EX-99.(17) 3 tcwetftrust_ex9917.htm EXHIBIT (17)

 

Exhibit (17)

 

 

TC W ART I FICI A L INT E LL I GENCE E QU ITY FUND P R O X Y FO R A SPE CIA L MEETING O F S H A R E H O LD E RS T O BE HE L D O N M A R C H 22 , 2 0 24 T he u nd e r s igned h e r e by a ppoints A n dr e w Bo w d e n a nd P e t e r Da v id s o n , a nd each of th e m , as p ro xie s , each with f ull po we r of s ub s titu t ion a n d r e v ocation, to r e pr e s e nt t h e und e r s igned at t h e S p e cial M ee ti n g of S har e hold e rs (t h e “ M ee ti n g”) o f T C W Arti f ic i al I n tel l ig e n c e Equity F und, a s e ri e s of T CW F u nd s , Inc . (the “ Cor p oratio n ” ) , to b e h e ld i n p e r s on on March 22 , 2024 at 9 : 00 a . m . P T at 515 S outh Fl o we r St r ee t, Los A n g e l e s , Calif ornia 90071 , a n d at a n y a d j ourn me nt or p o s t p on eme nt t h e r e o f , a n d t o v ote all s har e s of t h e F u n d w hich t h e und e r s i gn e d w ould be e ntitl e d to v ote at t h e M ee ti n g, w ith all po we rs t h e und e r s igned w ould po ss es s if p e r s onally pr e s e nt at t h e M ee ti n g, in t h e m a n n e r dir e cted b e l o w w ith r e s p e ct to t h e m atters r efe rr e d to in t he acco m pa n ying combin e d Pro s p e ctu s / Pro x y St at e me nt, r e c e ipt of w hich is h e r e by ackno w l e dg e d, a n d , in e ach p rox y ’s d i s cr e tion, u p on s uch o t h e r m atters a s may p rop e rly co m e b ef o r e the M e e ti n g or a n y a d j ourn me nt or p o s t p on eme nt t h e r e o f . D o y ou have q ue s t i o n s ? If you h a v e a ny q u e s tions a b o ut how to v ote y our pro x y or a b out t h e M ee ti n g in g e n e ral, p l e a s e call tol l - f r e e ( 877 ) 2 8 3 - 032 1 . R e pr e s e ntati v e s are av ailable to ass ist y ou M o nday through Fri d a y , fro m 9 a . m . to 10 p . m . , Ea s tern ti me . IM PO R TA N T N OTIC E R E GAR D ING T H E AV A I LA BI L ITY O F P R OX Y M AT ERI A L S FOR T H E S PE CIA L MEE TIN G O F SH A R E H O L D E RS T O BE H E LD ON M A R C H 2 2 , 20 2 4 . T he N otice of S p e cial M ee ti n g of S har e h o ld e rs a n d co m bin e d Pro s p e ctu s /Pr o x y S tat eme nt are av ailable a t : h tt ps : // v o te . p r o x y o n l in e . c o m / T C W / d o c s / T C W P ro x y . pd f S H A R E HOLD E R PR I V A C Y : To e nsu r e you r p r iv a c y t h e r e i s n o per s ona l in f o r m a t io n req u ire d t o vie w o r reque st p r o xy ma t eri a l s a nd/o r vo t e . T h e c o n t ro l nu m b e r l i s t e d ab o v e i s a uniqu e i d e n t if i e r c r e a t e d f o r t h i s p r o x y an d t h i s p r o xy o n l y . It i s n o t l i n k e d t o y ou r a c coun t nu m b e r no r c an i t b e u s e d i n an y o t h e r ma nn e r ot h e r t ha n t h i s p r o x y . y o u r smart p h o ne to scan t hi s Q R c o de. http s : // vote.pro x y online.com/ PROX Y CA RD M E ETING AG E N D A o n re v e r s e s i de Vo t e b y In t e r n e t: G o to t he w e bs it e b e l ow a n d e n t e r you r c o n t r o l num b e r or s i mp l y use you r came ra on Vo t e b y Phon e : C a l l ( 888) 22 7 - 93 4 9 f or a u t oma t ed t o u c h - t o ne s e rvice or t h e nu mb e r b e l ow t o spe a k w it h a represen t a t iv e. ( 8 7 7) 2 8 3 - 0 3 2 1 T o ll F r ee Vo t e b y M a i l: Co mp l e t e t h e rev e rse s id e o f t h i s pr o xy card a nd re t u rn i t i n t he e n v e l o p e pr o vided. US P S Po s t a g e - Pa id E n v e l o p e V O T E R P R O F IL E : Vo t e r I D : X X XXX X XX S har e s to V ot e : * * co n f id e ntia l * * Se curity ID: XXX X X XXXX Hou s e hold I D : 000 0 000 0 0 ** p l e a s e c a l l t h e ph o n e nu m b er t o t h e r igh t f o r m o re in fo rm a t io n V O TE R E G I ST ER E D T O : Y OUR V O TE IS I M P O R TAN T NO M A T T E R HOW M A N Y SH ARES Y OU O W N . P LE A SE C AS T Y OU R P R O XY VO TE T O D AY! V O TE R CO N TR O L N U M BER: XXX X XXX X X XX X 1 4 1 7 3 1 3 8 6 _ 1

 

 

 

□ CHEC K H E RE IF Y OU PL A N TO A T T E N D T H E M E E TIN G . ( P ERSON(S ) W I LL A T T EN D ) T h is p r ox y i s s o l i c ited o n beh a lf o f t h e B o a rd o f Dir e c t o rs (t h e “ B oa r d ”) o f t h e Co r p o r a ti o n , o n beh a lf o f t h e F u n d . Th e p ro x y wi l l b e v o t ed as sp e cif i ed b y the und ersi gn ed . If n o s pe c i f i c a ti o n is ma d e f o r a p r op o s a l, t h i s p r o x y s h a ll b e v o ted F O R s u c h p r opo s al . If a n y o ther ma t ters p ro p e rly c o me b e f o r e the M eet i n g to b e v o ted o n , the p r o x y h o l d ers will v o t e , act a n d c o nsen t o n t h o se mat t ers in each p r o x y hol d er’s d isc r etion . THE B O A RD U N AN I MOU S L Y R E C O M M E N D S A V O TE F O R T H E F O LLO W I N G : T O V O T E, MARK CIRC L E IN BLUE O R B LA C K I N K . E x a m p le : ƽ P R O POS A L: FOR AGA I NST TC W ARTIFIC I AL IN T ELL I GEN C E E QU ITY F U ND N O T E : T hi s p ro x y m us t be si g n e d e x act ly as y o ur n ame( s ) a p p e ars h e r e o n . If as an attor ne y, e x e cu to r, g u ar d i an o r i n s o me r e p r e s e n tat ive c a p ac ity o r A B S TA IN T o ap p rove a n A gre e me n t and P l an of R e orga n iz at ion ( the “P l an”) by a n d a m ong T C W Fun d s, I nc., o n beh a lf o f T C W A r t i f i c ial I nte l li g ence E qu i ty Fu n d (the “T a rg e t Fun d ” ) , T C W E T F T ru s t, on b eh a lf o f T C W Ar t i f i c i a l I nt e l l ige n ce E T F ( t h e “Acq u i r ing F un d ” ) , a n d T C W I nv e s t me n t M anag e me n t C o mpa n y L L C , th a t pr o vi d es f o r : ( i) t he ac q ui s i t ion of the a ss e ts and a s s u mp t ion o f t he li a b i l i ti e s o f t h e Ta r get Fu n d by t h e Acq u i r ing Fu n d in excha n ge f or s ha r es o f t he A cqu i r ing F und o f eq u al v a lue to t he n e t a ss e ts o f t he Targ e t Fund be i ng acqu i re d , ( i i ) t h e p r o r a ta d i s t r ib u ti o n of such sh a res to the s ha r eh o lde r s o f t h e Targ e t Fund, and ( i i i ) t he c om p le t e l iq u id a ti o n of the Targ e t Fund, a l l up o n t h e te r ms and c ond it ions set f o r th in t h e Pl a n. O O O IMPOR TANT IN O R D E R T O A V OI D TH E D EL AY A N D E X PE N S E O F FURTHE R SOLIC ITATI ON, WE S TR O N GLY U R GE Y O U TO REV IEW, CO MPLE T E A N D RETU RN YOU R B ALLOT AS SOON AS POSSI B LE . YOU R V O T E IS IM P O R T A N T REGA R D LE SS O F THE NUMBE R O F SHARE S Y O U OW N . PL E ASE SIG N A N D DATE THI S C ARD BE F O R E MAILING. T HANK YOU F OR C A S T I N G YOUR V O T E as an o f f ic e r of a c or p o ra t i o n, p l e a se a d d t i t l e s as such . A p ro x y wi th r e s p e c t to shar e s h e l d i n t h e n a me of t w o o r m o re p e r s o n s sh a l l be val i d i f e x e cut ed by o ne of t h e m un l e s s at o r p r i o r to e x e rci s e of s u c h p ro x y t h e C o r p o ra t i on r e c e iv e s s p e cifi c w r i t t e n n o t ice to t h e c o nt r ary fr o m a ny o ne of t h e m . S I GNA TURE ( AN D TI TL E IF A PP L I C A B L E) D A TE S I GNA TURE (IF HE L D JO I N T L Y) D A TE PROX Y CA RD 1 4 1 7 3 1 3 8 6 _ 1

 

 

 

TC W NEW AMER I C A P REM I ER E QU IT I ES FUND P R O X Y FO R A SPE CIA L MEETING O F S H A R E H O LD E RS T O BE HE L D O N M A R C H 22 , 2 0 24 T he u nd e r s igned h e r e by a ppoints A n dr e w Bo w d e n a nd P e t e r Da v id s o n , a nd each of th e m , as p ro xie s , each with f ull po we r of s ub s titu t ion a nd r e v ocatio n , to r e pr e s e nt t h e u nd e r s igned at the S p e cial Me e ti n g of S h ar e hold e rs (t h e “ M ee ti n g”) of T C W N e w A me rica Pr em i e r Equiti e s F u n d , a s e ri e s of T CW Fund s , I n c . (t h e “Cor p oration” ) , to be h e ld in p e r s on o n March 22 , 2024 at 9 : 00 a . m . PT at 515 So u th Flowe r Str e e t, L os Ang e l e s , Calif ornia 9007 1 , a n d at a n y a d j ourn me nt or p o s t p on eme nt t h e r e o f , a n d t o v ote all s har e s of t h e F u n d w hich t h e und e r s i gn e d w ould be e ntitl e d to v ote at t h e M ee ti ng , w ith all po we rs t h e und e r s igned w ould po ss es s if p e r s onally pr e s e nt at t h e M ee ti n g, in t h e m a n n e r dir e cted b e l o w w ith r e s p e ct to t h e m atters r efe rr e d to in t h e acco m pa n ying c o m bin e d Pro s p e ctu s/ Pro x y St at e me nt, r e c e ipt of w hich is h e r e by a c k n o w l e dg e d, a n d, in e ach proxy’s d i s cr e tion, u p on s uch o t h e r m atters a s may p rop e rly co m e b ef o r e the M e e ti n g or a n y a d j ourn me nt or p o s t p on eme nt t h e r e o f . D o y ou have q ue s t i o ns? If you h a v e a ny q u e s tions a b o ut how to v ote y our pro x y or a b out t h e M ee ti n g in g e n e ral, p l e a s e call tol l - f r e e ( 877 ) 2 8 3 - 032 1 . R e pr e s e ntati v e s are av ailable to ass ist y ou M o nday through Fri d a y , fro m 9 a . m . to 10 p . m . , Ea s tern ti me . IM PO R TA N T N OTIC E R E GAR D ING T H E AV A I LA BI L ITY O F P R OX Y M AT ERI A L S FOR T H E S PE CIA L MEE TIN G O F SH A R E H O L D E RS T O BE H E LD ON M A R C H 2 2 , 20 2 4 . T he N oti c e of S p e cial M ee ti n g of S h a r e hold e rs a n d co m bin e d Pro s p e ctu s /Pr o x y S tat eme nt are av ailable a t : h tt ps : // v o te . p r o x y o n l in e . c o m / T C W / d o c s / T C W P ro x y . pd f S H A R E HOLD E R PR I V A C Y : To e nsu r e you r p r iv a c y t h e r e i s n o per s ona l in f o r m a t io n req u ire d t o vie w o r reque st p r o xy ma t eri a l s a nd/o r vo t e . T h e c o n t ro l nu m b e r l i s t e d ab o v e i s a uniqu e i d e n t if i e r c r e a t e d f o r t h i s p r o x y an d t h i s p r o xy o n l y . It i s n o t l i n k e d t o y ou r a c coun t nu m b e r no r c an i t b e u s e d i n an y o t h e r ma nn e r ot h e r t ha n t h i s p r o x y . or s i mp l y use you r came ra on y o u r smart p h o ne to scan t hi s Q R c o de. http s : // vote.pro x y online.com/ PROX Y CA RD M E ETING AG E N D A o n re v e r s e s i de Vo t e b y In t e r n e t: G o to t he w e bs it e b e l ow a n d e n t e r you r c o n t r o l num b e r Vo t e b y Phon e : C a l l ( 888) 22 7 - 93 4 9 f or a u t oma t ed t o u c h - t o ne s e rvice or t h e nu mb e r b e l ow t o spe a k w it h a represen t a t iv e. ( 8 7 7) 2 8 3 - 0 3 2 1 T o ll F r ee Vo t e b y M a i l: Co mp l e t e t h e rev e rse s id e o f t h i s pr o xy card a nd re t u rn i t i n t he e n v e l o p e pr o vided. US P S Po s t a g e - Pa id E n v e l o p e V O T E R P R O F IL E : Vo t e r I D : X X XXX X XX S har e s to V ot e : * * co n f id e ntia l * * Se curity ID: XXX X X XXXX Hou s e hold I D : 000 0 000 0 0 ** p l e a s e c a l l t h e ph o n e nu m b er t o t h e r igh t f o r m o re i n fo rm a t io n V O TE R E G I ST ER E D T O : Y OUR V O TE IS I M P O R TAN T NO M A T T E R HOW M A N Y SH ARES Y OU O W N . P LE A SE C AS T Y OU R P R O XY VO TE T O D AY! V O TE R CO N TR O L N U M BER: XXX X XXX X X XX X

 

 

 

TC W N EW AMER IC A PREM IER E QU IT I ES FUND □ CHEC K H E RE IF Y OU PL A N TO A T T E N D T H E M E E TIN G . ( P ERSON(S ) W I LL A T T EN D ) T h is p r ox y i s s o l i c ited o n beh a lf o f t h e B o a rd o f D ir e c t o rs (t h e “ B oa r d ”) o f t h e C o r po r a ti on , o n beh a lf o f t h e F u nd . Th e p ro x y wi l l b e v o t ed as sp e cif i ed b y the und ersi gn ed . If n o s pe c i f i c a ti o n is ma d e f o r a p r op o s a l, t h i s p r o x y s h a ll b e v o ted F O R s u c h p r opo s al . If a n y o ther ma t ters p ro p e rly c o me b e f o r e the M eet i n g to b e v o ted o n , the p r o x y h o l d ers will v o t e , act a n d c o nsen t o n t h o se mat t ers in each p r o x y hol d er’s d isc r etion . THE B O A RD U N AN I MOU S L Y R E C O M M E N D S A V O TE F O R T H E F O LLO W I N G : T O V O T E, MARK CIRC L E IN BLUE O R B LA C K I N K . E x a m p le : ƽ P R O POS A L: FOR AGA I NST A B S TA IN To a p p r o ve an A gr eemen t a n d P l a n o f Re o rg a n i z a ti o n (t h e “ Pla n ” ) b y and a m o n g TC W Funds , Inc . , o n beha lf of T C W N ew A m er i ca P r e m i er Eq u it i es F u n d (the “ Tar g e t F u nd ” ), TCW E TF Tr u st, o n b eha l f o f T C W C o m p o und ers ETF ( the “ Ac q u ir i n g F und ” ), a n d T C W I n v e s t ment Ma n a g e me n t C o m p a n y L LC, t h a t p rovi d es f o r : ( i ) the acq u is i ti o n o f t h e as s ets and a ssumpt i o n o f t h e l i a b i l it i es o f the Tar ge t F u n d b y the Ac q u ir i n g Fun d in exch ang e f or share s o f t h e Ac q u ir i n g F u n d o f e qu al val u e t o the n et as s ets o f the Tar g et F u n d bein g acq u ire d , (i i ) the p ro r a ta d istri b u ti o n o f su c h share s t o the s h a r ehol de rs o f the Targ et Fund , and (iii ) the c o m p le t e l iqu i d at i o n o f t h e Tar g et Fund , all u p o n t h e te r ms a n d c o nd itio n s s e t f o rth in t h e Pla n . O O O IMPOR TANT IN O R D E R T O A V OI D TH E D EL AY A N D E X PE N S E O F FURTHE R SOLIC ITATI ON, WE S TR O N GLY U R GE Y O U TO REV IEW, CO MPLE T E A N D RETU RN YOU R B ALLOT AS SOON AS POSSI B LE . YOU R V O T E IS IM P O R T A N T REGA R D LE SS O F THE NUMBE R O F SHARE S Y O U OW N . PL E ASE SIG N A N D DATE THI S C ARD BE F O R E MAILING. T HANK YOU F OR C A S T I N G YOUR V O T E N O T E : T hi s p ro x y m us t be si g n e d e x act ly as y o ur n ame( s ) a p p e ars h e r e o n . If as an attor ne y, e x e cu to r, g u ar d i an o r i n s o me r e p r e s e n tat ive c a p ac ity o r as an o f f ic e r of a c or p o ra t i o n, p l e a se a d d t i t l e s as such . A p ro x y wi th r e s p e c t to shar e s h e l d i n t h e n a me of t w o o r m o re p e r s o n s sh a l l be val i d i f e x e cut ed by o ne of t h e m un l e s s at o r p r i o r to e x e rci s e of s u c h p ro x y t h e C o r p o ra t i on r e c e iv e s s p e cifi c w r i t t e n n o t ice to t h e c o nt r ary fr o m a ny o ne of t h e m . S I GNA TURE ( AN D TI TL E IF A PP L I C A B L E) D A TE S I GNA TURE (IF HE L D JO I N T L Y) D A TE PROX Y CA RD