0000894189-23-009295.txt : 20231226 0000894189-23-009295.hdr.sgml : 20231226 20231226101004 ACCESSION NUMBER: 0000894189-23-009295 CONFORMED SUBMISSION TYPE: 485BXT PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20231226 DATE AS OF CHANGE: 20231226 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RBB FUND, INC. CENTRAL INDEX KEY: 0000831114 ORGANIZATION NAME: IRS NUMBER: 510312196 STATE OF INCORPORATION: MD FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: 485BXT SEC ACT: 1940 Act SEC FILE NUMBER: 811-05518 FILM NUMBER: 231511540 BUSINESS ADDRESS: STREET 1: 615 E. MICHIGAN ST. CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 609-731-6256 MAIL ADDRESS: STREET 1: 615 E. MICHIGAN ST. CITY: MILWAUKEE STATE: WI ZIP: 53202 FORMER COMPANY: FORMER CONFORMED NAME: RBB FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: FUND INC /DE/ DATE OF NAME CHANGE: 19600201 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RBB FUND, INC. CENTRAL INDEX KEY: 0000831114 ORGANIZATION NAME: IRS NUMBER: 510312196 STATE OF INCORPORATION: MD FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: 485BXT SEC ACT: 1933 Act SEC FILE NUMBER: 033-20827 FILM NUMBER: 231511539 BUSINESS ADDRESS: STREET 1: 615 E. MICHIGAN ST. CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 609-731-6256 MAIL ADDRESS: STREET 1: 615 E. MICHIGAN ST. CITY: MILWAUKEE STATE: WI ZIP: 53202 FORMER COMPANY: FORMER CONFORMED NAME: RBB FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: FUND INC /DE/ DATE OF NAME CHANGE: 19600201 0000831114 S000083564 F/m 10-Year Investment Grade Corporate Bond ETF C000247331 F/m 10-Year Investment Grade Corporate Bond ETF Shares 0000831114 S000083565 F/m 7-Year Investment Grade Corporate Bond ETF C000247332 F/m 7-Year Investment Grade Corporate Bond ETF Shares 0000831114 S000083566 F/m 12-Month Investment Grade Corporate Bond ETF C000247333 F/m 12-Month Investment Grade Corporate Bond ETF Shares 0000831114 S000083567 F/m 15+ Year Investment Grade Corporate Bond ETF C000247334 F/m 15+ Year Investment Grade Corporate Bond ETF Shares 0000831114 S000083568 F/m 2-Year Investment Grade Corporate Bond ETF C000247335 F/m 2-Year Investment Grade Corporate Bond ETF Shares 0000831114 S000083569 F/m 20-Year Investment Grade Corporate Bond ETF C000247336 F/m 20-Year Investment Grade Corporate Bond ETF Shares 0000831114 S000083570 F/m 3-Year Investment Grade Corporate Bond ETF C000247337 F/m 3-Year Investment Grade Corporate Bond ETF Shares 0000831114 S000083571 F/m 30-Year Investment Grade Corporate Bond ETF C000247338 F/m 30-Year Investment Grade Corporate Bond ETF Shares 0000831114 S000083572 F/m 5-Year Investment Grade Corporate Bond ETF C000247339 F/m 5-Year Investment Grade Corporate Bond ETF Shares 0000831114 S000083573 F/m 6-Month Investment Grade Corporate Bond ETF C000247340 F/m 6-Month Investment Grade Corporate Bond ETF Shares 485BXT 1 rbb-fm_485bxt.htm DESIGNATION OF NEW EFFECTIVE DATE

Filed with the Securities and Exchange Commission on December 26, 2023

1933 Act Registration File No. 033-20827
1940 Act Registration File No. 811-05518

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
 
FORM N-1A
 
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
[
X
]
Pre-Effective Amendment No.
    
[
  
]
Post-Effective Amendment No.
314
  
[
X
]
 
and/or
 
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940
[
X
]
Amendment No.
  319  
[
 X
]
 
(Check appropriate box or boxes.)

THE RBB FUND, INC.
(Exact Name of Registrant as Specified in Charter)
 
615 East Michigan Street
Milwaukee, Wisconsin 53202

(Address of Principal Executive Offices, including Zip Code)
 
Registrant’s Telephone Number, including Area Code: (609) 731-6256
Copies to:
 
STEVEN PLUMP
 
JILLIAN BOSMANN, ESQUIRE
The RBB Fund, Inc.
 
Faegre Drinker Biddle & Reath LLP
615 East Michigan Street
 
One Logan Square, Suite 2000
Milwaukee, Wisconsin 53202
 
Philadelphia, Pennsylvania 19103-6996

It is proposed that this filing will become effective (check appropriate box)

[
  
]
immediately upon filing pursuant to paragraph (b)
[
X
]
on January 8, 2024 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:

[
 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

Post-Effective Amendment No. 309 (the “Amendment”) was filed pursuant to Rule 485(a)(2) under the Securities Act of 1933, as amended (the “1933 Act”), on October 13, 2023 and pursuant to Rule 485(a)(2) would have become effective on December 27, 2023.

This Post-Effective Amendment No. 314 is being filed pursuant to Rule 485(b)(1)(iii) under the 1933 Act for the sole purpose of designating January 8, 2024 as the new date upon which the Amendment shall become effective.

This Post-Effective Amendment No. 314 incorporates by reference the information contained in Parts A, B and C of the Amendment.


SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended (the “1933 Act”), 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 its Registration Statement under Rule 485(b) under the 1933 Act and has duly caused this Post-Effective Amendment to its Registration Statement to be signed on its behalf by the undersigned, thereto duly authorized, in the City of Short Hills and State of New Jersey on December 26, 2023.

THE RBB FUND, INC.

By: /s/ Steven Plump 
Steven Plump
President

Pursuant to the requirements of the 1933 Act, this Amendment to Registrant’s Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
 
SIGNATURE
 
TITLE
 
DATE
 
 
 
 
 
/s/ Steven Plump
 
President (Principal Executive Officer)
 
December 26, 2023
Steven Plump
 
 
 
 
 
 
 
 
/s/ James G. Shaw
 
Chief Financial Officer (Principal Financial and Accounting Officer)
 
December 26, 2023
James G. Shaw
    
 
 
 
 
 
 
 
*Julian A. Brodsky
 
Director
 
December 26, 2023
Julian A. Brodsky
 
 
 
 
 
 
 
 
 
*Gregory P. Chandler
 
Director
 
December 26, 2023
Gregory P. Chandler
 
 
 
 
 
 
 
 
 
*Lisa A. Dolly
 
Director
 
December 26, 2023
Lisa A. Dolly
 
 
 
 
 
 
 
 
 
*Nicholas A. Giordano
 
Director
 
December 26, 2023
Nicholas A. Giordano
 
 
 
 
 
 
 
 
 
*Arnold M. Reichman
 
Director
 
December 26, 2023
Arnold M. Reichman
 
 
 
 
 
 
 
 
 
*Robert Sablowsky
 
Director
 
December 26, 2023
Robert Sablowsky
 
 
 
 
 
 
 
 
 
*Brian T. Shea
 
Director
 
December 26, 2023
Brian T. Shea
 
 
 
 
 
 
 
 
 
*Robert Straniere
 
Director
 
December 26, 2023
Robert Straniere
 
 
 
 
 
*By:
/s/ James G. Shaw
 
James G. Shaw
 
Attorney-in-Fact
 

 
THE RBB FUND, INC.
(the “Company”)
 
THE RBB FUND TRUST
(the “Trust”)
 
POWER OF ATTORNEY
 
Know All Men by These Presents, that the undersigned, Julian A. Brodsky, hereby constitutes and appoints Steven Plump, Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.
 
DATED:
September 8, 2022
 
 
 
 
 
/s/ Julian A. Brodsky
 
 
 
 
 
Julian A. Brodsky
 

THE RBB FUND, INC.
(the “Company”)
 
THE RBB FUND TRUST
(the “Trust”)
 
POWER OF ATTORNEY
 
Know All Men by These Presents, that the undersigned, Gregory P. Chandler, hereby constitutes and appoints Steven Plump, Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.
 
DATED:
September 8, 2022
 
 
 
 
 /s/ Gregory P. Chandler
 
 
 
 
 
Gregory P. Chandler
 
 

THE RBB FUND, INC.
(the “Company”)
 
THE RBB FUND TRUST
(the “Trust”)
 
POWER OF ATTORNEY
 
Know All Men by These Presents, that the undersigned, Lisa A. Dolly, hereby constitutes and appoints Steven Plump, Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Jillian L. Bosmann, her true and lawful attorneys, to execute in her name, place, and stead, in her capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in her name and on her behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as she might or could do in person, said acts of said attorneys being hereby ratified and approved.
 
DATED:
September 8, 2022
 
 
 
 
 
/s/ Lisa A. Dolly
 
 
 
 
 
Lisa A. Dolly
 
 

THE RBB FUND, INC.
(the “Company”)
 
THE RBB FUND TRUST
(the “Trust”)
 
POWER OF ATTORNEY
 
Know All Men by These Presents, that the undersigned, Nicholas A. Giordano, hereby constitutes and appoints Steven Plump, Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.
 
DATED:
September 8, 2022
 
 
 
 
 
/s/ Nicholas A. Giordano
 
 
 
 
 
Nicholas A. Giordano
 
 

THE RBB FUND, INC.
(the “Company”)
 
THE RBB FUND TRUST
(the “Trust”)
 
POWER OF ATTORNEY
 
Know All Men by These Presents, that the undersigned, Arnold M. Reichman, hereby constitutes and appoints Steven Plump, Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.
 
DATED:
September 8, 2022
 
 
 
 
 
/s/ Arnold M. Reichman
 
 
 
 
 
Arnold M. Reichman
 
 

THE RBB FUND, INC.
(the “Company”)
 
THE RBB FUND TRUST
(the “Trust”)
 
POWER OF ATTORNEY
 
Know All Men by These Presents, that the undersigned, Robert Sablowsky, hereby constitutes and appoints Steven Plump, Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.
 
DATED:
September 8, 2022
 
 
 
 
 
/s/ Robert Sablowsky
 
 
 
 
 
Robert Sablowsky
 
 

THE RBB FUND, INC.
(the “Company”)
 
THE RBB FUND TRUST
(the “Trust”)
 
POWER OF ATTORNEY
 
Know All Men by These Presents, that the undersigned, Brian T. Shea, hereby constitutes and appoints Steven Plump, Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.
 
DATED:
September 8, 2022
 
 
 
 
 
/s/ Brian T. Shea
 
 
 
 
 
Brian T. Shea
 


THE RBB FUND, INC.
(the “Company”)
 
THE RBB FUND TRUST
(the “Trust”)
 
POWER OF ATTORNEY
 
Know All Men by These Presents, that the undersigned, Robert A. Straniere, hereby constitutes and appoints Steven Plump, Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.
 
DATED:
September 8, 2022
 
 
 
 
 
/s/ Robert Straniere
 
 
 
 
 
Robert Straniere