485BXT 1 cms485bxtfinal.htm CMS PEA #93-93 DTD 10-19-2017 Part_C_Template.doc

As filed with the Securities and Exchange Commission on October 19, 2017

1933 Act File No. 002-69565

1940 Act File No. 811-03101

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM N-1A

 

 

REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT of 1933

o

 

POST-EFFECTIVE AMENDMENT NO. 93

x

 

REGISTRATION STATEMENT
UNDER
THE INVESTMENT COMPANY ACT OF 1940

o

 

AMENDMENT NO. 93

x

 

CALVERT MANAGEMENT SERIES

(Exact Name of Registrant as Specified in Charter)

 

1825 Connecticut Ave NW, Suite 400, Washington, DC 20009

(Address of Principal Executive Offices)

 

(202) 238-2200

(Registrants Telephone Number)

 

MAUREEN A. GEMMA

Two International Place, Boston, Massachusetts 02110

(Name and Address of Agent for Service)

 

It is proposed that this filing will become effective pursuant to Rule 485 (check appropriate box):

¨

immediately upon filing pursuant to paragraph (b)

¨

on (date) pursuant to paragraph (a)(1)

x

on November 22, 2017 pursuant to paragraph (b)

¨

75 days after filing pursuant to paragraph (a)(2)

¨

60 days after filing pursuant to paragraph (a)(1)

o

on (date) pursuant to paragraph (a)(2)

If appropriate, check the following box:

x

This post-effective amendment designates a new effective date for a previously filed post-effective amendment.








EXPLANATORY NOTE
Designation of New Effective Date for Previously Filed Post-Effective Amendment

This Post-Effective Amendment No. 93 is being filed pursuant to Rule 485(b)(1)(iii) under the Securities Act of 1933, as amended (the “1933 Act”), for the sole purpose of designating November 22, 2017 as the new effective date for Post-Effective Amendment No. 87 filed pursuant to Rule 485(a)(1) under the 1933 Act on July 25, 2017 (Accession No. 0000940394-17-001487) (the “Amendment”).

This Post-Effective Amendment No. 93 incorporates by reference the information contained in Parts A and B of the Amendment.




PART C - OTHER INFORMATION

Item 28. Exhibits (with inapplicable items omitted)

 

(a)

 

 

Amended and Restated Declaration of Trust of Calvert Management Series dated June 21, 2017 filed as Exhibit (a) to Post-Effective Amendment No. 86 filed July 20, 2017 (Accession No. 0000940394-17-001476) and incorporated herein by reference.

 

(b)

 

 

Amended and Restated By-Laws of Calvert Management Series adopted June 21, 2017 filed as Exhibit (b) to Post-Effective Amendment No. 86 filed July 20, 2017 (Accession No. 0000940394-17-001476) and incorporated herein by reference.

 

(c)

 

 

Reference is made to Item 28(a) and 28(b) above.

 

(d)

(1)

(a)

Investment Advisory Agreement between the Registrant (on behalf of each of its series listed on Schedule A) and Calvert Research and Management dated December 31, 2016 filed as Exhibit (d) to Post-Effective Amendment No. 80 filed February 1, 2017 (Accession No. 0000940394-17-000245) and incorporated herein by reference.

 

 

 

(b)

Amended and Restated Schedule A dated October 10, 2017 to the Investment Advisory Agreement dated December 31, 2016 filed as Exhibit (d)(1)(b) to Post-Effective Amendment No. 91 filed October 10, 2017 (Accession No. 0000940394-17-002009) and incorporated herein by reference.

 

 

(2)

 

Form of Investment Advisory and Administrative Agreement between Calvert Management Series on behalf of Calvert Ultra-Short Duration Income NextShares and Calvert Research and Management dated October 3, 2017 filed as Exhibit (d)(2) to Post-Effective Amendment No. 86 filed July 20, 2017 (Accession No. 0000940394-17-001476) and incorporated herein by reference.

 

(e)

(1)

(a)

Master Distribution Agreement between each registered investment company listed on Schedule A on behalf of each of its series listed on Schedule A, and Eaton Vance Distributors, Inc. effective December 31, 2016, filed as Exhibit (e) to Post-Effective Amendment No. 89 of Calvert Social Investment Fund (File Nos. 002-75106, 811-03334) filed January 30, 2017 (Accession No. 0000940394-17-000162) and incorporated herein by reference.

 

 

 

(b)

Amended Schedule A dated October 10, 2017 to the Master Distribution Agreement effective December 31, 2016 filed as Exhibit (e)(1)(b) to Post-Effective Amendment No. 91 filed October 10, 2017 (Accession No. 0000940394-17-002009) and incorporated herein by reference.

 

 

(2)

 

Form of Distribution Agreement between each registered investment company listed on Exhibit A and Foreside Fund Services, LLC dated _______, 2017 filed as Exhibit (e)(2) to Post-Effective Amendment No. 86 filed July 20, 2017 (Accession No. 0000940394-17-001476) and incorporated herein by reference.

 

(f)

 

 

Form of Deferred Compensation Agreement filed as Exhibit (f) to Post-Effective Amendment No. 89 of Calvert Social Investment Fund (File Nos. 002-75106, 811-03334) filed January 30, 2017 (Accession No. 0000940394-17-000162) and incorporated herein by reference.

 

(g)

(1)

(a)

Master Custodian Agreement between Calvert Funds and State Street Bank and Trust Company dated December 1, 2000 incorporated by reference to Registrant’s Post-Effective Amendment No. 50, as filed with the Securities and Exchange Commission on April 27, 2001 (Accession No. 0000930661-01-500295).

 

 

 

(b)

Form of Amendment dated ______, 2017 to the Master Custodian Agreement dated December 1, 2000 filed as Exhibit (g)(1)(b) to Post-Effective Amendment No. 90 filed October 3, 2017 (Accession No. 0000940394-17-001899) and incorporated herein by reference.



C-1





 

(h)

(1)

(a)

Administrative Services Agreement between Calvert Research and Management and each registered investment company listed on Appendix A on behalf of each of its series listed on Appendix A, dated December 31, 2016 filed as Exhibit (h)(1) to Post-Effective Amendment No. 89 of Calvert Social Investment Fund (File Nos. 002-75106, 811-03334) filed January 30, 2017 (Accession No. 0000940394-17-000162) and incorporated herein by reference.

 

 

 

(b)

Amended and Restated Appendix A dated October 10, 2017 to the Administrative Services Agreement dated December 31, 2016 filed as Exhibit (h)(1)(b) to Post-Effective Amendment No. 91 filed October 10, 2017 (Accession No. 0000940394-17-002009) and incorporated herein by reference.

 

 

(2)

(a)

Amended Master Transfer Agency and Service Agreement incorporated by reference to Registrant’s Post-Effective Amendment No. 57 filed with the Securities and Exchange Commission on April 29, 2008 (Accession No. 0000319676-08-000004.

 

 

 

(b)

Amendment to Master Transfer Agency and Service Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 66 filed with the Securities and Exchange Commission on April 29, 2013 Accession No. 0000319676-13-000003).

 

 

 

(c)

Amendment to Master Transfer Agency and Service Agreement, incorporated by reference to Registrant’s Post-Effective Amendment No. 77 filed with the Securities and Exchange Commission on April 28, 2016 (Accession No. 0000319676-16-000095).

 

 

 

(d)

Amendment to and Assignment of Master Transfer Agency and Service Agreement between State Street Bank and Trust Company and Calvert Social Investment Fund, Calvert Management Series, The Calvert Fund, Calvert Responsible Index Series, Inc., Calvert Impact Fund, Inc., Calvert Variable Products, Inc., Calvert Variable Series, Inc. and Calvert World Values Fund, Inc. dated December 31, 2016 filed as Exhibit (h)(2)(d) to Post-Effective Amendment No. 80 filed February 1, 2017 (Accession No. 0000940394-17-000245) and incorporated herein by reference.

 

 

(3)

 

Sub-Transfer Agency Support Services Agreement between Eaton Vance Management and each open-end investment company listed on Appendix A dated December 31, 2016 filed as Exhibit (h)(3) to Post-Effective Amendment No. 89 of Calvert Social Investment Fund (File Nos. 002-75106, 811-03334) filed January 30, 2017 (Accession No. 0000940394-17-000162) and incorporated herein by reference.

 

 

(4)

(a)

Expense Reimbursement Agreement between Calvert Research and Management and each Trust and/or Corporation (on behalf of certain of their series) listed on Schedule A, dated December 31, 2016 filed as Exhibit (h)(4) to Post-Effective Amendment No. 89 of Calvert Social Investment Fund (File Nos. 002-75106, 811-03334) filed January 30, 2017 (Accession No. 0000940394-17-000162) and incorporated herein by reference.

 

 

 

(b)

Amended Schedule A dated October 10, 2017 to the Expense Reimbursement Agreement dated December 31, 2016 filed as Exhibit (h)(4)(b) to Post-Effective Amendment No. 91 filed October 10, 2017 (Accession No. 0000940394-17-002009) and incorporated herein by reference.

 

 

(5)

 

Form of Authorized Participant Agreement dated _______, 2017 filed as Exhibit (h)(5) to Post-Effective Amendment No. 86 filed July 20, 2017 (Accession No. 0000940394-17-001476) and incorporated herein by reference.

 

 

(6)

 

Form of Operations Agreement dated _______, 2017 filed as Exhibit (h)(6) to Post-Effective Amendment No. 86 filed July 20, 2017 (Accession No. 0000940394-17-001476) and incorporated herein by reference.

 

 

(7)

 

Form of Transfer Agency and Service Agreement between State Street Bank and Trust Company and Calvert Management Series dated _________, 2017 filed as Exhibit (h)(7) to Post-Effective Amendment No. 90 filed October 3, 2017 (Accession No. 0000940394-17-001899) and incorporated herein by reference.

 

(i)

 

 

Opinion and Consent of Internal Counsel dated ________, 2017 to be filed by Amendment.



C-2





 

(j)

 

 

Consent of Independent Registered Public Accounting Firm for Calvert Tax-Free Responsible Impact Bond Fund dated _______, 2017 to be filed by Amendment.

 

(m)

(1)

(a)

Master Distribution Plan for Class A Shares, as adopted December 31, 2016 filed as Exhibit (m)(1) to Post-Effective Amendment No. 89 of Calvert Social Investment Fund (File Nos. 002-75106, 811-03334) filed January 30, 2017 (Accession No. 0000940394-17-000162) and incorporated herein by reference.

 

 

 

(b)

Amended Schedule A dated October 10, 2017 to the Master Distribution Plan for Class A shares adopted December 31, 2016 filed as Exhibit (m)(1)(b) to Post-Effective Amendment No. 91 filed October 10, 2017 (Accession No. 0000940394-17-002009) and incorporated herein by reference.

 

 

(2)

 

Master Distribution Plan for Class C shares filed as Exhibit (m)(3) to Post-Effective Amendment No. 89 of Calvert Social Investment Fund (File Nos. 002-75106, 811-03334) filed January 30, 2017 (Accession No. 0000940394-17-000162) and incorporated herein by reference.

 

(n)

 

 

Multiple Class Plan for Calvert Funds effective October 1, 2017 filed as Exhibit (n) to Post-Effective Amendment No. 91 of Calvert Social Investment Fund (File Nos. 002-75106, 811-03334) filed October 3, 2017 (Accession No. 0000940394-17-001889) and incorporated herein by reference.

 

(p)

 

 

Code of Ethics for the Calvert Funds and Calvert Research and Management, effective September 13, 2017 filed as Exhibit (p)(1) to Post-Effective Amendment No. 91 of Calvert Social Investment Fund (File Nos. 002-75106, 811-03334) filed October 3, 2017 (Accession No. 0000940394-17-001889) and incorporated herein by reference.

 

(q)

(1)

 

Power of Attorney for Registrant’s Trustees and Officers dated December 28, 2016 filed as Exhibit (q)(1) to Post-Effective Amendment No. 80 filed February 1, 2017 (Accession No. 0000940394-17-000245) and incorporated herein by reference.

 

 

(2)

 

Secretary’s Certificate dated January 26, 2017 filed as Exhibit (q)(2) to Post-Effective Amendment No. 83 filed April 28, 2017 (Accession No. 0000940394-17-001015) and incorporated herein by reference.

Item 29. Persons Controlled by or Under Common Control

Not applicable

Item 30. Indemnification

Article XI, Section 4 of the Registrants Declaration of Trust provides that the Registrant, out of the Registrant’s assets, shall indemnify every person who is or has been a Trustee, officer, employee or agent of the Registrant and every person who serves at the Registrant’s request as director, officer, employee or agent of another corporation, partnership, joint venture, trust or other enterprise shall be indemnified by the Registrant to the fullest extent permitted by law against all liabilities and against all expenses reasonably incurred or paid by him in connection with any debt, claim, action, demand, suit, proceeding, judgment, decree, liability or obligation of any kind in which he becomes involved as a party or otherwise or is threatened by virtue of his being or having been a Trustee, officer, employee or agent of the Registrant or of another corporation, partnership, joint venture, trust or other enterprise at the request of the Registrant against amounts paid or incurred by him in the compromise or settlement thereof.

No indemnification shall be provided to any person hereunder against any liabilities to the Registrant or its shareholders adjudicated to have been incurred by reason of willful misfeasance, bad faith, gross negligence, or reckless disregard of the duties involved in the conduct of such person’s office.

Article V, Section 1(t) of the Registrant’s Declaration of Trust, and Article IX, Section 3 of the Registrant’s By-Laws, provide that the Registrant’s Trustees are permitted to purchase insurance of any kind, including, without limitation, insurance on behalf of any person who is or was a Trustee, officer, employee or agent of the Trust, or is or was serving at the request of the Trust as a trustee, director, officer, agent or employee of another corporation, partnership, joint venture, trust or other enterprise against any liability asserted against such person and incurred by such person in any such capacity or arising out of such person’s status as such.

In addition, indemnification against certain liabilities of the Registrant’s trustees and officers and/or the Registrant’s administrator, principal underwriter, transfer agent, custodian and other service providers are provided in: (1) Section 5 of the Administrative Services Agreement between the Registrant and Calvert Research and Management; (2) Section 4 of the Master Distribution



C-3


Agreement between the Registrant and Eaton Vance Distributors, Inc.; (3) Section 14 of the Master Custodian Agreement between the Registrant and State Street Bank and Trust Company; (4) Section 12 of the Securities Lending Authorization Agreement between the Registrant and State Street Bank and Trust Company; and (5) Section 8 of the Administration Agreement between the Registrant and State Street Bank and Trust Company.  Generally, such indemnification does not apply to any liabilities by reason of willful misfeasance, bad faith or gross negligence and reckless disregard of duties.  These Agreements are incorporated herein by reference to Item 28.

Item 31.        Business and Other Connections of Investment Adviser

The Registrant’s investment adviser, Calvert Research and Management (“CRM”), is a Massachusetts business trust. In addition to providing investment advisory services to registered management investment companies, CRM provides investment advisory services to separately managed accounts.  Additional information as to CRM and the trustees and officers of CRM is included in CRM’s Form ADV filed with the U.S. Securities and Exchange Commission (“SEC”) (File No. 801-108378), which is incorporated herein by reference and sets forth the officers and trustees of CRM and information as to any business, profession, vocation or employment of a substantial nature engaged in by CRM and such officers and trustees during the past two years.

Item 32. Principal Underwriters

(a)

(1)

Registrants principal underwriter for its series Calvert Floating-Rate Advantage Fund, Calvert Tax-Free Responsible Impact Bond Fund and Calvert Unconstrained Bond Fund is Eaton Vance Distributors, Inc. (EVD), a wholly-owned subsidiary of Eaton Vance Corp. EVD is also the principal underwriter for each of the registered investment companies named below:


Calvert Impact Fund, Inc.

The Calvert Fund

Calvert Responsible Index Series, Inc.

Calvert Social Investment Fund

Calvert World Values Fund, Inc.

Calvert Variable Series, Inc.

Calvert Variable Products, Inc.

Eaton Vance Growth Trust

Eaton Vance Investment Trust

Eaton Vance Municipals Trust

Eaton Vance Municipals Trust II

Eaton Vance Mutual Funds Trust

Eaton Vance Series Fund, Inc.

Eaton Vance Series Trust II

Eaton Vance Special Investment Trust

Eaton Vance Variable Trust


(b)

(1)

(1)
Name and Principal
Business Address*

(2)
Positions and Offices
with Principal Underwriter

(3)
Positions and Offices
with Registrant

 

 

 

Robb Allen

Vice President

None

Julie Andrade

Vice President

None

Brian Arcara

Vice President

None

Christopher Arthur

Vice President

None

Brian Austin

Vice President

None

Michelle Baran

Vice President

None

Ira Baron

Vice President

None

Jeffrey P. Beale

Vice President

None

Brian Blair

Vice President

None

Stephanie H. Brady

Vice President

None

Timothy Breer

Vice President

None



C-4





Joe Brody

Vice President

None

Luke Bordzinski

Vice President

None

Mark Burkhard

Vice President

None

Joseph Bustros

Vice President

None

Eric Caplinger

Vice President

None

Kristin Carcio

Vice President

None

Daniel C. Cataldo

Vice President and Treasurer

None

Tiffany Cayarga

Vice President

None

Patrick Cerrato

Vice President

None

Gregory Chalas

Vice President

None

Randy Clark

Vice President

None

Tyler Cortelezzi

Vice President

None

Enrico Coscia

Vice President

None

Patrick Cosgrove

Vice President

None

Peter Crowley

Vice President

None

Robert Cunha

Vice President

None

Rob Curtis

Vice President

None

Kevin Darrow

Vice President

None

Holly DiCostanzo

Vice President

None

Brian Dunkley

Vice President

None

James Durocher

Senior Vice President

None

Anthony Eames

Vice President

None

Margaret Egan

Vice President

None

Robert Ellerbeck

Vice President

None

Daniel Ethier

Vice President

None

Troy Evans

Vice President

None

Lawrence L. Fahey

Vice President

None

Thomas E. Faust Jr.

Director

None

Scott Firth

Vice President

None

James Foley

Vice President

None

Brandon Fritz

Vice President

None

Kathleen Fryer

Vice President

None

Jonathan Futterman

Vice President

None

Anne Marie Gallagher

Vice President

None

Gregory Gelinas

Vice President

None

Bradford Godfrey

Vice President

None

Seth Goldzweig

Vice President

None

Andrew Goodale

Vice President

None

David Gordon

Vice President

None



C-5





Daniel Grzywacz

Vice President

None

Diane Hallett

Vice President

None

Steven Heck

Vice President

None

Richard Hein

Vice President

None

Joseph Hernandez

Vice President

None

Dori Hetrick

Vice President

None

Toebe Hinckle

Vice President

None

Suzanne Hingel

Vice President

None

Christian Howe

Vice President

None

Laurie G. Hylton

Director

None

Jonathan Isaac

Vice President

None

Adrian Jackson

Vice President

None

Brian Johnson

Vice President

None

Elizabeth Johnson

Vice President

None

Doug Keagle

Vice President

None

Sean Kelly

Senior Vice President

None

William Kennedy

Vice President

None

Joseph Kosciuszek

Vice President

None

Kathleen Krivelow

Vice President

None

Robert Kuberski

Vice President

None

David Lefcourt

Vice President

None

Benjamin LeFevre

Vice President

None

Andrew Leimenstoll

Vice President

None

Paul Leonardo

Vice President

None

Brandon Lindley

Vice President

None

Scott Lindsay

Vice President

None

John Loy

Vice President

None

Coleen Lynch

Vice President

None

John Macejka

Vice President

None

Scott Mackey

Vice President

None

James Maki

Vice President

None

Tim Mamis

Vice President

None

Frederick S. Marius

Vice President, Secretary, Clerk and Chief Legal Officer

None

Geoff Marshall

Vice President

None

Christopher Mason

Vice President

None

Daniel J. McCarthy

Vice President

None

James McCuddy

Vice President

None

Tim McEwen

Vice President

None

Ian McGinn

Vice President

None



C-6





Shannon McHugh-Price

Vice President

None

David Michaud

Vice President

None

Mark Milan

Vice President

None

John Moninger

Senior Vice President

None

Chris Morahan

Vice President

None

Meghan Moses

Vice President

None

Matthew Navins

Vice President

None

Christopher Nebons

Vice President

None

Jason Newnham

Vice President

None

Paul Nicely

Vice President

None

Jeffrey Nizzardo

Vice President

None

Andrew Olig

Vice President

None

David Oliveri

Vice President

None

Philip Pace

Vice President

None

Steven Perlmutter

Vice President

None

Steve Pietricola

Vice President

None

Benjamin Pomeroy

Vice President

None

John Pumphrey

Vice President

None

James Putman

Vice President

None

Henry Rehberg

Vice President

None

Lenore Reiner

Vice President

None

Christopher Remington

Vice President

None

David Richman

Vice President

None

Christopher Rohan

Vice President

None

Kevin Rookey

Vice President

None

John Santoro

Vice President

None

Rocco Scanniello

Vice President

None

Michael Shea

Vice President

None

Alan Simeon

Vice President

None

Randy Skarda

Vice President

None

David Smith

Chief Compliance Officer

None

Russell Smith

Vice President

None

Jamie Smoller

Vice President

None

Daniel Sullivan

Vice President

None

Elaine Sullivan

Vice President

None

Michael Sullivan

Vice President

None

Eileen Tam

Vice President

None

Brian Taranto

Vice President and Chief Administrative Officer

None

Robyn Tice

Vice President

None



C-7





John M. Trotsky

Vice President

None

Geoffrey Underwood

Vice President

None

Randolph Verzillo

Vice President

None

Shannon Vincent

Vice President

None

Greg Walsh

Vice President

None

Christopher Webber

Vice President

None

Scott Weisel

Vice President

None

David White

Vice President

None

Steve Widder

Vice President

None

Tim Williamson

Vice President

None

Matthew J. Witkos

President, Chief Executive Officer and Director

None

Gregor Yuska

Vice President

None

Anthony Zanetti

Vice President

None

David Zigas

Vice President

None

 

 

* Address is Two International Place, Boston, MA  02110

 

(a)

(2)

Registrants principal underwriter for its series Calvert Ultra-Short Income NextShares is Foreside Fund Services, LLC (the Distributor).  Foreside Fund Services, LLC also serves as principal underwriter for the following investment companies registered under the Investment Company Act of 1940, as amended:

 

 

ABS Long/Short Strategies Fund

 

 

Absolute Shares Trust

 

 

AdvisorShares Trust

 

 

American Beacon Funds

 

 

American Beacon Select Funds

 

 

Archstone Alternative Solutions Fund

 

 

Ark ETF Trust

 

 

Avenue Mutual Funds Trust

 

 

BP Capital TwinLine Energy Fund, Series of Professionally Managed Portfolios

 

 

BP Capital TwinLine MLP Fund, Series of Professionally Managed Portfolios

 

 

Braddock Multi-Strategy Income Fund, Series of Investment Managers Series Trust

 

 

Bridgeway Funds, Inc.

 

 

Center Coast MLP & Infrastructure Fund

 

 

Center Coast MLP Focus Fund, Series of Investment Managers Series Trust

 

 

Context Capital Funds

 

 

CornerCap Group of Funds

 

 

Davis Fundamental ETF Trust

 

 

Direxion Shares ETF Trust

 

 

Eaton Vance NextShares Trust

 

 

Eaton Vance NextShares Trust II



C-8





 

 

EIP Investment Trust

 

 

Evanston Alternative Opportunities Fund

 

 

Exchange Listed Fund Trust (fka Exchange Traded Concepts Trust II)

 

 

FEG Absolute Access Fund I LLC

 

 

FlexShares Trust

 

 

Forum Funds

 

 

Forum Funds II

 

 

FQF Trust

 

 

Guiness Atkinson Funds

 

 

Henderson Global Funds

 

 

Horizon Spin-off and Corporate Restructuring Fund, Series of Investment Managers Series Trust (f/k/a Liberty Street Horizon Fund)

 

 

Horizons ETF Trust

 

 

Horizons ETF Trust I (fka Becon Capital Series Trust)

 

 

Infinity Core Alternative Fund

 

 

Ironwood Institutional Multi-Strategy Fund LLC

 

 

Ironwood Multi-Strategy Fund LLC

 

 

John Hancock Exchange-Traded Fund Trust

 

 

Lyons Funds

 

 

Manor Investment Funds

 

 

Miller/Howard Funds Trust

 

 

Miller/Howard High Income Equity Fund

 

 

Moerus Worldwide Value Fund, Series of Northern Lights Fund Trust IV

 

 

Montage Managers Trust

 

 

Palmer Square Opportunistic Income Fund

 

 

PENN Capital Funds

 

 

Performance Trust Mutual Funds, Series of Trust for Professional Managers

 

 

Pine Grove Alternative Institutional Fund

 

 

Plan Investment Fund, Inc.

 

 

PMC Funds, Series of Trust for Professional Managers

 

 

Quaker Investment Trust

 

 

Ramius Archview Credit and Distressed Fund

 

 

Renaissance Capital Greenwich Funds

 

 

RMB Investors Trust (fka Burnham Investors Trust)

 

 

Robinson Opportunities Income Fund, Series of Investment Managers Series Trust

 

 

Robinson Tax Advantaged Income Fund, Series of Investment Managers Series Trust

 

 

Salient MF Trust

 

 

SharesPost 100 Fund

 

 

Sound Shore Fund, Inc.



C-9





 

 

Steben Alternative Investment Funds

 

 

Steben Select Multi-Strategy Fund

 

 

Strategy Shares

 

 

The 504 Plan (fka The Pennant 504 Fund)

 

 

The Community Development Fund

 

 

Third Avenue Trust

 

 

Third Avenue Variable Series Trust

 

 

TIFF Investment Program

 

 

Turner Funds

 

 

U.S. Global Investors Funds

 

 

West Loop Realty Fund, Series of Investment Managers Series Trust (f/k/a Chilton Realty Income & Growth Fund)

 

 

Wintergreen Fund, Inc.

 

 

WisdomTree Trust


(b)

(2)

The following are the Officers and Manager of the Distributor. The Distributor’s main business address is Three Canal Plaza, Suite 100, Portland, Maine 04101.

 

 

 

 

 

 

Name

  

Address

  

Position with
Underwriter

  

Position with
Registrant

 

 

 

 

Richard J. Berthy

  

Three Canal Plaza,
Suite 100,
Portland, ME 04101

  

President, Treasurer and Manager

  

None

Mark A. Fairbanks

  

Three Canal Plaza,
Suite 100,
Portland, ME 04101

  

Vice President

  

None

Nanette K. Chern

  

Three Canal Plaza,
Suite 100,
Portland, ME 04101

  

Vice President and
Chief Compliance Officer

  

None

Jennifer K. DiValerio

 

899 Cassalt Road,

400 Berwyn Park, Suite 110 Berwyn, PA 19312

 

Vice President

 

None

Jennifer E. Hoopes

  

Three Canal Plaza,
Suite 100,
Portland, ME 04101

  

Secretary

  

None

 

(c)

Not applicable




C-10


Item 33. Location of Accounts and Records

All applicable accounts, books and documents required to be maintained by the Registrant by Section 31(a) of the Investment Company Act of 1940 and the Rules promulgated thereunder are in the possession and custody of the Registrant’s custodian, State Street Bank and Trust Company, State Street Financial Center, One Lincoln Street, Boston, MA 02111, and its transfer agent, Boston Financial Data Services, Inc. 30 Dan Road, Canton, MA 02021, with the exception of certain corporate documents and portfolio trading documents which are in the possession and custody of the administrator and investment adviser.  Registrant is informed that all applicable accounts, books and documents required to be maintained by registered investment advisers are in the custody and possession of Calvert Research and Management, located at 1825 Connecticut Ave NW, Suite 400, Washington, DC 20009 and Eaton Vance Management, located at Two International Place, Boston, MA 02110.

Item 34. Management Services

Not applicable

Item 35. Undertakings

Insofar as indemnification for liabilities arising under the Securities Act of 1933, as amended (the 1933 Act), may be permitted to directors, trustees, officers and controlling persons of the Registrant and the principal underwriter pursuant to the provisions described in response to Item 30, or otherwise, the Registrant has been advised that in the opinion of the U.S. Securities and Exchange Commission such indemnification is against public policy as expressed in the 1933 Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, trustee, officer, or controlling person of the Registrant and the principal underwriter in connection with the successful defense of any action, suite or proceeding) is asserted against the Registrant by such director, trustee, officer or controlling person or principal underwriter in connection with the shares being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the 1933 Act and will be governed by the final adjudication of such issue.





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SIGNATURES

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 Post-Effective Amendment to the Registration Statement pursuant to Rule 485(b) under the Securities Act of 1933, as amended, and has duly caused this Post-Effective Amendment to its Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized in the City of Boston, and the Commonwealth of Massachusetts, on October 19, 2017.

 

CALVERT MANAGEMENT SERIES

 

By:

John H. Streur*

 

John H. Streur, President

Pursuant to the requirements of the Securities Act of 1933, as amended, this Post-Effective Amendment to the Registration Statement has been signed below by the following persons in the capacities indicated on October 19, 2017.

Signature

Title

 

 

John H. Streur*

President and Trustee

John H. Streur

 

 

 

/s/ James F. Kirchner

Treasurer (Principal Financial and Accounting Officer)

James F. Kirchner

 

 

 

Signature

Title

Signature

Title

 

 

 

 

Richard L. Baird, Jr.*

Trustee

Miles D. Harper, III*

Trustee

Richard L. Baird, Jr.

 

Miles D. Harper, III

 

 

 

 

 

Alice Gresham Bullock *

Trustee

Joy V. Jones*

Trustee

Alice Gresham Bullock

 

Joy V. Jones

 

 

 

 

 

Cari Dominguez*

Trustee

Anthony A. Williams*

Trustee

Cari Dominguez

 

Anthony A. Williams

 

 

 

 

 

John G. Guffey, Jr.*

Trustee

 

 

John G. Guffey, Jr.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

*By:

/s/ Maureen A. Gemma

 

 

Maureen A. Gemma (As attorney-in-fact)

 




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