchain record of the total number of shares in circulation,\nthe ownership of the shares at any given time, and all transactions between parties involving the shares. The Transfer Agent s book-entry\nrecords constitute the official record of share ownership. The policies and procedures of the Fund and the Transfer Agent both address\nthe use of blockchain integrated recordkeeping systems. The Fund s Board of Trustees (the Board ) has approved these\npolicies and procedures, including those that address the use of blockchain integrated recordkeeping systems.\nA blockchain is an open, distributed ledger that digitally\nrecords transactions in a verifiable way using cryptography. A distributed ledger is a database in which data is stored in a\ndecentralized manner. Cryptography is a method of storing and transmitting data in a particular form so that only those for whom it\nis intended can read and process it. A blockchain stores transaction data in blocks that are linked together to form a\nchain , and hence the name blockchain. Transactions on the blockchain are verified and authenticated by computers on\nthe network. The process of authentic\n...\nlon, a banking and financial\nservices company. Its offices are located at 201 Washington Street, Boston, Massachusetts\n02108. As of September 30, 2025, NIMNA s assets under management totaled approximately\n$54.9 billion. NIMNA is part of a group of affiliated companies that provide investment advisory\nservices under the brand name Newton Investment Management. Investment advisory\nservices are provided in the United States by NIMNA. NIMNA chooses the Fund s portfolio\ninvestments and places orders to buy and sell the portfolio investments. WisdomTree Digital\nManagement pays NIMNA for providing sub-advisory services to the Fund.\nA discussion regarding the basis for the Board s approval\nof the Fund s Investment Advisory Agreement will be available in the Fund s Semi-Annual or Annual Report.\nPortfolio Managers NIMNA\nutilizes teams of investment professionals acting together to manage the assets of the Fund.\nThe individual members of the team who are jointly and primarily responsible for the day-to-day\nmanagement of the Fund s portfolio are identified below.\nJames\nStavena is the Head of Portfolio Management, Multi-Asset Solutions at NIMNA since September\n2021. Prior thereto, James was a portfolio manager and senior portfolio manager at Mellon\nInvestments Corporation and Mellon Capital (both BNY Mellon group companies). James joined\nthe BNY Mellon group of companies in 1998. Earlier in his career, James was a currency options\ntrader with both Credit Suisse First Boston and HSBC in New York and London, respectively.\nHe received his M.B.A. from Rice University and has over 30 years of investment experience.\nTorrey\nZaches is a Portfolio Manager, Multi-Asset Solutions team at NIMNA since September 2021.\nPrior thereto, Torrey was a portfolio manager and senior portfolio manager at Mellon Investments\nCorporation and Mellon Capital (both BNY Mellon group companies). Prior to joining BNY Mellon\nin 1998, Torrey worked at Mercer Global Advisors providing global asset allocation investment\nsolutions to small businesses and high net worth clients. He earned an MBA from the University\nof Southern California and a BA in economics from the University of California at Santa Barbara.\nHe holds the CFA designation\nand is a member of the CFA Institute.\nThe Fund s SAI provides additional information about the Portfolio\nManagers compensation, other accounts managed by the Portfolio Managers, and the Portfolio Managers ownership of shares\nin the Fund.\n20 WisdomTree Digital Trust Prospectus\nTable of Contents\nAdditional Information About the Purchase and Redemption of Fund\nShares\nThe Fund is available for purchase by individual or institutional\ninvestors.\nIndividual Investors:\nGetting Started\nIndividual investors will need to establish an account with WisdomTree\nDigital. In order to open a new account, you will first need to download the App made available by WisdomTree or its affiliate, WisdomTree\nDigital, via the Apple App Store or Google Play, which is free to download. The account application process is completed entirely through\nthe App. As a convenience provided by WisdomTree Digital and its affiliates, you can also sign up for services you may want on your account\nby completing the appropriate sections of the application.\nTransacting in Fund Shares Subject\nto the purchase and redemption requirements stated in this prospectus, you may purchase or\nredeem shares through the App, although purchases and redemptions of Fund shares will only\nbe processed on days and during hours that the NYSE is open for business. The minimum transaction\namount with respect to a pur\n...\nrd, or any other agency of the U.S. government;\nare\nnot deposits or obligations of, or guaranteed or endorsed by, any bank; and\nare\nsubject to investment risks, including the possible loss of principal.\nTHE\nU.S. SECURITIES AND EXCHANGE COMMISSION (THE SEC ) HAS NOT APPROVED OR DISAPPROVED THESE SECURITIES OR PASSED UPON THE ADEQUACY\nOF THIS SAI. ANY REPRESENTATION TO THE CONTRARY IS A CRIMINAL OFFENSE.\nTable\nof Contents\nGENERAL DESCRIPTION OF THE TRUST AND THE\nFUND\n1\nINVESTMENT STRATEGY AND RISKS\n1\nGENERAL RISKS\n1\nSPECIFIC INVESTMENT STRATEGIES\n8\nPROXY VOTING POLICY\n15\nPORTFOLIO HOLDINGS DISCLOSURE POLICIES AND PROCEDURES\n17\nINVESTMENT LIMITATIONS\n17\nMANAGEMENT OF THE TRUST\n18\nBROKERAGE TRANSACTIONS\n29\nADDITIONAL INFORMATION CONCERNING THE TRUST\n30\nTAXES\n30\nDETERMINATION OF NAV\n34\nDIVIDENDS AND DISTRIBUTIONS\n35\nMISCELLANEOUS INFORMATION\n35\nFINANCIAL STATEMENTS\n35\nTable of Contents\nGENERAL\nDESCRIPTION OF THE TRUST AND THE FUND\nThe\nTrust was organized as a Delaware statutory trust on April 19, 2021 and has multiple series or portfolios. The Trust is an open-end management\ninvestment company, registered under the Investment Company Act of 1940, as amended (the 1940 Act ). The Fund is a series\nof the Trust and is non-diversified within the meaning of the 1940 Act. The offering of the Trust s shares is registered\nunder the Securities Act of 1933, as amended (the Securities Act ).\nWisdomTree\nDigital Management, Inc. ( WisdomTree Digital Management or the Adviser ) serves as the investment adviser to\nthe Fund. WisdomTree, Inc. ( WisdomTree ) is the ultimate parent company of the Adviser. Newton Investment Management North\nAmerica, LLC (NIMNA or the Sub-Adviser ) is the investment sub-adviser to the Fund. NIMNA and the Adviser may be referred\nto collectively as the Advisers ). Foreside Fund Services, LLC serves as the distributor (the Distributor )\nof the shares of the Fund.\nWisdomTree\nis a registered mark of WisdomTree and has been licensed for use by the Trust.\nINVESTMENT\nSTRATEGY AND RISKS\nGENERAL\nRISKS.\nChanging\neconomic, political or financial market conditions in one country or geographic region could adversely affect the market value of the\nsecurities held by the Fund in a different country or geographic region due to increasingly interconnected global economies and financial\nmarkets. In addition, certain geopolitical and other events, including environmental events and public health events such as epidemics\nand pandemics, may have a global impact and add to instability in world economies and markets generally. As a result, whether or not the\nFund invests in securities of issuers located in or with significant exposure to countries experiencing economic, political, financial\nand/or social difficulties, the value and liquidity of the Fund s investments may be negatively affected by such events. Such market\nconditions also may lead to increased regulation of the Fund and the instruments in which the Fund may invest, which may, in turn, increase\nthe expenses incurred by the Fund and/or affect the Fund s ability to pursue its investment objective and the Fund s performance.\nCurrent\nmarket conditions risk is the risk that a particular investment, or shares of the Fund in general, may fall in value due to current market\nconditions. As a means to fight inflation, which remains at elevated levels, the Federal Reserve and certain foreign central banks have\nraised interest rates and expect to continue to do so, and the Federal Reserve has announced that it intends to reverse previously implemented\nquantitative easing. U.S. regulators have propos\n...\nctor in the interests of the relevant parties and applicable laws.\nAddressing\nConflicts of Interest . Portfolio Managers have a fiduciary duty to manage all client accounts in a fair and equitable manner. To accomplish\nthis, the Sub-Adviser has adopted various policies and procedures (including, but not limited to, policies relating to trading operations,\nbest execution, trade order aggregation and allocation, short sales, cross-trading, code of conduct, personal securities trading, and\npurchases of securities from affiliated underwriters). These procedures are intended to help employees identify and mitigate potential\nside-by-side conflicts of interest such as those described above. The Sub-Adviser has also developed a conflicts matrix listing potential\nside-by-side conflicts, the compliance policies and procedures reasonably designed to mitigate such potential conflicts of interest and\nthe corresponding compliance testing program established with the goal of confirming the Sub-Adviser s adherence to such policies\nand procedures.\nCodes\nof Ethics . The Trust, the Adviser and the Sub-Adviser have each adopted a Code of Ethics pursuant to Rule 17j-1 under the 1940\nAct and Rule 204A-1 under the Advisers Act, where applicable. Each Code of Ethics permits personnel subject to that Code of Ethics to\ninvest in securities for their personal investment accounts, subject to certain limitations, including securities that may be purchased\nor held by the Fund. Each Code of Ethics is on public file with, and is available from the EDGAR Database on the SEC s internet\nsite at http://www.sec.gov, and copies of these codes of ethics may be obtained, after paying a duplicating fee, by electronic request\nat the following email address: publicinfo@sec.gov.\nAdministrator\nand Custodian . The Bank of New York ( BNY Mellon ) serves as administrator and custodian for the Fund. BNY Mellon s\nprincipal address is 240 Greenwich Street, New York, New York 10286. Under the Fund Administration and Accounting Agreement with the Trust,\nBNY Mellon provides certain administrative, legal, tax, and financial reporting services for the maintenance and operations of the Trust\nand the Fund. Under the Custody and Foreign Custody Manager Agreements between the Trust and BNY Mellon, respectively, BNY Mellon serves\nas custodian of assets of the Trust, including securities which the Trust, on behalf of the Fund, desires to be held in places within\nthe United States and securities it desires to be held outside the United States, and provides accounting and other services. BNY Mellon\nis required, upon the order of the Trust, to deliver securities held by BNY Mellon and to make payments for securities purchased by the\nTrust and for the Fund. With respect to the foregoing agreements, the Trust has agreed to limitation of liability for BNY Mellon and/or\nto indemnify BNY Mellon for certain liabilities.\n28\nTable of Contents\nTransfer\nAgent . WisdomTree Transfers, Inc. ( WisdomTree Transfers ) serves as Transfer Agent for the Trust and its principal\naddress is 250 West 34 th Street, 3 rd Floor, New York, NY 10119. WisdomTree Transfers has entered into a Transfer\nAgency and Service Agreement with the Trust, under which it acts as transfer agent for the authorized and issued shares of beneficial\ninterest for the Fund and as dividend disbursing agent of the Trust. WisdomTree Transfers maintains the official record of share ownership\nwith a blockchain integrated record-keeping system on one or more blockchains. The Transfer Agent s experience is limited to the\nFund and the Transfer Agent has l\n...\nhibits are incorporated by reference to the previously filed documents\nindicated below:\n(a)(1)\nCertificate of Trust\nof WisdomTree Digital Trust (the Registrant ) dated April 19, 2021, is incorporated herein by reference to Exhibit (a)(1)\nof the Registrant s Initial Registration Statement on Form N-1A as filed with the Securities and Exchange Commission (the SEC )\nvia EDGAR Accession No. 0001193125-21-136968 on April 28, 2021.\n(2)\nDeclaration of Trust of the Registrant\ndated April 19, 2021, is incorporated herein by reference to Exhibit (a)(2) of the Registrant s Initial Registration Statement on\nForm N-1A as filed with the SEC via EDGAR Accession No. 0001193125-21-136968 on April 28, 2021.\n(3)\nAmended and Restated Declaration of Trust of\nthe Registrant dated June 29, 2022, is incorporated herein by reference to Exhibit (a)(3) of the Registrant s Pre-Effective Amendment\nNo. 4 filing, as filed with the SEC via EDGAR Accession No. 0001214659-22-008714 on July 7, 2022.\n(4)\nRevised Schedule A to the Trust Instrument is filed herewith.\n(b)\nRegistrant s\nBy-Laws, as amended June 29, 2022, are incorporated herein by reference to the Registrant s Pre-Effective Amendment No. 4 filing,\nas filed with the SEC via EDGAR Accession No. 0001214659-22-008714 on July 7, 2022.\n(c)\nNot applicable.\n(d)(1)\nInvestment\nAdvisory Agreement between Registrant and WisdomTree Digital Management, Inc. is incorporated herein by reference to the Registrant s\nPre-Effective Amendment No. 6 filing, as filed with the SEC via EDGAR Accession No. 0001214659-22-011368 on September 21, 2022.\n(2)\nRevised Appendix A to the Investment Advisory Agreement between Registrant and WisdomTree Digital\nManagement, Inc. is filed herewith.\n(3)\nInvestment\nSubadvisory Agreement between WisdomTree Digital Management, Inc. and Voya Investment Management Co. LLC is incorporated herein by reference\nto the Registrant s Pre-Effective Amendment No. 5 filing, as filed with the SEC via EDGAR Accession No. 0001214659-22-009586 on\nAugust 3, 2022.\n(4)\nRevised Appendix\nA to the Investment Subadvisory Agreement between Registrant and Voya Investment Management Co. LLC is incorporated herein by reference\nto Exhibit (d)(4) of the Registrant s Post-Effective Amendment No. 71 filing, as filed with the SEC via EDGAR Accession No. 0001214659-23-013752\non October 20, 2023 .\n(5)\nInvestment\nSubadvisory Agreement between WisdomTree Digital Management, Inc. and Mellon Investments Corporation is incorporated herein by reference\nto the Registrant s Post -Effective Amendment No. 20 filing, as filed with the SEC via EDGAR Accession No. 0001214659-22-014866\non December 13, 2022.\n(6)\nRevised Schedule\nA to the Sub-Advisory Agreement between WisdomTree Digital Management, Inc. and Mellon Investments Corporation, is incorporated herein\nby reference to Exhibit (d)(7) of the Registrant s Post-Effective Amendment No. 86 filing, as filed with the SEC via EDGAR Accession\nNo. 0001214659-25-013564 on September 10, 2025.\n(7)\nInvestment Subadvisory Agreement between WisdomTree Digital Management, Inc. and Newton Investment\nManagement North America, LLC is filed herewith.\nTable of Contents\n(e)(1)\nDistribution\nAgreement between Registrant and Foreside Fund Services, LLC is incorporated herein by reference to the Registrant s Pre-Effective\nAmendment No. 5 filing, as filed with the SEC via EDGAR Accession No. 0001214659-22-009586 on August 3, 2022.\n(2)\nRevised Appendix A to the Distribution Agreement between Registrant and Foreside Fund Services, LLC\nreflecting the addition of the Private Credit and Alternative Income Digital Fund and E", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Administrator"], "seriesOf": ["Trust"], "subAdvisedBy": ["SubAdviser"], "transferAgent": ["TransferAgent"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:WisdomTree_3_7_Year_Treasury_Digital_Fund", "p": "administrator", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": 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"fund:WisdomTree_Technology_and_Innovation_100_Digital_Fund", "p": "advisedBy", "o": "org:WisdomTree_Digital_Management_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Technology_and_Innovation_100_Digital_Fund", "p": "custodian", "o": "org:The_Bank_of_New_York_Mellon", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Technology_and_Innovation_100_Digital_Fund", "p": "seriesOf", "o": "trust:WisdomTree_Digital_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Technology_and_Innovation_100_Digital_Fund", "p": "subAdvisedBy", "o": "org:Mellon_Investments_Corporation", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:WisdomTree_Technology_and_Innovation_100_Digital_Fund", "p": "transferAgent", "o": "org:WisdomTree_Transfers_Inc", 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LLC <predicate_marker> transferAgent <object_marker> WisdomTree Transfers, Inc. <triple_end>\n<triple_start> WisdomTree 500 Digital Fund <predicate_marker> administrator <object_marker> The Bank of New York Mellon <predicate_marker> advisedBy <object_marker> WisdomTree Digital Management, Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> WisdomTree Digital Trust <predicate_marker> subAdvisedBy <object_marker> Mellon Investments Corporation <predicate_marker> transferAgent <object_marker> WisdomTree Transfers, Inc. <triple_end>\n<triple_start> WisdomTree 7-10 Year Treasury Digital Fund <predicate_marker> administrator <object_marker> The Bank of New York Mellon <predicate_marker> advisedBy <object_marker> WisdomTree Digital Management, Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> WisdomTree Digital Trust <predicate_marker> subAdvisedBy <object_marker> Voya Investment Management Co. 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LLC <predicate_marker> transferAgent <object_marker> WisdomTree Transfers, Inc. <triple_end>\n<triple_start> WisdomTree Siegel Global Equity Digital Fund <predicate_marker> administrator <object_marker> The Bank of New York Mellon <predicate_marker> advisedBy <object_marker> WisdomTree Digital Management, Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> WisdomTree Digital Trust <predicate_marker> subAdvisedBy <object_marker> Mellon Investments Corporation <predicate_marker> transferAgent <object_marker> WisdomTree Transfers, Inc. <triple_end>\n<triple_start> WisdomTree Siegel Longevity Digital Fund <predicate_marker> administrator <object_marker> The Bank of New York Mellon <predicate_marker> advisedBy <object_marker> WisdomTree Digital Management, Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> WisdomTree Digital Trust <predicate_marker> subAdvisedBy <object_marker> Mellon Investments Corporation <predicate_marker> transferAgent <object_marker> WisdomTree Transfers, Inc. <triple_end>\n<triple_start> WisdomTree Siegel Moderate Digital Fund <predicate_marker> administrator <object_marker> The Bank of New York Mellon <predicate_marker> advisedBy <object_marker> WisdomTree Digital Management, Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> WisdomTree Digital Trust <predicate_marker> subAdvisedBy <object_marker> Mellon Investments Corporation <predicate_marker> transferAgent <object_marker> WisdomTree Transfers, Inc. <triple_end>\n<triple_start> WisdomTree TIPS Digital Fund <predicate_marker> administrator <object_marker> The Bank of New York Mellon <predicate_marker> advisedBy <object_marker> WisdomTree Digital Management, Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> WisdomTree Digital Trust <predicate_marker> subAdvisedBy <object_marker> Voya Investment Management Co. LLC <predicate_marker> transferAgent <object_marker> WisdomTree Transfers, Inc. <triple_end>\n<triple_start> WisdomTree Technology and Innovation 100 Digital Fund <predicate_marker> administrator <object_marker> The Bank of New York Mellon <predicate_marker> advisedBy <object_marker> WisdomTree Digital Management, Inc. <predicate_marker> custodian <object_marker> The Bank of New York Mellon <predicate_marker> seriesOf <object_marker> WisdomTree Digital Trust <predicate_marker> subAdvisedBy <object_marker> Mellon Investments Corporation <predicate_marker> transferAgent <object_marker> WisdomTree Transfers, Inc. <triple_end>\n<triple_start> WisdomTree Digital Trust <predicate_marker> underwrittenBy <object_marker> Foreside Fund Services, LLC <triple_end>", "target_serialized_plain": "WisdomTree 3-7 Year Treasury Digital Fund administrator The Bank of New York Mellon ; advisedBy WisdomTree Digital Management, Inc. ; custodian The Bank of New York Mellon ; seriesOf WisdomTree Digital Trust ; subAdvisedBy Voya Investment Management Co. 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LLC ; transferAgent WisdomTree Transfers, Inc. .\nWisdomTree Government Money Market Digital Fund administrator The Bank of New York Mellon ; advisedBy WisdomTree Digital Management, Inc. ; custodian The Bank of New York Mellon ; seriesOf WisdomTree Digital Trust ; subAdvisedBy Voya Investment Management Co. LLC ; transferAgent WisdomTree Transfers, Inc. .\nWisdomTree Long-Term Treasury Digital Fund administrator The Bank of New York Mellon ; advisedBy WisdomTree Digital Management, Inc. ; custodian The Bank of New York Mellon ; seriesOf WisdomTree Digital Trust ; subAdvisedBy Voya Investment Management Co. LLC ; transferAgent WisdomTree Transfers, Inc. .\nWisdomTree Short-Duration Income Digital Fund administrator The Bank of New York Mellon ; advisedBy WisdomTree Digital Management, Inc. ; custodian The Bank of New York Mellon ; seriesOf WisdomTree Digital Trust ; subAdvisedBy Mellon Investments Corporation ; transferAgent WisdomTree Transfers, Inc. .\nWisdomTree Short-Term Treasury Digital Fund administrator The Bank of New York Mellon ; advisedBy WisdomTree Digital Management, Inc. ; custodian The Bank of New York Mellon ; seriesOf WisdomTree Digital Trust ; subAdvisedBy Voya Investment Management Co. LLC ; transferAgent WisdomTree Transfers, Inc. .\nWisdomTree Siegel Global Equity Digital Fund administrator The Bank of New York Mellon ; advisedBy WisdomTree Digital Management, Inc. ; custodian The Bank of New York Mellon ; seriesOf WisdomTree Digital Trust ; subAdvisedBy Mellon Investments Corporation ; transferAgent WisdomTree Transfers, Inc. .\nWisdomTree Siegel Longevity Digital Fund administrator The Bank of New York Mellon ; advisedBy WisdomTree Digital Management, Inc. ; custodian The Bank of New York Mellon ; seriesOf WisdomTree Digital Trust ; subAdvisedBy Mellon Investments Corporation ; transferAgent WisdomTree Transfers, Inc. .\nWisdomTree Siegel Moderate Digital Fund administrator The Bank of New York Mellon ; advisedBy WisdomTree Digital Management, Inc. ; custodian The Bank of New York Mellon ; seriesOf WisdomTree Digital Trust ; subAdvisedBy Mellon Investments Corporation ; transferAgent WisdomTree Transfers, Inc. .\nWisdomTree TIPS Digital Fund administrator The Bank of New York Mellon ; advisedBy WisdomTree Digital Management, Inc. ; custodian The Bank of New York Mellon ; seriesOf WisdomTree Digital Trust ; subAdvisedBy Voya Investment Management Co. LLC ; transferAgent WisdomTree Transfers, Inc. .\nWisdomTree Technology and Innovation 100 Digital Fund administrator The Bank of New York Mellon ; advisedBy WisdomTree Digital Management, Inc. ; custodian The Bank of New York Mellon ; seriesOf WisdomTree Digital Trust ; subAdvisedBy Mellon Investments Corporation ; transferAgent WisdomTree Transfers, Inc. .\nWisdomTree Digital Trust underwrittenBy Foreside Fund Services, LLC .", "stats": {"input_chars": 22037, "n_triples": 79, "text_to_json_ratio": 3.2}}
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{"sample_id": "0001869991:ALL", "cik": "0001869991", "trust_name": "Capital Group Growth ETF", "input_text": "ns your costs would be:\n1 year\n3 years\n5 years\n10 years\n$ 40\n$ 125\n$ 219\n$ 493\nPortfolio\nturnover The fund pays transaction costs, such as commissions, when it buys and sells securities\n(or turns over its portfolio). A higher portfolio turnover rate may indicate higher transaction costs and may result in\nhigher taxes when fund shares are held in a taxable account. These costs, which are not reflected in annual fund operating expenses or\nin the example, affect the fund s investment results. During the most recent fiscal year, the fund s portfolio turnover rate\nwas 16 % of the average value of its portfolio.\n1 Capital\nGroup Growth ETF / Prospectus\nPrincipal\ninvestment strategies The fund\ninvests primarily in common stocks and seeks to invest in companies that appear to offer superior opportunities for growth of capital.\nThe fund\nmay invest up to 25% of its assets outside the United States.\nThe fund is nondiversified, which\nmeans it may invest a greater portion of its assets in fewer issuers than would otherwise be the case.\nThe investment\nadviser uses a system of multiple portfolio managers in managing assets. Under this approach, a portfolio is divided into segments managed\nby individual managers. For more information regarding the investment process of the fund, see the Management and organization\nsection of this prospectus.\nThe fund\nrelies on the professional judgment of its investment adviser to make decisions about the fund s portfolio investments. The basic\ninvestment philosophy of the investment adviser is to seek to invest in attractively valued companies that, in its opinion, represent\ngood, long-term investment opportunities. Securities may be sold when the investment adviser believes that they no longer represent relatively\nattractive investment opportunities.\nCapital\nGroup Growth ETF / Prospectus 2\nPrincipal\nrisks This section describes the principal risks\nassociated with investing in the fund. You may lose money by investing in the fund. The likelihood of loss may be greater if you invest\nfor a shorter period of time.\nMarket\nconditions The prices of, and the income generated by, the common stocks and other securities held by the fund may decline\ndue to various factors, including events or conditions affecting the general economy or particular industries or companies; overall market\nchanges; local, regional or global political, social or economic instability; governmental, governmental agency or central bank responses\nto economic conditions; levels of public debt and deficits; changes in inflation rates; and currency exchange rate, interest rate and\ncommodity price fluctuations.\nEconomies\nand financial markets throughout the world are highly interconnected. Events (including public health emergencies, such as the spread\nof infectious disease), bank failures and other circumstances in one country or region could have impacts on global economies or markets.\nAs a result, whether or not the fund invests in securities of issuers located in or with significant exposure to the countries affected,\nthe value and liquidity of the fund s investments may be negatively affected by developments in other countries and regions.\nIssuer\nrisks The prices of, and the income generated by, securities held by the fund may decline in response to various factors\ndirectly related to the issuers of such securities, including reduced demand for an issuer s goods or services, poor management\nperformance, major litigation, investigations or other controversies related to the issuer, changes in the issuer s financial condition\nor credit rating, changes in\n...\nvant\nbenchmarks or other funds with similar objectives.\nCapital\nGroup Growth ETF / Prospectus 4\nYour investment\nin the fund is not a bank deposit and is not insured or guaranteed by the Federal Deposit Insurance Corporation or any other governmental\nagency, entity or person. You should consider how this fund fits into your overall investment program.\nInvestment\nresults The following bar\nchart shows how the fund s investment results have varied from year to year, and the following table shows how the fund s\naverage annual total returns for various periods compare with a broad measure of securities market results and, if applicable, other\nmeasures of market results that reflect the fund s investment universe. This information provides some indication of the risks\nof investing in the fund. Past investment results (before and after taxes) are not predictive of future investment results. Updated information\non the fund s investment results can be obtained by visiting capitalgroup.com/etf .\nAverage annual total returns For the periods ended December 31, 2024: 1 year Lifetime Fund (inception date 2/22/2022 ) 32.02 % 16.29 % After taxes on distributions 31.92 16.18 After taxes on distributions and sale of fund shares 19.03 12.78\nIndexes 1 year Lifetime (since fund s inception) S P 500 Index (reflects no deductions for sales charges, account fees, expenses or U.S. federal income taxes) 25.02 % 13.31 %\nAfter-tax returns are calculated\nusing the highest individual federal income tax rates in effect during each year of the periods shown and do not reflect the impact of\nstate and local taxes. Your actual after-tax returns depend on your individual tax situation and likely will differ from the results\nshown above.\n5 Capital\nGroup Growth ETF / Prospectus\nManagement\nInvestment\nadviser Capital Research and Management Company\nPortfolio managers The individuals primarily responsible for the portfolio management of the\nfund are:\nPortfolio\nmanager/ Fund\ntitle (if applicable)\nPortfolio\nmanager in\nthis fund since:\nPrimary\ntitle with\ninvestment adviser\nJulian\nN. Abdey\n2022\nPartner\nCapital International Investors\nPaul\nBenjamin\n2022\nPartner\nCapital World Investors\nMark\nL. Casey\n2022\nPartner\nCapital International Investors\nIrfan\nM. Furniturewala Co-President\n2022\nPartner\nCapital International Investors\nAnne-Marie\nPeterson\n2022\nPartner\nCapital World Investors\nAndraz\nRazen\n2022\nPartner\nCapital World Investors\nAlan\nJ. Wilson Co-President\n2022\nPartner\nCapital World Investors\nCapital\nGroup Growth ETF / Prospectus 6\nPurchase\nand sale of fund shares The fund\nis an exchange-traded fund ( ETF ). Individual shares of the fund may only be bought and sold in the secondary market through\na broker-dealer at market price. Because ETF shares trade at market prices rather than at NAV, shares may trade at a price greater than\nNAV (a premium) or less than NAV (a discount). An investor may incur costs attributable to the difference between the highest price a\nbuyer is willing to pay to purchase fund shares (bid) and the lowest price a seller is willing to accept for fund shares (ask) when buying\nor selling shares in the secondary market (the bid-ask spread ). Recent information regarding the fund s NAV, market\nprice, premiums and discounts, and bid-ask spread is available at capitalgroup.com/etf.\nTax\ninformation Dividends\nand capital gain distributions you receive from the fund are subject to federal income taxes and may also be subject to state and local\ntaxes, unless you are tax-exempt or your account is tax-favored (in which case you may be taxed later, upon withdrawal of your\n...\nuotations, and debt securities are valued primarily on the basis of prices from third-party pricing services.\nThe fund s portfolio investments are valued in accordance with procedures for making fair value determinations if market quotations\nor prices from third-party pricing services, as applicable, are not readily available or are not considered reliable. For example, if\nevents occur between the close of markets outside the United States and the close of regular trading on the New York Stock Exchange that,\nin the opinion of the investment adviser, materially affect the value of any of the fund s equity securities that trade principally\nin those international markets, those securities will be valued in accordance with fair value procedures. Similarly, fair value procedures\nmay be employed if an issuer defaults on its debt securities and there is no market for its securities. Use of these procedures is intended\nto result in more appropriate net asset values and, where applicable, to reduce potential arbitrage opportunities otherwise available\nto short-term investors.\nBecause\nthe fund may hold securities that are listed primarily on foreign exchanges that trade on weekends or days when the fund does not price\nits shares, the values of securities held in the fund may change on days when you will not be able to purchase or redeem the fund shares.\nCreations\nand redemptions Prior to trading in the secondary market, shares of the fund are created\nat NAV only in block-size creation units or multiples thereof. Creations and redemptions must be made through a firm (an Authorized\nParticipant ) that is a member or participant of a clearing agency registered with the SEC, and that has executed a written agreement\n(the Authorized Participant Agreement ) with the fund s distributor, Capital Client Group, Inc. (the distributor ),\nan affiliate of the investment adviser, with respect to the purchase and redemption of creation units.\nA creation\ntransaction, which is subject to acceptance by the distributor or its agents, generally takes place when an Authorized Participant deposits\ninto the fund a designated portfolio of securities, assets or other positions (a creation basket ), and an amount of cash\n(including any cash representing the value of substituted securities, assets or other positions), if any, which together approximate\nthe holdings of the fund in exchange for a specified number of creation units. Similarly, shares can be redeemed only in creation units,\ngenerally for a designated portfolio of securities, assets or other positions (a redemption basket ) held by the fund and\nan amount of cash (including any portion of such securities, assets or other positions for which cash may be substituted). The fund may,\nin certain circumstances, offer creation units partially or solely for cash.\nExcept when aggregated in one or\nmore creation units, shares are generally not redeemable by the fund. Creation and redemption baskets may differ, and the fund may accept\ncustom baskets. More information regarding custom baskets is contained in the fund s statement of additional information.\nThe prices at which creations and redemptions occur are based on the next calculation of NAV after a creation or redemption order is\nreceived in an acceptable form under the Authorized Participant Agreement.\n21 Capital\nGroup Growth ETF / Prospectus\nAuthorized\nParticipants may create or redeem creation units for their own accounts or for their customers, including, without limitation, affiliates\nof the fund. In the event of a system failure or other interruption, including d\n...\ne fund s offices.\nUnder the Agreement, the investment\nadviser receives a management fee at the annual rate of .39%. Management fees are paid monthly and accrued daily based on the average\nnet assets of the fund. Under the Agreement, the investment adviser pays all ordinary operating expenses of the fund other than (i) interest\nexpenses and other charges in connection with borrowing money, including line of credit and other loan commitment fees; (ii) taxes; (iii)\nbrokerage expenses and commissions and other fees, charges or expenses incurred in connection with the execution of portfolio transactions\nor in connection with creation and redemption transactions; (iv) acquired fund fees and expenses; (v) expenses incident to meetings of\nfund shareholders and the associated preparation, filing and mailing of associated notices and proxy statements; (vi) legal fees or expenses\nin connection with any arbitration, litigation or pending or threatened arbitration or litigation, including any settlements in connection\ntherewith; (vii) any service and distribution expenses pursuant to a plan adopted in accordance with Rule 12b-1 under the 1940 Act; (viii)\nfees and expenses related to the provision of securities lending services, including lending agent fees; (ix) other non-routine or extraordinary\nexpenses; and (x) compensation for management services payable to the investment adviser.\nFor\nthe fiscal years ended May 31, 2025, 2024 and 2023, the investment adviser earned from the fund management fees of $33,647,000, $14,289,000\nand $4,410,000, respectively.\nOther\nservice agreements with third-party service providers The fund has entered into the Transfer\nAgency and Service Agreement (the transfer agency agreement ) and the Administration Agreement (the administration\nagreement ) with State Street Bank and Trust Company ( State Street ). Under the terms of the transfer agency agreement,\nState Street (or an agent, including an affiliate) acts as transfer agent and dividend disbursing agent. Under the terms of the administration\nagreement, State Street provides necessary administrative, legal, tax and accounting, regulatory and financial reporting services for\nthe maintenance and operations of the fund. The investment adviser bears the costs of services under these agreements under the terms\nof both the transfer agency and the administration agreement.\nCapital\nGroup Growth ETF Page 42\nDistributor\nand plan of distribution Capital Client Group, Inc. is the principal underwriter of the\nfund s shares. The distributor is located at 333 South Hope Street, Los Angeles, CA 90071; 6455 Irvine Center Drive, Irvine, CA\n92618; 3500 Wiseman Boulevard, San Antonio, TX 78251; and 12811 North Meridian Street, Carmel, IN 46032.\nThe\nfund shares are continuously offered for sale through the distributor or its agent only in creation units, as described in the Creation\nand redemption of creation units section of this statement of additional information. The fund shares in amounts less than creation\nunits are generally not distributed by the distributor or its agent. The distributor or its agent will arrange for the delivery of the\nprospectus and, upon request, this statement of additional information to persons purchasing creation units and will maintain records\nof both orders placed with it or its agents and confirmations of acceptance furnished by it or its agents. Although the distributor does\nnot receive any fees under the Principal Underwriting Agreement with the fund, Capital Research and Management Company or its affiliates\nmay pay the distributor from time to time", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Administrator"], "seriesOf": ["Trust"], "transferAgent": ["Administrator"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:Capital_Group_Growth_ETF", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Capital_Group_Growth_ETF", "p": "advisedBy", "o": "org:Capital_Research_and_Management_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Capital_Group_Growth_ETF", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Capital_Group_Growth_ETF", "p": "seriesOf", "o": "trust:Capital_Group_Growth_ETF", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Capital_Group_Growth_ETF", "p": "transferAgent", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:Capital_Group_Growth_ETF", "p": "underwrittenBy", "o": "org:Capital_Client_Group_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> Capital Group Growth ETF <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> Capital Research and Management Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> Capital Group Growth ETF <predicate_marker> transferAgent <object_marker> State Street Bank and Trust Company <triple_end>\n<triple_start> Capital Group Growth ETF <predicate_marker> underwrittenBy <object_marker> Capital Client Group, Inc. <triple_end>", "target_serialized_plain": "Capital Group Growth ETF administrator State Street Bank and Trust Company ; advisedBy Capital Research and Management Company ; custodian State Street Bank and Trust Company ; seriesOf Capital Group Growth ETF ; transferAgent State Street Bank and Trust Company .\nCapital Group Growth ETF underwrittenBy Capital Client Group, Inc. .", "stats": {"input_chars": 14413, "n_triples": 6, "text_to_json_ratio": 24.6}}
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{"sample_id": "0001870128:ALL", "cik": "0001870128", "trust_name": "Capital Group Dividend Value ETF", "input_text": "Normally, the fund invests at least 80% of its assets in dividend-paying\ncommon stocks. In addition, the fund primarily invests in larger, more established companies domiciled in the United States with market\ncapitalizations greater than $4.0 billion. The fund also ordinarily invests at least 90% of its equity assets in the stock of companies\nthat have issuer ratings of at least investment grade by Nationally Recognized Statistical Rating Organizations designated by the fund s\ninvestment adviser or that are unrated but determined to be of equivalent quality by the fund s investment adviser. The fund may\ninvest up to 10% of its assets in equity securities of larger companies domiciled outside the United States. The fund invests, under\nnormal market conditions, at least 90% of its assets in equity securities. The fund is designed for investors seeking both income and\ncapital appreciation.\nThe fund\nis nondiversified, which means it may invest a greater portion of its assets in fewer issuers than would otherwise be the case.\nThe investment\nadviser uses a system of multiple portfolio managers in managing assets. Under this approach, a portfolio is divided into segments managed\nby individual managers. For more information regarding the investment process of the fund, see the Management and organization\nsection of this prospectus.\nThe fund relies on the professional\njudgment of its investment adviser to make decisions about the fund s portfolio investments. The basic investment philosophy of\nthe investment adviser is to seek to invest in attractively valued companies that, in its opinion, represent good, long-term investment\nopportunities. Securities may be sold when the investment adviser believes that they no longer represent relatively attractive investment\nopportunities.\nCapital\nGroup Dividend Value ETF / Prospectus 2\nPrincipal risks This section describes the principal risks associated with\ninvesting in the fund. You may lose money by investing in the fund. The likelihood of loss may be greater if you invest for a shorter\nperiod of time.\nMarket\nconditions The prices of, and the income generated by, the common stocks and other securities held by the fund may decline\ndue to various factors, including events or conditions affecting the general economy or particular industries or companies; overall market\nchanges; local, regional or global political, social or economic instability; governmental, governmental agency or central bank responses\nto economic conditions; levels of public debt and deficits; changes in inflation rates; and currency exchange rate, interest rate and\ncommodity price fluctuations.\nEconomies\nand financial markets throughout the world are highly interconnected. Events (including public health emergencies, such as the spread\nof infectious disease), bank failures and other circumstances in one country or region could have impacts on global economies or markets.\nAs a result, whether or not the fund invests in securities of issuers located in or with significant exposure to the countries affected,\nthe value and liquidity of the fund s investments may be negatively affected by developments in other countries and regions.\nIssuer\nrisks The prices of, and the income generated by, securities held by the fund may decline in response to various factors\ndirectly related to the issuers of such securities, including reduced demand for an issuer s goods or services, poor management\nperformance, major litigation, investigations or other controversies related to the issuer, changes in the issuer s financial condition\nor credit rating, c\n...\nderal Deposit Insurance Corporation or any other governmental\nagency, entity or person. You should consider how this fund fits into your overall investment program.\n5 Capital\nGroup Dividend Value ETF / Prospectus\nInvestment results The following bar chart shows how the fund s investment results have varied\nfrom year to year, and the following table shows how the fund s average annual total returns for various periods compare with a\nbroad measure of securities market results and, if applicable, other measures of market results that reflect the fund s investment\nuniverse. This information provides some indication of the risks of investing in the fund. Past investment results (before and after\ntaxes) are not predictive of future investment results. Updated information on the fund s investment results can be obtained by\nvisiting capitalgroup.com/etf .\nAverage annual total returns For the periods ended December 31, 2024: 1 year Lifetime Fund (inception date 2/22/2022 ) 20.11 % 15.16 % After taxes on distributions 19.65 14.70 After taxes on distributions and sale of fund shares 12.22 11.81\nIndexes 1 year Lifetime (since fund s inception) S P 500 Index (reflects no deductions for sales charges, account fees, expenses or U.S. federal income taxes) 25.02 % 13.31 % Russell 1000 Value Index (reflects no deductions for sales charges, account fees, expenses or U.S. federal income taxes) 14.37 7.68\nAfter-tax\nreturns are calculated using the highest individual federal income tax rates in effect during each year of the periods shown and do not\nreflect the impact of state and local taxes. Your actual after-tax returns depend on your individual tax situation and likely will differ\nfrom the results shown above.\nCapital\nGroup Dividend Value ETF / Prospectus 6\nManagement\nInvestment\nadviser Capital Research and Management Company\nPortfolio managers The individuals primarily responsible for the portfolio management of the\nfund are:\nPortfolio\nmanager/ Fund\ntitle (if applicable)\nPortfolio manager in\nthis fund since:\nPrimary\ntitle with\ninvestment adviser\nChristopher\nD. Buchbinder President\n2022\nPartner\nCapital Research Global Investors\nBrittain\nEzzes\n2025\nPartner\nCapital Research Global Investors\nMartin\nJacobs\n2022\nPartner\nCapital Research Global Investors\nJames\nB. Lovelace\n2022\nPartner\nCapital Research Global Investors\nKeiko\nMcKibben\n2022\nPartner\nCapital Research Global Investors\nPurchase and sale of fund shares The fund is an exchange-traded fund ( ETF ). Individual\nshares of the fund may only be bought and sold in the secondary market through a broker-dealer at market price. Because ETF shares trade\nat market prices rather than at NAV, shares may trade at a price greater than NAV (a premium) or less than NAV (a discount). An investor\nmay incur costs attributable to the difference between the highest price a buyer is willing to pay to purchase fund shares (bid) and\nthe lowest price a seller is willing to accept for fund shares (ask) when buying or selling shares in the secondary market (the bid-ask\nspread ). Recent information regarding the fund s NAV, market price, premiums and discounts, and bid-ask spread is available\nat capitalgroup.com/etf.\nTax information Dividends and capital gain distributions you receive from the fund are subject to\nfederal income taxes and may also be subject to state and local taxes, unless you are tax-exempt or your account is tax-favored (in which\ncase you may be taxed later, upon withdrawal of your investment from such account).\nPayments to broker-dealers and other financial intermediaries If you purchase shares of the fund\nthr\n...\nuotations, and debt securities are valued primarily on the basis of prices from third-party pricing services.\nThe fund s portfolio investments are valued in accordance with procedures for making fair value determinations if market quotations\nor prices from third-party pricing services, as applicable, are not readily available or are not considered reliable. For example, if\nevents occur between the close of markets outside the United States and the close of regular trading on the New York Stock Exchange that,\nin the opinion of the investment adviser, materially affect the value of any of the fund s equity securities that trade principally\nin those international markets, those securities will be valued in accordance with fair value procedures. Similarly, fair value procedures\nmay be employed if an issuer defaults on its debt securities and there is no market for its securities. Use of these procedures is intended\nto result in more appropriate net asset values and, where applicable, to reduce potential arbitrage opportunities otherwise available\nto short-term investors.\nBecause\nthe fund may hold securities that are listed primarily on foreign exchanges that trade on weekends or days when the fund does not price\nits shares, the values of securities held in the fund may change on days when you will not be able to purchase or redeem the fund shares.\nCreations\nand redemptions Prior to trading in the secondary market, shares of the fund are created\nat NAV only in block-size creation units or multiples thereof. Creations and redemptions must be made through a firm (an Authorized\nParticipant ) that is a member or participant of a clearing agency registered with the SEC, and that has executed a written agreement\n(the Authorized Participant Agreement ) with the fund s distributor, Capital Client Group, Inc. (the distributor ),\nan affiliate of the investment adviser, with respect to the purchase and redemption of creation units.\n19 Capital\nGroup Dividend Value ETF / Prospectus\nA creation\ntransaction, which is subject to acceptance by the distributor or its agents, generally takes place when an Authorized Participant deposits\ninto the fund a designated portfolio of securities, assets or other positions (a creation basket ), and an amount of cash\n(including any cash representing the value of substituted securities, assets or other positions), if any, which together approximate\nthe holdings of the fund in exchange for a specified number of creation units. Similarly, shares can be redeemed only in creation units,\ngenerally for a designated portfolio of securities, assets or other positions (a redemption basket ) held by the fund and\nan amount of cash (including any portion of such securities, assets or other positions for which cash may be substituted). The fund may,\nin certain circumstances, offer creation units partially or solely for cash.\nExcept when\naggregated in one or more creation units, shares are generally not redeemable by the fund. Creation and redemption baskets may differ,\nand the fund may accept custom baskets. More information regarding custom baskets is contained in the fund s statement\nof additional information. The prices at which creations and redemptions occur are based on the next calculation of NAV after a creation\nor redemption order is received in an acceptable form under the Authorized Participant Agreement.\nAuthorized\nParticipants may create or redeem creation units for their own accounts or for their customers, including, without limitation, affiliates\nof the fund. In the event of a system failure or other interruption, inc\n...\ne fund s offices.\nUnder the Agreement, the investment\nadviser receives a management fee at the annual rate of .33%. Management fees are paid monthly and accrued daily based on the average\nnet assets of the fund. Under the Agreement, the investment adviser pays all ordinary operating expenses of the fund other than (i) interest\nexpenses and other charges in connection with borrowing money, including line of credit and other loan commitment fees; (ii) taxes; (iii)\nbrokerage expenses and commissions and other fees, charges or expenses incurred in connection with the execution of portfolio transactions\nor in connection with creation and redemption transactions; (iv) acquired fund fees and expenses; (v) expenses incident to meetings of\nfund shareholders and the associated preparation, filing and mailing of associated notices and proxy statements; (vi) legal fees or expenses\nin connection with any arbitration, litigation or pending or threatened arbitration or litigation, including any settlements in connection\ntherewith; (vii) any service and distribution expenses pursuant to a plan adopted in accordance with Rule 12b-1 under the 1940 Act; (viii)\nfees and expenses related to the provision of securities lending services, including lending agent fees; (ix) other non-routine or extraordinary\nexpenses; and (x) compensation for management services payable to the investment adviser.\nFor\nthe fiscal years ended May 31, 2025, 2024 and 2023, the investment adviser earned from the fund management fees of $39,769,000, $15,934,000\nand $3,950,000, respectively.\nOther\nservice agreements with third-party service providers The fund has entered into the Transfer\nAgency and Service Agreement (the transfer agency agreement ) and the Administration Agreement (the administration\nagreement ) with State Street Bank and Trust Company ( State Street ). Under the terms of the transfer agency agreement,\nState Street (or an agent, including an affiliate) acts as transfer agent and dividend disbursing agent. Under the terms of the administration\nagreement, State Street provides necessary administrative, legal, tax and accounting, regulatory and financial reporting services for\nthe maintenance and operations of the fund. The investment adviser bears the costs of services under these agreements under the terms\nof both the transfer agency and the administration agreement.\nCapital\nGroup Dividend Value ETF Page 40\nDistributor\nand plan of distribution Capital Client Group, Inc. is the principal underwriter of the\nfund s shares. The distributor is located at 333 South Hope Street, Los Angeles, CA 90071; 6455 Irvine Center Drive, Irvine, CA\n92618; 3500 Wiseman Boulevard, San Antonio, TX 78251; and 12811 North Meridian Street, Carmel, IN 46032.\nThe\nfund shares are continuously offered for sale through the distributor or its agent only in creation units, as described in the Creation\nand redemption of creation units section of this statement of additional information. The fund shares in amounts less than creation\nunits are generally not distributed by the distributor or its agent. The distributor or its agent will arrange for the delivery of the\nprospectus and, upon request, this statement of additional information to persons purchasing creation units and will maintain records\nof both orders placed with it or its agents and confirmations of acceptance furnished by it or its agents. Although the distributor does\nnot receive any fees under the Principal Underwriting Agreement with the fund, Capital Research and Management Company or its affiliates\nmay pay the distributor from time", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Administrator"], "seriesOf": ["Trust"], "transferAgent": ["Administrator"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:Capital_Group_Dividend_Value_ETF", "p": "administrator", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Capital_Group_Dividend_Value_ETF", "p": "advisedBy", "o": "org:Capital_Research_and_Management_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Capital_Group_Dividend_Value_ETF", "p": "custodian", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Capital_Group_Dividend_Value_ETF", "p": "seriesOf", "o": "trust:Capital_Group_Dividend_Value_ETF", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Capital_Group_Dividend_Value_ETF", "p": "transferAgent", "o": "org:State_Street_Bank_and_Trust_Company", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "trust:Capital_Group_Dividend_Value_ETF", "p": "underwrittenBy", "o": "org:Capital_Client_Group_Inc", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}], "target_serialized": "<triple_start> Capital Group Dividend Value ETF <predicate_marker> administrator <object_marker> State Street Bank and Trust Company <predicate_marker> advisedBy <object_marker> Capital Research and Management Company <predicate_marker> custodian <object_marker> State Street Bank and Trust Company <predicate_marker> seriesOf <object_marker> Capital Group Dividend Value ETF <predicate_marker> transferAgent <object_marker> State Street Bank and Trust Company <triple_end>\n<triple_start> Capital Group Dividend Value ETF <predicate_marker> underwrittenBy <object_marker> Capital Client Group, Inc. <triple_end>", "target_serialized_plain": "Capital Group Dividend Value ETF administrator State Street Bank and Trust Company ; advisedBy Capital Research and Management Company ; custodian State Street Bank and Trust Company ; seriesOf Capital Group Dividend Value ETF ; transferAgent State Street Bank and Trust Company .\nCapital Group Dividend Value ETF underwrittenBy Capital Client Group, Inc. .", "stats": {"input_chars": 14412, "n_triples": 6, "text_to_json_ratio": 23.6}}
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{"sample_id": "0001965454:ALL", "cik": "0001965454", "trust_name": "Grandeur Peak Global Trust", "input_text": "ar-to-date return on the Fund s Institutional Class shares was 9.69 % .\nAverage Annual Total Returns\n(for the periods ended December 31, 2024)\n1 Year\n5 Years\n10 Years\nInstitutional Class\nReturn Before Taxes\n- 8.62 %\n2.03 %\n3.53 %\nReturn After Taxes on Distributions\n- 8.24 %\n1.41 %\n3.07 %\nReturn After Taxes on Distributions and Sale of Fund Shares\n- 3.93 %\n1.92 %\n2.93 %\nInvestor Class\nReturn Before Taxes\n- 8.93 %\n1.78 %\n3.29 %\nIndexes ( reflects no deduction for fees, expenses or taxes , other than withholding taxes, as noted) *\nMSCI\nEM SMID Cap Index (Net) **\n3.18 %\n5.42 %\n4.42 %\nMSCI\nEM IMI Index (Net) **\n7.09 %\n2.51 %\n3.90 %\n*\nThe MSCI EM IMI Index is considered the primary benchmark to comply with regulations requiring comparison of the Fund to a broad-based securities market index. The Adviser believes the MSCI EM SMID Cap Index better represents the Fund s investment strategy.\n**\nNet performance reflects the reinvestment of dividends after the deduction of withholding taxes, using a tax rate applicable to non-resident individuals who do not benefit from double taxation treaties.\n6\nAfter-tax returns are calculated using the historically highest individual U.S. federal marginal income tax rates and do not reflect the impact of state and local taxes. Actual after-tax returns depend on your individual tax situation and may differ from those shown in the preceding table. The after-tax return information shown above does not apply to Fund shares held through a tax-advantaged account, such as a 401(k) plan or an IRA.\nAfter-tax returns are shown only for Institutional Class shares of the Fund. After-tax returns for Investor Class shares will vary from those shown for Institutional Class shares due to varying sales charges and expenses among the classes.\nINVESTMENT ADVISER\nGrandeur Peak Global Advisors, LLC is the investment adviser to the Fund.\nPORTFOLIO MANAGERS\nLead Portfolio Managers: Blake Walker and Liping Cai, since inception of the Fund, and Juliette Douglas, since January 2025. Mr. Walker was a lead portfolio manager of the Predecessor Fund from its inception in 2013. Ms. Cai was a portfolio manager of the Predecessor Fund from 2018.\nPURCHASE AND SALE OF FUND SHARES\nThe Fund offers two classes of shares, Investor Class and Institutional Class shares. The minimum initial investment for both share classes is $1,000 for each account; except that the minimum to open an UGMA/UTMA or a Coverdell Education Savings Account is $100. There is no subsequent minimum investment amount for either share class.\nPurchases, exchanges and redemptions may be made on any day the New York Stock Exchange is open for trading through institutional channels, such as financial intermediaries and retirement platforms, or directly with the Fund through the Fund s website at www.grandeurpeakglobal.com, by telephone at 855-377-PEAK(7325) or by regular mail c/o Ultimus Fund Solutions, LLC, P.O. Box 46707, Cincinnati, OH 45246.\nTAX INFORMATION\nFor U.S. federal income tax purposes, the Fund s distributions may be taxed as ordinary income, capital gains, qualified dividend income or Section 199A dividends, except when your investment is held in an IRA, 401(k) or other tax-advantaged investment plan. Withdrawals from a tax-advantaged investment plan will be subject to special tax rules.\nPAYMENTS TO BROKER-DEALERS AND OTHER FINANCIAL INTERMEDIARIES\nIf you purchase the Fund through a broker-dealer or other financial intermediary (such as a bank), the Adviser or its affiliates may pay the intermediary for the sale of Fund shares and related services. These payments ma\n...\nfunds at Grandeur Peak Global Advisors\nCFA is a trademark owned by the CFA Institute.\nBlake H. Walker\nMr. Walker is the Chief Executive Officer of Grandeur Peak Global Advisors.\nMr. Walker has been a lead portfolio manager for the Grandeur Peak Global Opportunities and Grandeur Peak International Opportunities Funds since their inception as Predecessor Funds in 2011, for the Grandeur Peak Emerging Markets Opportunities Fund since its inception as a Predecessor Fund in 2013, and for the Grandeur Peak Global Contrarian Fund and Grandeur Peak International Contrarian Fund since 2025. Mr. Walker has been a guardian portfolio manager of the Grandeur Peak International Stalwarts Fund since its inception as a Predecessor Fund in 2015.\nBefore co-founding the Adviser in 2011, Mr. Walker was a portfolio manager co-managing two funds at Wasatch Advisors. Mr. Walker joined the research team at Wasatch Advisors in 2001 and launched his first fund, the Wasatch International Opportunities Fund in 2005. He teamed up with Robert Gardiner in 2008 to launch the Wasatch Global Opportunities Fund. Mr. Walker has a B.S. in Accounting from Brigham Young University. He is originally from Toronto, Canada. Mr. Walker speaks French and lived in France for two years.\n101\nExperience\n2001 - 2005\nAnalyst on the Wasatch Micro Cap Fund and the Wasatch International Growth Fund\n2005 - 2011\nFounder and Lead Manager of the Wasatch International Opportunities Fund\n2008 - 2011\nFounder and Co-Manager of the Wasatch Global Opportunities Fund\n2011 - 2016\nChief Investment Officer of Grandeur Peak Global Advisors\n2011 - present\nPortfolio Manager of various funds at Grandeur Peak Global Advisors\n2017 - present\nChief Executive Officer of Grandeur Peak Global Advisors\nAdministrator, Transfer Agent and Distributor\nUltimus Fund Solutions, LLC serves as the Funds administrator, fund accounting agent and transfer agent, and Northern Lights Distributors, LLC (the Distributor ) serves as the Funds distributor.\nBuying, Exchanging and Redeeming Shares\nClasses of Shares\nThe Grandeur Peak Emerging Markets Opportunities Fund, Grandeur Peak Global Opportunities Fund, Grandeur Peak Global Reach Fund, Grandeur Peak Global Stalwarts Fund, Grandeur Peak International Opportunities Fund and Grandeur Peak International Stalwarts Fund currently offer two classes of shares, Investor Class and Institutional Class shares. The Grandeur Peak Global Contrarian Fund, the Grandeur Peak Global Explorer Fund, the Grandeur Peak Global Micro Cap Fund, the Grandeur Peak International Contrarian Fund, and the Grandeur Peak US Stalwarts Fund only offer Institutional Class shares.\nEach share class of a Fund represents an investment in the same portfolio of securities, but each share class has its own charges and expense structure, allowing you to choose the class that best meets your situation. When you purchase shares of a Fund, you must choose a share class.\nFactors you should consider in choosing a class of shares include:\nhow long you expect to own the shares;\nhow much you intend to invest;\ntotal expenses associated with owning shares of each class\nInvestment Minimums\nThe minimum initial investment for Investor Class and Institutional Class shares is $1,000 for each account; except that the minimum to open an UGMA/UTMA or a Coverdell Education Savings Account is $100. There is no subsequent investment minimum for either share class.\nA Fund reserves the right to waive or change minimum and additional investment amounts. For accounts sold through financial intermediaries, it is the primary responsibility of the financial intermediary to ensure compliance with investment minimums. Employees of the Adviser and their ext\n...\nfiles and buildings.\nOur service providers are held accountable for adhering to strict policies and procedures to prevent any misuse of your nonpublic personal information.\nHow does Grandeur Peak Global Trust collect my personal information?\nWe collect your personal information, for example, when you\nOpen an account\nProvide account information\nGive us your contact information\nMake deposits or withdrawals from your account\nMake a wire transfer\nTell us where to send the money\nTells us who receives the money\nShow your government-issued ID\nShow your driver s license\nWe also collect your personal information from other companies.\nWhy can t I limit all sharing?\nFederal law gives you the right to limit only\nSharing for affiliates everyday business purposes information about your creditworthiness\nAffiliates from using your information to market to you\nSharing for nonaffiliates to market to you\nState laws and individual companies may give you additional rights to limit sharing.\nDefinitions\nAffiliates\nCompanies related by common ownership or control. They can be financial and nonfinancial companies.\nGrandeur Peak Global Trust does not share with our affiliates.\nNonaffiliates\nCompanies not related by common ownership or control. They can be financial and nonfinancial companies.\nGrandeur Peak Global Trust does not share with nonaffiliates so they can market to you.\nJoint marketing\nA formal agreement between nonaffiliated financial companies that together market financial products or services to you.\nGrandeur Peak Global Trust doesn t jointly market.\n135\nAdviser\nGrandeur Peak Global Advisors, LLC\n136 South Main Street, Suite 720\nSalt Lake City, UT 84101\nIndependent Registered Public Accounting Firm\nDeloitte Touche LLP\n695 Town Center Drive, Suite 1000\nCosta Mesa, CA 92626\nCustodian\nBrown Brothers Harriman Co.\n40 Water Street\nBoston, MA 02109\nDistributor\nNorthern Lights Distributors, LLC\n4221 North 203 rd Street, Suite 100\nElkhorn, NE 68022\nLegal Counsel\nThompson Hine LLP\n41 South High Street, Suite 1700\nColumbus, OH 43215\nTransfer Agent\nUltimus Fund Solutions, LLC\n225 Pictoria Drive, Suite 450\nCincinnati, OH 45246\nAdditional information about the Funds is included in the Funds SAI dated September 1, 2025. The SAI is incorporated into this Prospectus by reference (i.e., legally made a part of this Prospectus). The SAI provides more details about the Funds policies and management. Additional information about each Fund s investments is available in the Funds annual and semi-annual reports and Form N-CSR. In the Funds annual reports, you will find a discussion of the market conditions and investment strategies that significantly affected the Funds performance during its last fiscal year.\nTo obtain a free copy of the SAI, annual and semi-annual reports to shareholders, Form N-CSR, or other information about the Funds, or to make shareholder inquiries about the Funds, please call 855-377-PEAK(7325) or visit www.grandeurpeakglobal.com. You may also write to:\nGrandeur Peak Funds\nc/o Ultimus Fund Solutions, LLC\n225 Pictoria Drive, Suite 450\nCincinnati, OH 45246\nReports and other information about the Funds are available on the EDGAR Database on the SEC s Internet site at http://www.sec.gov. Copies of the information may be obtained, after paying a duplicating fee, by electronic request at the following E-mail address: publicinfo@sec.gov .\nIf someone makes a statement about a Fund that is not in this Prospectus, you should not rely upon that information. Neither the Funds nor the Distributor is offering to sell shares of a Fund to any person to whom that F", "ontology": {"Fund": {"administrator": ["Administrator"], "advisedBy": ["InvestmentAdviser"], "custodian": ["Custodian"], "seriesOf": ["Trust"], "transferAgent": ["Administrator"]}, "Trust": {"underwrittenBy": ["Distributor"]}}, "target_triples": [{"s": "fund:Grandeur_Peak_Emerging_Markets_Opportunities_Fund", "p": "administrator", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Emerging_Markets_Opportunities_Fund", "p": "advisedBy", "o": "org:Grandeur_Peak_Global_Advisors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Emerging_Markets_Opportunities_Fund", "p": "custodian", "o": "org:Brown_Brothers_Harriman_Co", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Emerging_Markets_Opportunities_Fund", "p": "seriesOf", "o": "trust:Grandeur_Peak_Global_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Emerging_Markets_Opportunities_Fund", "p": "transferAgent", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Contrarian_Fund", "p": "administrator", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Contrarian_Fund", "p": "advisedBy", "o": "org:Grandeur_Peak_Global_Advisors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Contrarian_Fund", "p": "custodian", "o": "org:Brown_Brothers_Harriman_Co", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Contrarian_Fund", "p": "seriesOf", "o": "trust:Grandeur_Peak_Global_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Contrarian_Fund", "p": "transferAgent", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Explorer_Fund", "p": "administrator", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Explorer_Fund", "p": "advisedBy", "o": "org:Grandeur_Peak_Global_Advisors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Explorer_Fund", "p": "custodian", "o": "org:Brown_Brothers_Harriman_Co", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Explorer_Fund", "p": "seriesOf", "o": "trust:Grandeur_Peak_Global_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Explorer_Fund", "p": "transferAgent", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Micro_Cap_Fund", "p": "administrator", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Micro_Cap_Fund", "p": "advisedBy", "o": "org:Grandeur_Peak_Global_Advisors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Micro_Cap_Fund", "p": "custodian", "o": "org:Brown_Brothers_Harriman_Co", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Micro_Cap_Fund", "p": "seriesOf", "o": "trust:Grandeur_Peak_Global_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Micro_Cap_Fund", "p": "transferAgent", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Opportunities_Fund", "p": "administrator", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Opportunities_Fund", "p": "advisedBy", "o": "org:Grandeur_Peak_Global_Advisors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Opportunities_Fund", "p": "custodian", "o": "org:Brown_Brothers_Harriman_Co", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Opportunities_Fund", "p": "seriesOf", "o": "trust:Grandeur_Peak_Global_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Opportunities_Fund", "p": "transferAgent", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Reach_Fund", "p": "administrator", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Reach_Fund", "p": "advisedBy", "o": "org:Grandeur_Peak_Global_Advisors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Reach_Fund", "p": "custodian", "o": "org:Brown_Brothers_Harriman_Co", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Reach_Fund", "p": "seriesOf", "o": "trust:Grandeur_Peak_Global_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Reach_Fund", "p": "transferAgent", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Stalwarts_Fund", "p": "administrator", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Stalwarts_Fund", "p": "advisedBy", "o": "org:Grandeur_Peak_Global_Advisors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Stalwarts_Fund", "p": "custodian", "o": "org:Brown_Brothers_Harriman_Co", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Stalwarts_Fund", "p": "seriesOf", "o": "trust:Grandeur_Peak_Global_Trust", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_Global_Stalwarts_Fund", "p": "transferAgent", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_International_Opportunities_Fund", "p": "administrator", "o": "org:Ultimus_Fund_Solutions_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_International_Opportunities_Fund", "p": "advisedBy", "o": "org:Grandeur_Peak_Global_Advisors_LLC", "alias_grounded": true, "grounded": true, "context_grounded": true, "extractable": true}, {"s": "fund:Grandeur_Peak_International_Opportunities_Fund", "p": "custodian", "o": 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Grandeur Peak Global Advisors, LLC <predicate_marker> custodian <object_marker> Brown Brothers Harriman & Co. <predicate_marker> seriesOf <object_marker> Grandeur Peak Global Trust <predicate_marker> transferAgent <object_marker> Ultimus Fund Solutions, LLC <triple_end>\n<triple_start> Grandeur Peak Global Contrarian Fund <predicate_marker> administrator <object_marker> Ultimus Fund Solutions, LLC <predicate_marker> advisedBy <object_marker> Grandeur Peak Global Advisors, LLC <predicate_marker> custodian <object_marker> Brown Brothers Harriman & Co. <predicate_marker> seriesOf <object_marker> Grandeur Peak Global Trust <predicate_marker> transferAgent <object_marker> Ultimus Fund Solutions, LLC <triple_end>\n<triple_start> Grandeur Peak Global Explorer Fund <predicate_marker> administrator <object_marker> Ultimus Fund Solutions, LLC <predicate_marker> advisedBy <object_marker> Grandeur Peak Global Advisors, LLC <predicate_marker> custodian <object_marker> Brown Brothers Harriman & Co. <predicate_marker> seriesOf <object_marker> Grandeur Peak Global Trust <predicate_marker> transferAgent <object_marker> Ultimus Fund Solutions, LLC <triple_end>\n<triple_start> Grandeur Peak Global Micro Cap Fund <predicate_marker> administrator <object_marker> Ultimus Fund Solutions, LLC <predicate_marker> advisedBy <object_marker> Grandeur Peak Global Advisors, LLC <predicate_marker> custodian <object_marker> Brown Brothers Harriman & Co. <predicate_marker> seriesOf <object_marker> Grandeur Peak Global Trust <predicate_marker> transferAgent <object_marker> Ultimus Fund Solutions, LLC <triple_end>\n<triple_start> Grandeur Peak Global Opportunities Fund <predicate_marker> administrator <object_marker> Ultimus Fund Solutions, LLC <predicate_marker> advisedBy <object_marker> Grandeur Peak Global Advisors, LLC <predicate_marker> custodian <object_marker> Brown Brothers Harriman & Co. <predicate_marker> seriesOf <object_marker> Grandeur Peak Global Trust <predicate_marker> transferAgent 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Ultimus Fund Solutions, LLC .\nGrandeur Peak Global Trust underwrittenBy Northern Lights Distributors .", "stats": {"input_chars": 10918, "n_triples": 51, "text_to_json_ratio": 2.4}}
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{"sample_id": "0002042316:ALL", "cik": "0002042316", "trust_name": "Victory Portfolios IV", "input_text": "tory Funds. More information about these and other discounts is available in Investing with the Victory Funds section of the prospectus beginning on page 29, the Appendix A Variations in Sales Charge Reductions and Waivers Available Through Certain Intermediaries, and the Sales charges section of the statement of additional information ( SAI ). If you invest in Class R6 shares or Class Y shares through an investment professional or financial intermediary, that investment professional or financial intermediary may charge you a commission. Such commissions, if any, are not charged by the Fund and are not reflected in the fee table or expense example below.\nShareholder Fees\n(paid directly from your investment)\nClass A\nClass C\nClass R6\nClass Y\nMaximum Sales Charge (Load) Imposed on Purchases\n(as a percentage of offering price)\n5.75 %\nNone\nNone\nNone\nMaximum Deferred Sales Charge (Load)\n(as a percentage of the lower of purchase or sale price)\nNone 1\n1.00 % 2\nNone\nNone\nAnnual Fund Operating Expenses\n(expenses that you pay each year as a percentage of the value of your investment)\nManagement Fees\n0.50 %\n0.50 %\n0.50 %\n0.50 %\nDistribution and/or Service (12b-1) Fees\n0.25 %\n1.00 %\n0.00 %\n0.00 %\nOther Expenses\n0.12 %\n0.17 %\n0.07 %\n0.17 %\nTotal Annual Fund Operating Expenses 3\n0.87 %\n1.67 %\n0.57 %\n0.67 %\nFee Waiver/Expense Reimbursement 3\n( 0.01 )%\n( 0.02 )%\n0.00 %\n0.00 %\nTotal Annual Fund Operating Expenses After Fee Waiver\nand/or Expense Reimbursement 3\n0.86 %\n1.65 %\n0.57 %\n0.67 %\n1\nA contingent deferred sales charge of 0.75% may be imposed on Class A shares with respect to purchases of $500,000 or more that are redeemed within 18 months of purchase. For additional information, see the section titled Choosing a Share Class.\n2\nApplies to shares sold within 12 months of purchase.\n3\nVictory Capital Management Inc. (the Adviser ) has contractually agreed to waive its management fee and/or reimburse expenses so that the total annual fund operating expenses (excluding certain items such as interest, taxes, and brokerage commissions) do not exceed 0.86%, 1.65%, 0.57%, and 0.67% of the Fund s Class A, Class C, Class R6, and Class Y shares, respectively, through at least April 1, 2028 . The Adviser is permitted to recoup advisory fees waived and expenses reimbursed for up to two years after the date of the waiver or reimbursement, subject to the lesser of any operating expense limits in effect at the time of (a) the original waiver or expense reimbursement; or (b) the recoupment, after giving effect to the recoupment amount. This agreement may only be terminated by the Fund's Board of Trustees (the Board ).\n1\nVictory Pioneer Core Equity Fund Summary\nExample:\nThis Example is intended to help you compare the cost of investing in the Fund with the cost of investing in other mutual funds. The example assumes that you invest $10,000 in the Fund for the time periods shown and then sell or continue to hold all of your shares at the end of those periods. The example also assumes that your investment has a 5% return each year and that the Fund s operating expenses remain the same. The amounts shown reflect any fee waiver/expense reimbursement in place through its expiration date. After eight years, Class C shares of the Fund generally will convert automatically to Class A shares of the Fund. The example for Class C shares reflects the conversion to Class A shares after eight years. Although your actual costs may be higher or lower, based on these assumptions your costs would be:\n1 Year\n3 Years\n5 Years\n10 Years\nClass A\n$ 658\n$ 835\n$ 1,028\n$ 1,584\nClass C\n$ 268\n$ 5\n...\nEquity Research at EVA Dimensions LLC in New York, an independent equity research firm. Prior to June 2011, he served as a Director in the HOLT Group at Credit Suisse.\nJohn Arege, Managing Director and Director of Large Cap Value at Pioneer Investments, joined the Adviser following the integration of Amundi US into the Adviser and has served as portfolio manager of the Fund since May 2025. Prior to joining Pioneer Investments in 2022, he was a Portfolio Manager of Core and Value Equities at Genter Capital Management from 2020 to 2022. Prior to Genter Capital Management, he worked for 12 years at Goldman Sachs Asset Management as Managing Director, Co-Head of Value and Core Equities and Portfolio Manager.\nSammi Le Truong, Vice President of Pioneer Investments, joined the Adviser following the integration of Amundi US into the Adviser and has served as portfolio manager of the Fund since May 2025. She joined Pioneer Investments in 2001 and has been an investment professional since 2001.\nThe Fund's SAI provides additional information about the portfolio managers' method of compensation, other accounts they manage, and any ownership interests they may have in the Fund.\n27\nOrganization and Management of the Fund\nManagement Fee\nThe Fund pays the Adviser a fee for managing the Fund and to cover the cost of providing certain services to the Fund.\nThe Adviser s annual fee is equal to 0.50% of the Fund s average daily net assets up to $5 billion and 0.45% of the Fund s average daily net assets over $5 billion. The fee is accrued daily and paid monthly.\nFor the fiscal year ended December 31, 2025, the Fund paid management fees (excluding waivers and/or assumption of expenses) to the Fund s investment adviser equivalent to 0.50% of the Fund s average daily net assets.\nDistributor\nVictory Capital Services, Inc. is the Fund s distributor (the Distributor ). The Fund compensates the Distributor for its services. The Distributor is an affiliate of the Adviser.\n28\nInvesting with the Victory Funds\nAll you need to get started is to fill out an application.\nIf you are looking for a convenient way to open an account or to add money to an existing account, we can help. The sections that follow will serve as a guide to your investment with the Victory Funds. These sections describe many of the share classes currently offered by the Victory Funds. The section Choosing a Share Class will help you decide which share class it may be to your advantage to buy.\nKeep in mind that Class R6, Class R, and Class Y shares are available for purchase only by eligible shareholders. In addition, not all Victory Funds offer each class of shares described below; and therefore, certain classes may be discussed that are not necessarily offered by the Fund. The classes of shares that are offered by the Fund are those listed on the cover page designated with a ticker symbol. The Fund also may offer other share classes in different prospectuses.\nThis section of the Prospectus also describes how to open an account, how to access information about your account, and how to buy, exchange, and sell shares of a Victory Fund. Note, this information may vary if you invest through a third party such as a brokerage firm and will be dependent on that firm's policies and practices. Consult your Investment Professional for specific details.\nWe want to make it simple for you to do business with us. If you have questions about any of this information, please call your Investment Professional or one of our customer service representatives at 800-539-FUND (800-539-3863). They will be happy to as\n...\nminimum investment in Class Y shares of $1,000,000 who purchase through certain broker-dealers or directly from the transfer agent;\nClients of state-registered or federally registered investment advisors ( RIAs ), where such RIAs trade through institutional trading platforms approved by a Fund, who invest at least $2,500;\nBrokerage platforms of firms that have agreements with the Distributor to offer such shares solely when acting as an agent for the investor. An investor transacting in Class Y shares through these programs may be required to pay a commission and/or other forms of compensation to the broker;\nPension, profit sharing, employee benefit, and other similar plans and trusts that invest in a Fund;\nInvestors who purchase through Advisory Programs with an approved financial intermediary;\nRegistered investment companies;\nInvestment advisory clients of the Adviser; or\nInvestment advisors, consultants, broker-dealers and other financial intermediaries investing for their own accounts or for the accounts of their immediate family members.\nThe Fund may allow a lower initial investment if, in the opinion of the Distributor, the investor has the adequate intent and availability of assets to reach a future level of investment of $1,000,000.\n37\nChoosing a Share Class\nEligibility of Individuals Associated with the Victory Funds and Fund Service Providers\nCurrent and retired Victory Fund trustees and the officers, directors, trustees, employees, and family members of employees of the Adviser or Affiliated Providers are eligible to purchase the lowest expense share class offered by the Fund. In the case of Class A shares, such purchases are not subject to a front-end sales charge. Affiliated Providers are affiliates of the Adviser and organizations that provide services to Victory Portfolios IV (the Trust ).\nThe Fund reserves the right to change the criteria for eligible investors and\nthe investment minimums.\n38\nInformation About Fees\nDistribution and Service Plans\nIn accordance with Rule 12b-1 under the Investment Company Act of 1940, the Trust has adopted Distribution and Service Plans for Class A, Class C, and Class R shares.\nUnder the Class A Distribution and Service Plan, the Fund will pay to the Distributor a monthly fee at an annual rate of 0.25% of its average daily net assets of Class A shares. Under the Class R Distribution and Service Plan, the Fund will pay to the Distributor a monthly fee at an annual rate of 0.50% of its average daily net assets of Class R shares. The fee is paid for general distribution services and for providing personal services to shareholders of the Fund. A separate Class R Shares Service Plan provides for the payment of up to 0.25% of average daily net assets of Class R shares held by securities dealers, plan administrators or other financial intermediaries who agree to provide certain services to plan or plan participants holding shares of the Fund. The services provided include acting as a shareholder of record, processing purchase and redemption orders, maintaining participant account records and answering participant questions regarding the Fund. Distribution and selling services are provided by the Distributor or by agents of the Distributor and include those services intended to result in the sale of Fund shares. 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