0000940400-11-000430.txt : 20111028
0000940400-11-000430.hdr.sgml : 20111028
20111028152342
ACCESSION NUMBER: 0000940400-11-000430
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 8
CONFORMED PERIOD OF REPORT: 20110831
FILED AS OF DATE: 20111028
DATE AS OF CHANGE: 20111028
EFFECTIVENESS DATE: 20111028
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: RBB FUND INC
CENTRAL INDEX KEY: 0000831114
IRS NUMBER: 510312196
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0831
FILING VALUES:
FORM TYPE: NSAR-B
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-05518
FILM NUMBER: 111165071
BUSINESS ADDRESS:
STREET 1: 400 BELLEVUE PKWY STE 100
CITY: WILMINGTON
STATE: DE
ZIP: 19809
BUSINESS PHONE: 3027911700
MAIL ADDRESS:
STREET 1: 400 BELLEVUE PKWY
STREET 2: SUITE 152
CITY: WILMINGTON
STATE: DE
ZIP: 19809
FORMER COMPANY:
FORMER CONFORMED NAME: FUND INC /DE/
DATE OF NAME CHANGE: 19600201
0000831114
S000001093
RBB MONEY MARKET PORTFOLIO
C000002980
BEDFORD
BDMXX
C000002981
SANSOM
SANXX
0000831114
S000001094
ROBECO BP SMALL CAP VALUE II
C000002982
INSTITUTIONAL
BPSIX
C000002983
INVESTOR
BPSCX
0000831114
S000001097
ROBECO WPG SMALL/MICRO CAP VALUE FUND
C000002987
INSTITUTIONAL
WPGTX
0000831114
S000001098
SENBANC FUND
C000002988
SENBANC FUND
SENBX
0000831114
S000001099
SCHNEIDER SMALL CAP VALUE FUND
C000002989
SCHNEIDER SMALL CAP VALUE FUND
SCMVX
0000831114
S000001100
SCHNEIDER VALUE FUND
C000002990
SCHNEIDER VALUE FUND
SCMLX
0000831114
S000001101
BOGLE SMALL CAP GROWTH
C000002991
INSTITUTIONAL
BOGIX
C000002992
INVESTOR
BOGLX
0000831114
S000001106
ROBECO BP ALL-CAP VALUE FUND
C000002997
INSTITUTIONAL
BPAIX
C000002998
INVESTOR
BPAVX
0000831114
S000001108
ROBECO BP LONG/SHORT EQUITY FUND
C000003001
INSTITUTIONAL
BPLSX
C000003002
INVESTOR
BPLEX
0000831114
S000013665
Bear Stearns CUFS MLP Mortgage Portfolio
C000037423
Bear Stearns CUFS MLP Mortgage Portfolio
0000831114
S000015913
Marvin & Palmer Large Cap Growth Fund
C000043700
Marvin & Palmer Large Cap Growth Fund
MPAUX
0000831114
S000018555
Free Market U.S. Equity Fund
C000051460
Institutional Class
0000831114
S000018556
Free Market International Equity Fund
C000051461
Institutional Class
0000831114
S000018557
Free Market Fixed Income Fund
C000051462
Institutional Class
0000831114
S000025304
SAM Sustainable Global Active Fund
C000075423
Institutional
C000075424
Investor
0000831114
S000026538
Perimeter Small Cap Growth Fund
C000079687
Investor Class
C000079688
I Shares
0000831114
S000030121
S1 Fund
C000092508
I Shares
C000092509
R Shares
0000831114
S000030191
Robeco Boston Partners Long/Short Research Fund
C000092912
Investor Class
C000092913
Institutional Class
NSAR-B
1
rbb.fil
PAGE 1
000 B000000 08/31/2011
000 C000000 0000831114
000 D000000 N
000 E000000 NF
000 F000000 Y
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000 H000000 N
000 I000000 6.1
000 J000000 A
001 A000000 THE RBB FUND, INC.
001 B000000 811-05518
001 C000000 3027911851
002 A000000 103 BELLEVUE PARKWAY
002 B000000 WILMINGTON
002 C000000 DE
002 D010000 19809
003 000000 N
004 000000 N
005 000000 N
006 000000 N
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007 B000000 16
007 C010500 5
007 C020500 Money Market Portfolio
007 C030500 N
007 C012500 25
007 C022500 Robeco Boston Partners All-Cap Value Fund
007 C032500 N
007 C012700 27
007 C022700 Robeco Boston Partners Small Cap Value II
007 C032700 N
007 C013000 30
007 C023000 Schneider Small Cap Value Fund
007 C033000 N
007 C013200 32
007 C023200 Robeco Boston Partners Long/Short Equity Fund
007 C033200 N
007 C013300 33
007 C023300 Small Cap Growth Fund
007 C033300 N
007 C013400 34
007 C023400 Schneider Value Fund
007 C033400 N
007 C013600 36
007 C023600 Robeco WPG Small/Micro Cap Value Fund
007 C033600 N
007 C013900 39
007 C023900 Senbanc Fund
007 C033900 N
007 C014000 40
007 C024000 Bear Stearns CUFS. MLP Mortgage Portfolio
PAGE 2
007 C034000 N
007 C014200 42
007 C024200 Large Cap Growth Fund
007 C034200 N
007 C014300 43
007 C024300 Free Market U.S. Equity Fund
007 C034300 N
007 C014400 44
007 C024400 Free Market International Equity Fund
007 C034400 N
007 C014500 45
007 C024500 Free Market Fixed Income Fund
007 C034500 N
007 C014800 48
007 C024800 SAM Sustainable Global Active Fund
007 C034800 N
007 C014900 49
007 C024900 Perimeter Small Cap Growth Fund
007 C034900 N
007 C015000 50
007 C025000 Robeco Boston Partrs Long/Short Research Fund
007 C035000 N
007 C015100 51
007 C025100 S1 Fund
007 C035100 N
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008 D013001 WAYNE
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008 A003201 ROBECO INVESTMENT MANAGEMENT INC.
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PAGE 3
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008 D013201 NEW YORK
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008 D033201 10022
008 A003301 BOGLE INVESTMENT MANAGEMENT
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008 D023901 KY
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008 D014001 NEW YORK
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008 A004201 MARVIN & PALMER ASSOCIATES INC.
008 B004201 A
008 C004201 801-27724
008 D014201 WILMINGTON
008 D024201 DE
008 D034201 19801
008 D044201 1165
008 A004301 MATSON MONEY, INC.
008 B004301 A
008 C004301 801-40176
008 D014301 MASON
008 D024301 OH
008 D034301 45040
008 A004401 MATSON MONEY, INC.
008 B004401 A
008 C004401 801-40176
008 D014401 MASON
PAGE 4
008 D024401 OH
008 D034401 45040
008 A004501 MATSON MONEY, INC.
008 B004501 A
008 C004501 801-40176
008 D014501 MASON
008 D024501 OH
008 D034501 45040
008 A004801 SUSTAINABLE ASSET MANAGEMENT USA, INC.
008 B004801 A
008 C004801 801-68013
008 D014801 NEW YORK
008 D024801 NY
008 D034801 10022
008 A004901 PERIMETER CAPITAL MANAGEMENT
008 B004901 A
008 C004901 801-00000
008 D014901 ATLANTA
008 D024901 GA
008 D034901 30328
008 A005001 ROBECO INVESTMENT MANAGEMENT, INC.
008 B005001 A
008 C005001 801-61876
008 D015001 NEW YORK
008 D025001 NY
008 D035001 10022
008 A005101 SIMPLE ALTERNATIVES, LLC
008 B005101 A
008 C005101 801-717371
008 D015101 RIDGEFIELD
008 D025101 CT
008 D035101 06877
008 A005102 BLUE LION CAPITAL MANAGEMENT, LLC
008 B005102 S
008 C005102 801-71792
008 D015102 DALLAS
008 D025102 TX
008 D035102 75225
008 A005103 STARWOOD REAL ESTATE SECURITIES, LLC
008 B005103 S
008 C005103 801-63760
008 D015103 GREENWICH
008 D025103 CT
008 D035103 06830
008 A005104 LAUREN TEMPLETON CAPITAL MANAGEMENT, LLC
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008 A005105 TRELLUS MANAGEMENT CO., LLC
PAGE 5
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008 D015105 NEW YORK
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008 D035105 10017
008 A005106 COURAGE CAPITAL MANAGEMENT, LLC
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008 D015106 NASHVILLE
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008 A005107 CRAMER ROSENTHAL MCGLYNN, LLC
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008 D015107 NEW YORK
008 D025107 NY
008 D035107 10022
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010 C01AA01 WILMINGTON
010 C02AA01 DE
010 C03AA01 19809
011 A00AA01 BNY MELLON DISTRIBUTORS INC.
011 B00AA01 8-45467
011 C01AA01 KING OF PRUSSIA
011 C02AA01 PA
011 C03AA01 19406
012 A00AA01 BNY MELLON INVESTMENT SERVICING (US) INC.
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012 C01AA01 WESTBOROUGH
012 C02AA01 MA
012 C03AA01 01581
013 A000501 PRICEWATERHOUSECOOPERS LLP
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PAGE 6
013 B013201 PHILADELPHIA
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013 A003301 PRICEWATERHOUSECOOPERS LLP
013 B013301 PHILADELPHIA
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013 A003401 PRICEWATERHOUSECOOPERS LLP
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013 A003601 ERNST & YOUNG LLP
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PAGE 7
013 A004901 ERNST & YOUNG LLP
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013 B024901 PA
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013 A005001 ERNST & YOUNG LLP
013 B015001 PHILADELPHIA
013 B025001 PA
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015 A000501 THE BANK OF NEW YORK MELLON
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PAGE 8
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PAGE 9
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PAGE 10
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PAGE 11
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PAGE 12
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PAGE 13
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PAGE 14
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PAGE 15
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PAGE 16
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PAGE 17
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PAGE 18
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PAGE 19
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PAGE 20
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PAGE 21
028 A034500 0
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PAGE 22
028 G014800 192
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PAGE 23
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PAGE 24
029 004200 N
029 004300 N
029 004400 N
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030 A000500 0
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PAGE 25
030 B004800 0.00
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PAGE 26
032 003200 0
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PAGE 27
035 002700 0
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PAGE 28
037 005100 N
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040 000500 Y
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040 004500 N
PAGE 29
040 004800 Y
040 004900 Y
040 005000 Y
040 005100 N
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041 002500 Y
041 002700 Y
041 003200 Y
041 003900 Y
041 004800 Y
041 004900 Y
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PAGE 30
042 H003200 0
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PAGE 31
042 C004300 0
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PAGE 32
042 F005100 0
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PAGE 33
045 004400 Y
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048 000500 0.000
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PAGE 34
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PAGE 35
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PAGE 36
048 J013200 0
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PAGE 37
048 A013600 300000
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PAGE 38
048 C024000 0.000
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PAGE 39
048 F014300 0
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PAGE 40
048 H024500 0.000
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PAGE 41
048 K014900 0
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PAGE 42
049 003000 N
049 003200 N
049 003300 N
049 003400 N
049 003600 N
049 003900 N
049 004000 N
049 004200 N
049 004300 N
049 004400 N
049 004500 N
049 004800 N
049 004900 N
049 005000 N
049 005100 N
050 000500 N
050 002500 N
050 002700 N
050 003000 N
050 003200 N
050 003300 N
050 003400 N
050 003600 N
050 003900 N
050 004000 N
050 004200 N
050 004300 N
050 004400 N
050 004500 N
050 004800 N
050 004900 N
050 005000 N
050 005100 N
051 000500 N
051 002500 N
051 002700 N
051 003000 N
051 003200 N
051 003300 N
051 003400 N
051 003600 N
051 003900 N
051 004000 N
051 004200 N
051 004300 N
051 004400 N
051 004500 N
051 004800 N
051 004900 N
051 005000 N
051 005100 N
PAGE 43
052 000500 N
052 002500 N
052 002700 N
052 003000 N
052 003200 N
052 003300 N
052 003400 N
052 003600 N
052 003900 N
052 004000 N
052 004200 N
052 004300 N
052 004400 N
052 004500 N
052 004800 N
052 004900 N
052 005000 N
052 005100 N
053 A000500 Y
053 B000500 Y
053 C000500 N
053 A002500 Y
053 B002500 Y
053 C002500 N
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053 B002700 Y
053 C002700 N
053 A003000 Y
053 B003000 N
053 C003000 N
053 A003200 Y
053 B003200 Y
053 C003200 N
053 A003300 Y
053 A003400 Y
053 B003400 N
053 C003400 N
053 A003600 Y
053 B003600 Y
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053 A003900 Y
053 B003900 Y
053 C003900 N
053 A004000 N
053 A004200 Y
053 B004200 Y
053 C004200 N
053 A004300 N
053 A004400 N
053 A004500 N
053 A004800 Y
PAGE 44
053 B004800 Y
053 C004800 N
053 A004900 Y
053 B004900 Y
053 C004900 N
053 A005000 Y
053 B005000 Y
053 C005000 N
053 A005100 Y
053 B005100 Y
053 C005100 N
054 A000500 Y
054 B000500 Y
054 C000500 Y
054 D000500 N
054 E000500 N
054 F000500 N
054 G000500 Y
054 H000500 N
054 I000500 N
054 J000500 N
054 K000500 N
054 L000500 N
054 M000500 Y
054 N000500 N
054 O000500 Y
054 A002500 Y
054 B002500 Y
054 C002500 Y
054 D002500 N
054 E002500 N
054 F002500 N
054 G002500 Y
054 H002500 N
054 I002500 N
054 J002500 N
054 K002500 N
054 L002500 N
054 M002500 Y
054 N002500 N
054 O002500 Y
054 A002700 Y
054 B002700 Y
054 C002700 Y
054 D002700 N
054 E002700 N
054 F002700 N
054 G002700 Y
054 H002700 N
054 I002700 N
054 J002700 N
PAGE 45
054 K002700 N
054 L002700 N
054 M002700 Y
054 N002700 N
054 O002700 Y
054 A003000 Y
054 B003000 Y
054 C003000 Y
054 D003000 N
054 E003000 N
054 F003000 N
054 G003000 Y
054 H003000 N
054 I003000 N
054 J003000 N
054 K003000 N
054 L003000 N
054 M003000 Y
054 N003000 N
054 O003000 Y
054 A003200 Y
054 B003200 Y
054 C003200 Y
054 D003200 N
054 E003200 N
054 F003200 N
054 G003200 Y
054 H003200 N
054 I003200 N
054 J003200 N
054 K003200 N
054 L003200 N
054 M003200 Y
054 N003200 N
054 O003200 Y
054 A003300 Y
054 B003300 Y
054 C003300 Y
054 D003300 N
054 E003300 N
054 F003300 N
054 G003300 Y
054 H003300 N
054 I003300 N
054 J003300 N
054 K003300 N
054 L003300 N
054 M003300 Y
054 N003300 N
054 O003300 Y
054 A003400 Y
PAGE 46
054 B003400 Y
054 C003400 Y
054 D003400 N
054 E003400 N
054 F003400 N
054 G003400 Y
054 H003400 N
054 I003400 N
054 J003400 N
054 K003400 N
054 L003400 N
054 M003400 Y
054 N003400 N
054 O003400 Y
054 A003600 Y
054 B003600 Y
054 C003600 Y
054 D003600 N
054 E003600 N
054 F003600 N
054 G003600 Y
054 H003600 N
054 I003600 N
054 J003600 N
054 K003600 N
054 L003600 N
054 M003600 Y
054 N003600 N
054 O003600 Y
054 A003900 Y
054 B003900 Y
054 C003900 N
054 D003900 N
054 E003900 N
054 F003900 N
054 G003900 Y
054 H003900 N
054 I003900 N
054 J003900 N
054 K003900 N
054 L003900 N
054 M003900 Y
054 N003900 N
054 O003900 Y
054 A004000 Y
054 B004000 Y
054 C004000 Y
054 D004000 N
054 E004000 N
054 F004000 N
054 G004000 Y
PAGE 47
054 H004000 N
054 I004000 N
054 J004000 N
054 K004000 N
054 L004000 N
054 M004000 Y
054 N004000 N
054 O004000 Y
054 A004200 Y
054 B004200 Y
054 C004200 Y
054 D004200 N
054 E004200 N
054 F004200 N
054 G004200 Y
054 H004200 N
054 I004200 N
054 J004200 N
054 K004200 N
054 L004200 N
054 M004200 Y
054 N004200 N
054 O004200 Y
054 A004300 Y
054 B004300 Y
054 C004300 Y
054 D004300 N
054 E004300 N
054 F004300 N
054 G004300 Y
054 H004300 N
054 I004300 N
054 J004300 N
054 K004300 N
054 L004300 N
054 M004300 Y
054 N004300 N
054 O004300 Y
054 A004400 Y
054 B004400 Y
054 C004400 Y
054 D004400 N
054 E004400 N
054 F004400 N
054 G004400 Y
054 H004400 N
054 I004400 N
054 J004400 N
054 K004400 N
054 L004400 N
054 M004400 Y
PAGE 48
054 N004400 N
054 O004400 Y
054 A004500 Y
054 B004500 Y
054 C004500 Y
054 D004500 N
054 E004500 N
054 F004500 N
054 G004500 Y
054 H004500 N
054 I004500 N
054 J004500 N
054 K004500 N
054 L004500 N
054 M004500 Y
054 N004500 N
054 O004500 Y
054 A004800 Y
054 B004800 Y
054 C004800 Y
054 D004800 N
054 E004800 N
054 F004800 N
054 G004800 Y
054 H004800 N
054 I004800 N
054 J004800 N
054 K004800 N
054 L004800 N
054 M004800 Y
054 N004800 N
054 O004800 Y
054 A004900 N
054 B004900 N
054 C004900 N
054 D004900 N
054 E004900 N
054 F004900 N
054 G004900 N
054 H004900 Y
054 I004900 N
054 J004900 Y
054 K004900 N
054 L004900 N
054 M004900 N
054 N004900 N
054 O004900 Y
054 A005000 Y
054 B005000 Y
054 C005000 Y
054 D005000 N
PAGE 49
054 E005000 N
054 F005000 N
054 G005000 Y
054 H005000 N
054 I005000 N
054 J005000 N
054 K005000 N
054 L005000 N
054 M005000 Y
054 N005000 N
054 O005000 Y
054 A005100 Y
054 B005100 Y
054 C005100 Y
054 D005100 N
054 E005100 N
054 F005100 N
054 G005100 Y
054 H005100 N
054 I005100 N
054 J005100 N
054 K005100 N
054 L005100 N
054 M005100 Y
054 N005100 N
054 O005100 Y
055 A000500 Y
055 B000500 N
055 A002500 N
055 B002500 N
055 A002700 N
055 B002700 N
055 A003000 Y
055 B003000 N
055 A003200 N
055 B003200 N
055 A003300 N
055 B003300 N
055 A003400 Y
055 B003400 N
055 A003600 N
055 B003600 N
055 A003900 N
055 B003900 N
055 A004000 N
055 B004000 N
055 A004200 Y
055 B004200 N
055 A004300 N
055 B004300 N
055 A004400 N
PAGE 50
055 B004400 N
055 A004500 N
055 B004500 N
055 A004800 Y
055 B004800 N
055 A004900 Y
055 B004900 N
055 A005000 N
055 B005000 Y
055 A005100 N
055 B005100 N
056 000500 Y
056 002500 Y
056 002700 Y
056 003000 Y
056 003200 Y
056 003300 Y
056 003400 Y
056 003600 Y
056 003900 Y
056 004000 Y
056 004200 Y
056 004300 Y
056 004400 Y
056 004500 Y
056 004800 Y
056 004900 Y
056 005000 Y
056 005100 Y
057 000500 N
057 002500 N
057 002700 N
057 003000 N
057 003200 N
057 003300 N
057 003400 N
057 003600 N
057 003900 N
057 004000 N
057 004200 N
057 004300 N
057 004400 N
057 004500 N
057 004800 N
057 004900 N
057 005000 N
057 005100 N
058 A000500 N
058 A002500 N
058 A002700 N
058 A003000 N
PAGE 51
058 A003200 N
058 A003300 N
058 A003400 N
058 A003600 N
058 A003900 N
058 A004000 N
058 A004200 N
058 A004300 N
058 A004400 N
058 A004500 N
058 A004800 N
058 A004900 N
058 A005000 N
058 A005100 N
059 000500 Y
059 002500 Y
059 002700 Y
059 003000 Y
059 003200 Y
059 003300 Y
059 003400 Y
059 003600 Y
059 003900 Y
059 004000 Y
059 004200 Y
059 004300 Y
059 004400 Y
059 004500 Y
059 004800 Y
059 004900 Y
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060 A000500 Y
060 B000500 Y
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060 B002700 Y
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060 B003000 Y
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060 A003300 Y
060 B003300 Y
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PAGE 52
060 B004000 Y
060 A004200 Y
060 B004200 Y
060 A004300 Y
060 B004300 Y
060 A004400 Y
060 B004400 Y
060 A004500 Y
060 B004500 Y
060 A004800 N
060 B004800 N
060 A004900 Y
060 B004900 Y
060 A005000 Y
060 B005000 Y
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061 003200 2500
061 003300 10000
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061 003600 100000
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061 004000 20000000
061 004200 1000000
061 004300 0
061 004400 0
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061 004800 2500
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061 005100 1000000
062 A000500 Y
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062 C000500 7.4
062 D000500 6.1
062 E000500 7.8
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062 G000500 29.0
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062 L000500 1.2
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PAGE 53
062 Q000500 0.0
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PAGE 54
062 N003000 0.0
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PAGE 55
062 K003400 0.0
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PAGE 56
062 H004000 0.0
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062 N004000 110.6
062 O004000 0.0
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062 J004300 0.0
062 K004300 0.0
062 L004300 0.0
062 M004300 0.0
062 N004300 0.0
062 O004300 0.0
062 P004300 0.0
062 Q004300 0.0
062 R004300 0.0
062 A004400 N
062 B004400 0.0
062 C004400 0.0
062 D004400 0.0
PAGE 57
062 E004400 0.0
062 F004400 0.0
062 G004400 0.0
062 H004400 0.0
062 I004400 0.0
062 J004400 0.0
062 K004400 0.0
062 L004400 0.0
062 M004400 0.0
062 N004400 0.0
062 O004400 0.0
062 P004400 0.0
062 Q004400 0.0
062 R004400 0.0
062 A004500 N
062 B004500 0.0
062 C004500 0.0
062 D004500 0.0
062 E004500 0.0
062 F004500 0.0
062 G004500 0.0
062 H004500 0.0
062 I004500 0.0
062 J004500 0.0
062 K004500 0.0
062 L004500 0.0
062 M004500 0.0
062 N004500 0.0
062 O004500 0.0
062 P004500 0.0
062 Q004500 0.0
062 R004500 0.0
062 A004800 N
062 B004800 0.0
062 C004800 0.0
062 D004800 0.0
062 E004800 0.0
062 F004800 0.0
062 G004800 0.0
062 H004800 0.0
062 I004800 0.0
062 J004800 0.0
062 K004800 0.0
062 L004800 0.0
062 M004800 0.0
062 N004800 0.0
062 O004800 0.0
062 P004800 0.0
062 Q004800 0.0
062 R004800 0.0
062 A004900 N
PAGE 58
062 B004900 0.0
062 C004900 0.0
062 D004900 0.0
062 E004900 0.0
062 F004900 0.0
062 G004900 0.0
062 H004900 0.0
062 I004900 0.0
062 J004900 0.0
062 K004900 0.0
062 L004900 0.0
062 M004900 0.0
062 N004900 0.0
062 O004900 0.0
062 P004900 0.0
062 Q004900 0.0
062 R004900 0.0
062 A005000 N
062 B005000 0.0
062 C005000 0.0
062 D005000 0.0
062 E005000 0.0
062 F005000 0.0
062 G005000 0.0
062 H005000 0.0
062 I005000 0.0
062 J005000 0.0
062 K005000 0.0
062 L005000 0.0
062 M005000 0.0
062 N005000 0.0
062 O005000 0.0
062 P005000 0.0
062 Q005000 0.0
062 R005000 0.0
062 A005100 N
062 B005100 0.0
062 C005100 0.0
062 D005100 0.0
062 E005100 0.0
062 F005100 0.0
062 G005100 0.0
062 H005100 0.0
062 I005100 0.0
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062 K005100 0.0
062 L005100 0.0
062 M005100 0.0
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062 P005100 0.0
PAGE 59
062 Q005100 0.0
062 R005100 0.0
063 A000500 39
063 B000500 0.0
063 A002500 0
063 B002500 0.0
063 A002700 0
063 B002700 0.0
063 A003000 0
063 B003000 0.0
063 A003200 0
063 B003200 0.0
063 A003300 0
063 B003300 0.0
063 A003400 0
063 B003400 0.0
063 A003600 0
063 B003600 0.0
063 A003900 0
063 B003900 0.0
063 A004000 0
063 B004000 17.9
063 A004200 0
063 B004200 0.0
063 A004300 0
063 B004300 0.0
063 A004400 0
063 B004400 0.0
063 A004500 0
063 B004500 0.0
063 A004800 0
063 B004800 0.0
063 A004900 0
063 B004900 0.0
063 A005000 0
063 B005000 0.0
063 A005100 0
063 B005100 0.0
064 A000500 N
064 B000500 N
064 A004000 N
064 B004000 N
066 A000500 N
066 A002500 Y
066 B002500 N
066 C002500 N
066 D002500 Y
066 E002500 N
066 F002500 N
066 G002500 N
066 A002700 Y
PAGE 60
066 B002700 N
066 C002700 N
066 D002700 Y
066 E002700 N
066 F002700 N
066 G002700 N
066 A003000 Y
066 B003000 N
066 C003000 N
066 D003000 Y
066 E003000 N
066 F003000 N
066 G003000 N
066 A003200 Y
066 B003200 N
066 C003200 Y
066 D003200 N
066 E003200 N
066 F003200 N
066 G003200 N
066 A003300 Y
066 B003300 N
066 C003300 Y
066 D003300 N
066 E003300 N
066 F003300 N
066 G003300 N
066 A003400 Y
066 B003400 N
066 C003400 N
066 D003400 Y
066 E003400 N
066 F003400 N
066 G003400 N
066 A003600 Y
066 B003600 N
066 C003600 Y
066 D003600 N
066 E003600 N
066 F003600 N
066 G003600 N
066 A003900 Y
066 B003900 N
066 C003900 Y
066 D003900 N
066 E003900 N
066 F003900 N
066 G003900 N
066 A004000 N
066 A004200 Y
066 B004200 N
PAGE 61
066 C004200 Y
066 D004200 N
066 E004200 N
066 F004200 N
066 G004200 N
066 A004300 Y
066 B004300 N
066 C004300 Y
066 D004300 N
066 E004300 N
066 F004300 N
066 G004300 N
066 A004400 Y
066 B004400 N
066 C004400 Y
066 D004400 N
066 E004400 N
066 F004400 N
066 G004400 N
066 A004500 Y
066 B004500 N
066 C004500 N
066 D004500 N
066 E004500 N
066 F004500 N
066 G004500 Y
066 A004800 Y
066 B004800 N
066 C004800 N
066 D004800 Y
066 E004800 N
066 F004800 N
066 G004800 N
066 A004900 Y
066 B004900 N
066 C004900 Y
066 D004900 N
066 E004900 N
066 F004900 N
066 G004900 N
066 A005000 Y
066 B005000 N
066 C005000 N
066 D005000 N
066 E005000 N
066 F005000 N
066 G005000 Y
066 A005100 Y
066 B005100 N
066 C005100 Y
066 D005100 N
PAGE 62
066 E005100 N
066 F005100 N
066 G005100 N
067 000500 N
067 002500 N
067 002700 N
067 003000 N
067 003200 N
067 003300 N
067 003400 N
067 003600 N
067 003900 N
067 004000 N
067 004200 N
067 004300 N
067 004400 N
067 004500 N
067 004800 N
067 004900 N
067 005000 N
067 005100 N
068 A000500 N
068 B000500 N
068 A002500 N
068 B002500 N
068 A002700 N
068 B002700 N
068 A003000 N
068 B003000 N
068 A003200 N
068 B003200 N
068 A003300 N
068 B003300 N
068 A003400 N
068 B003400 N
068 A003600 N
068 B003600 N
068 A003900 N
068 B003900 N
068 A004000 N
068 B004000 N
068 A004200 N
068 B004200 N
068 A004300 N
068 B004300 N
068 A004400 N
068 B004400 N
068 A004500 N
068 B004500 N
068 A004800 N
068 B004800 N
PAGE 63
068 A004900 N
068 B004900 N
068 A005000 N
068 B005000 N
068 A005100 N
068 B005100 N
069 000500 N
069 002500 N
069 002700 N
069 003000 N
069 003200 N
069 003300 N
069 003400 N
069 003600 N
069 003900 N
069 004000 N
069 004200 N
069 004300 N
069 004400 N
069 004500 N
069 004800 N
069 004900 N
069 005000 N
069 005100 N
070 A010500 Y
070 A020500 Y
070 B010500 N
070 B020500 N
070 C010500 N
070 C020500 N
070 D010500 N
070 D020500 N
070 E010500 N
070 E020500 N
070 F010500 N
070 F020500 N
070 G010500 N
070 G020500 N
070 H010500 N
070 H020500 N
070 I010500 N
070 I020500 N
070 J010500 Y
070 J020500 Y
070 K010500 N
070 K020500 N
070 L010500 Y
070 L020500 Y
070 M010500 N
070 M020500 N
070 N010500 N
PAGE 64
070 N020500 N
070 O010500 Y
070 O020500 N
070 P010500 Y
070 P020500 N
070 Q010500 N
070 Q020500 N
070 R010500 N
070 R020500 N
070 A012500 Y
070 A022500 N
070 B012500 Y
070 B022500 Y
070 C012500 Y
070 C022500 N
070 D012500 Y
070 D022500 N
070 E012500 Y
070 E022500 N
070 F012500 Y
070 F022500 N
070 G012500 Y
070 G022500 N
070 H012500 Y
070 H022500 N
070 I012500 Y
070 I022500 N
070 J012500 Y
070 J022500 Y
070 K012500 Y
070 K022500 Y
070 L012500 Y
070 L022500 Y
070 M012500 Y
070 M022500 N
070 N012500 Y
070 N022500 Y
070 O012500 Y
070 O022500 N
070 P012500 Y
070 P022500 N
070 Q012500 Y
070 Q022500 N
070 R012500 Y
070 R022500 N
070 A012700 Y
070 A022700 N
070 B012700 Y
070 B022700 N
070 C012700 Y
070 C022700 N
PAGE 65
070 D012700 Y
070 D022700 N
070 E012700 Y
070 E022700 N
070 F012700 Y
070 F022700 N
070 G012700 Y
070 G022700 N
070 H012700 Y
070 H022700 N
070 I012700 Y
070 I022700 N
070 J012700 Y
070 J022700 N
070 K012700 Y
070 K022700 Y
070 L012700 Y
070 L022700 Y
070 M012700 Y
070 M022700 N
070 N012700 Y
070 N022700 Y
070 O012700 Y
070 O022700 N
070 P012700 Y
070 P022700 N
070 Q012700 Y
070 Q022700 N
070 R012700 Y
070 R022700 N
070 A013000 Y
070 A023000 N
070 B013000 Y
070 B023000 N
070 C013000 N
070 C023000 N
070 D013000 Y
070 D023000 N
070 E013000 Y
070 E023000 N
070 F013000 Y
070 F023000 N
070 G013000 Y
070 G023000 N
070 H013000 Y
070 H023000 N
070 I013000 N
070 I023000 N
070 J013000 Y
070 J023000 N
070 K013000 Y
PAGE 66
070 K023000 Y
070 L013000 Y
070 L023000 Y
070 M013000 Y
070 M023000 N
070 N013000 Y
070 N023000 Y
070 O013000 Y
070 O023000 N
070 P013000 Y
070 P023000 N
070 Q013000 N
070 Q023000 N
070 R013000 N
070 R023000 N
070 A013200 Y
070 A023200 N
070 B013200 Y
070 B023200 Y
070 C013200 Y
070 C023200 N
070 D013200 Y
070 D023200 N
070 E013200 Y
070 E023200 N
070 F013200 Y
070 F023200 N
070 G013200 Y
070 G023200 N
070 H013200 Y
070 H023200 N
070 I013200 Y
070 I023200 N
070 J013200 Y
070 J023200 Y
070 K013200 Y
070 K023200 Y
070 L013200 Y
070 L023200 Y
070 M013200 Y
070 M023200 Y
070 N013200 Y
070 N023200 Y
070 O013200 Y
070 O023200 Y
070 P013200 Y
070 P023200 N
070 Q013200 Y
070 Q023200 N
070 R013200 Y
070 R023200 Y
PAGE 67
070 A013300 Y
070 A023300 N
070 B013300 Y
070 B023300 N
070 C013300 N
070 C023300 N
070 D013300 Y
070 D023300 N
070 E013300 N
070 E023300 N
070 F013300 Y
070 F023300 N
070 G013300 Y
070 G023300 N
070 H013300 Y
070 H023300 N
070 I013300 Y
070 I023300 N
070 J013300 Y
070 J023300 N
070 K013300 Y
070 K023300 Y
070 L013300 Y
070 L023300 Y
070 M013300 Y
070 M023300 N
070 N013300 Y
070 N023300 N
070 O013300 Y
070 O023300 N
070 P013300 N
070 P023300 N
070 Q013300 N
070 Q023300 N
070 R013300 Y
070 R023300 N
070 A013400 Y
070 A023400 N
070 B013400 Y
070 B023400 N
070 C013400 N
070 C023400 N
070 D013400 N
070 D023400 N
070 E013400 Y
070 E023400 N
070 F013400 Y
070 F023400 N
070 G013400 Y
070 G023400 N
070 H013400 Y
PAGE 68
070 H023400 N
070 I013400 N
070 I023400 N
070 J013400 Y
070 J023400 N
070 K013400 Y
070 K023400 Y
070 L013400 Y
070 L023400 Y
070 M013400 Y
070 M023400 N
070 N013400 Y
070 N023400 Y
070 O013400 Y
070 O023400 N
070 P013400 Y
070 P023400 N
070 Q013400 Y
070 Q023400 N
070 R013400 Y
070 R023400 N
070 A013600 Y
070 A023600 N
070 B013600 Y
070 B023600 N
070 C013600 N
070 C023600 N
070 D013600 Y
070 D023600 N
070 E013600 N
070 E023600 N
070 F013600 Y
070 F023600 N
070 G013600 Y
070 G023600 N
070 H013600 Y
070 H023600 N
070 I013600 N
070 I023600 N
070 J013600 Y
070 J023600 N
070 K013600 Y
070 K023600 Y
070 L013600 Y
070 L023600 Y
070 M013600 Y
070 M023600 N
070 N013600 Y
070 N023600 Y
070 O013600 N
070 O023600 N
PAGE 69
070 P013600 N
070 P023600 N
070 Q013600 N
070 Q023600 N
070 R013600 N
070 R023600 N
070 A013900 N
070 A023900 N
070 B013900 N
070 B023900 N
070 C013900 N
070 C023900 N
070 D013900 N
070 D023900 N
070 E013900 N
070 E023900 N
070 F013900 N
070 F023900 N
070 G013900 N
070 G023900 N
070 H013900 N
070 H023900 N
070 I013900 N
070 I023900 N
070 J013900 N
070 J023900 N
070 K013900 Y
070 K023900 N
070 L013900 N
070 L023900 N
070 M013900 N
070 M023900 N
070 N013900 N
070 N023900 N
070 O013900 N
070 O023900 N
070 P013900 N
070 P023900 N
070 Q013900 N
070 Q023900 N
070 R013900 N
070 R023900 N
070 A014000 Y
070 A024000 N
070 B014000 N
070 B024000 N
070 C014000 Y
070 C024000 N
070 D014000 N
070 D024000 N
070 E014000 Y
PAGE 70
070 E024000 Y
070 F014000 N
070 F024000 N
070 G014000 Y
070 G024000 N
070 H014000 N
070 H024000 N
070 I014000 N
070 I024000 N
070 J014000 Y
070 J024000 N
070 K014000 Y
070 K024000 N
070 L014000 N
070 L024000 N
070 M014000 N
070 M024000 N
070 N014000 Y
070 N024000 N
070 O014000 Y
070 O024000 N
070 P014000 N
070 P024000 N
070 Q014000 N
070 Q024000 N
070 R014000 Y
070 R024000 N
070 A014200 Y
070 A024200 N
070 B014200 Y
070 B024200 N
070 C014200 N
070 C024200 N
070 D014200 Y
070 D024200 N
070 E014200 N
070 E024200 N
070 F014200 Y
070 F024200 N
070 G014200 Y
070 G024200 N
070 H014200 Y
070 H024200 N
070 I014200 N
070 I024200 N
070 J014200 Y
070 J024200 N
070 K014200 Y
070 K024200 N
070 L014200 Y
070 L024200 Y
PAGE 71
070 M014200 N
070 M024200 N
070 N014200 Y
070 N024200 N
070 O014200 N
070 O024200 N
070 P014200 N
070 P024200 N
070 Q014200 N
070 Q024200 N
070 R014200 N
070 R024200 N
070 A014300 Y
070 A024300 N
070 B014300 N
070 B024300 N
070 C014300 N
070 C024300 N
070 D014300 N
070 D024300 N
070 E014300 N
070 E024300 N
070 F014300 N
070 F024300 N
070 G014300 N
070 G024300 N
070 H014300 N
070 H024300 N
070 I014300 N
070 I024300 N
070 J014300 Y
070 J024300 N
070 K014300 N
070 K024300 N
070 L014300 Y
070 L024300 N
070 M014300 N
070 M024300 N
070 N014300 N
070 N024300 N
070 O014300 Y
070 O024300 N
070 P014300 Y
070 P024300 N
070 Q014300 N
070 Q024300 N
070 R014300 N
070 R024300 N
070 A014400 Y
070 A024400 N
070 B014400 N
PAGE 72
070 B024400 N
070 C014400 N
070 C024400 N
070 D014400 N
070 D024400 N
070 E014400 N
070 E024400 N
070 F014400 N
070 F024400 N
070 G014400 N
070 G024400 N
070 H014400 N
070 H024400 N
070 I014400 N
070 I024400 N
070 J014400 Y
070 J024400 N
070 K014400 N
070 K024400 N
070 L014400 Y
070 L024400 N
070 M014400 N
070 M024400 N
070 N014400 N
070 N024400 N
070 O014400 Y
070 O024400 N
070 P014400 Y
070 P024400 N
070 Q014400 N
070 Q024400 N
070 R014400 N
070 R024400 N
070 A014500 Y
070 A024500 N
070 B014500 N
070 B024500 N
070 C014500 N
070 C024500 N
070 D014500 N
070 D024500 N
070 E014500 N
070 E024500 N
070 F014500 N
070 F024500 N
070 G014500 N
070 G024500 N
070 H014500 N
070 H024500 N
070 I014500 N
070 I024500 N
PAGE 73
070 J014500 Y
070 J024500 N
070 K014500 N
070 K024500 N
070 L014500 Y
070 L024500 N
070 M014500 N
070 M024500 N
070 N014500 N
070 N024500 N
070 O014500 Y
070 O024500 N
070 P014500 Y
070 P024500 N
070 Q014500 N
070 Q024500 N
070 R014500 N
070 R024500 N
070 A014800 Y
070 A024800 N
070 B014800 Y
070 B024800 N
070 C014800 N
070 C024800 N
070 D014800 Y
070 D024800 N
070 E014800 Y
070 E024800 N
070 F014800 N
070 F024800 N
070 G014800 N
070 G024800 N
070 H014800 N
070 H024800 N
070 I014800 N
070 I024800 N
070 J014800 Y
070 J024800 N
070 K014800 Y
070 K024800 N
070 L014800 Y
070 L024800 Y
070 M014800 Y
070 M024800 Y
070 N014800 Y
070 N024800 Y
070 O014800 Y
070 O024800 N
070 P014800 Y
070 P024800 N
070 Q014800 N
PAGE 74
070 Q024800 N
070 R014800 N
070 R024800 N
070 A014900 Y
070 A024900 N
070 B014900 Y
070 B024900 N
070 C014900 Y
070 C024900 N
070 D014900 Y
070 D024900 N
070 E014900 Y
070 E024900 N
070 F014900 Y
070 F024900 N
070 G014900 Y
070 G024900 N
070 H014900 Y
070 H024900 N
070 I014900 N
070 I024900 N
070 J014900 Y
070 J024900 N
070 K014900 Y
070 K024900 Y
070 L014900 Y
070 L024900 N
070 M014900 Y
070 M024900 N
070 N014900 Y
070 N024900 N
070 O014900 N
070 O024900 N
070 P014900 N
070 P024900 N
070 Q014900 Y
070 Q024900 N
070 R014900 Y
070 R024900 N
070 A015000 Y
070 A025000 N
070 B015000 Y
070 B025000 Y
070 C015000 Y
070 C025000 N
070 D015000 Y
070 D025000 N
070 E015000 Y
070 E025000 N
070 F015000 Y
070 F025000 N
PAGE 75
070 G015000 Y
070 G025000 N
070 H015000 Y
070 H025000 N
070 I015000 Y
070 I025000 N
070 J015000 Y
070 J025000 N
070 K015000 Y
070 K025000 Y
070 L015000 Y
070 L025000 Y
070 M015000 Y
070 M025000 Y
070 N015000 Y
070 N025000 N
070 O015000 Y
070 O025000 Y
070 P015000 Y
070 P025000 N
070 Q015000 Y
070 Q025000 N
070 R015000 Y
070 R025000 Y
070 A015100 Y
070 A025100 N
070 B015100 Y
070 B025100 Y
070 C015100 Y
070 C025100 Y
070 D015100 Y
070 D025100 Y
070 E015100 N
070 E025100 N
070 F015100 Y
070 F025100 N
070 G015100 Y
070 G025100 N
070 H015100 Y
070 H025100 Y
070 I015100 Y
070 I025100 N
070 J015100 Y
070 J025100 N
070 K015100 Y
070 K025100 Y
070 L015100 Y
070 L025100 Y
070 M015100 Y
070 M025100 Y
070 N015100 Y
PAGE 76
070 N025100 N
070 O015100 N
070 O025100 N
070 P015100 Y
070 P025100 N
070 Q015100 Y
070 Q025100 N
070 R015100 Y
070 R025100 Y
071 A000500 0
071 B000500 0
071 C000500 0
071 D000500 0
071 A002500 204087
071 B002500 106409
071 C002500 224861
071 D002500 47
071 A002700 40561
071 B002700 40527
071 C002700 106612
071 D002700 38
071 A003000 51541
071 B003000 59726
071 C003000 87086
071 D003000 59
071 A003200 543501
071 B003200 395736
071 C003200 385679
071 D003200 103
071 A003300 349804
071 B003300 341539
071 C003300 112828
071 D003300 303
071 A003400 62445
071 B003400 104216
071 C003400 92097
071 D003400 68
071 A003600 31168
071 B003600 34234
071 C003600 36511
071 D003600 85
071 A003900 5570
071 B003900 29897
071 C003900 16729
071 D003900 33
071 A004000 204425
071 B004000 146465
071 C004000 129031
071 D004000 114
071 A004200 10033
071 B004200 10767
PAGE 77
071 C004200 10542
071 D004200 95
071 A004300 163580
071 B004300 62707
071 C004300 665339
071 D004300 9
071 A004400 149630
071 B004400 19890
071 C004400 489377
071 D004400 4
071 A004500 296488
071 B004500 1946
071 C004500 578345
071 D004500 0
071 A004800 6199
071 B004800 6099
071 C004800 17606
071 D004800 35
071 A004900 488578
071 B004900 562778
071 C004900 400348
071 D004900 122
071 A005000 72647
071 B005000 14170
071 C005000 23327
071 D005000 61
071 A005100 79568
071 B005100 47843
071 C005100 10852
071 D005100 441
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PAGE 78
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PAGE 79
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PAGE 80
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PAGE 81
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PAGE 83
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PAGE 85
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PAGE 86
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PAGE 87
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PAGE 88
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PAGE 90
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PAGE 92
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PAGE 93
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PAGE 94
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PAGE 95
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PAGE 96
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PAGE 97
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PAGE 99
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PAGE 100
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PAGE 101
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PAGE 102
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PAGE 103
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SIGNATURE JAMES SHAW
TITLE ASSISTANT TREASURER
EX-99.77B ACCT LTTR
2
rbb77b1.txt
Report of Independent Registered Public Accounting Firm
To the Board of Directors The RBB Fund, Inc and Shareholders
of the Bear Stearns CUFS MLP Mortgage Portfolio, Bogle
Investment Management Small Cap Fund, Free Market Fixed
Income Fund, Free Market International Equity Fund, Free
Market U.S. Equity Fund, Marvin & Palmer Large Cap Growth
Fund, the RBB Funds Inc. Money Market Portfolio, Schneider
Small Cap Value Fund, and Schneider Value Fund:
In planning and performing our audit of the financial
statements of Bear Stearns CUFS MLP Mortgage Portfolio, Bogle
Investment Management Small Cap Fund, Free Market Fixed
Income Fund, Free Market International Equity Fund, Free
Market U.S. Equity Fund, Marvin & Palmer Large Cap Growth
Fund, the RBB Fund Inc. Money Market Portfolio, Schneider
Small Cap Value Fund, and Schneider Value Fund, nine
separately managed portfolios of The RBB Fund, Inc. (the
"Funds") as of and for the year ended August 31, 2011, in
accordance with the standards of the Public Company
Accounting Oversight Board (United States), we considered the
Funds' internal control over financial reporting, including
controls over safeguarding securities, as a basis for
designing our auditing procedures for the purpose of
expressing our opinion on the financial statements and to
comply with the requirements of Form N-SAR, but not for the
purpose of expressing an opinion on the effectiveness of the
Funds' internal control over financial reporting.
Accordingly, we do not express an opinion on the
effectiveness of the Funds' internal control over financial
reporting.
The management of the Funds is responsible for establishing
and maintaining effective internal control over financial
reporting. In fulfilling this responsibility, estimates and
judgments by management are required to assess the expected
benefits and related costs of controls. A fund's internal
control over financial reporting is a process designed to
provide reasonable assurance regarding the reliability of
financial reporting and the preparation of financial
statements for external purposes in accordance with generally
accepted accounting principles. A fund's internal control
over financial reporting includes those policies and
procedures that (1) pertain to the maintenance of records
that, in reasonable detail, accurately and fairly reflect the
transactions and dispositions of the assets of the fund; (2)
provide reasonable assurance that transactions are recorded
as necessary to permit preparation of financial statements in
accordance with generally accepted accounting principles, and
that receipts and expenditures of the fund are being made
only in accordance with authorizations of management and
directors of the fund; and (3) provide reasonable assurance
regarding prevention or timely detection of unauthorized
acquisition, use or disposition of a fund's assets that could
have a material effect on the financial statements.
Because of its inherent limitations, internal control over
financial reporting may not prevent or detect misstatements.
Also, projections of any evaluation of effectiveness to
future periods are subject to the risk that controls may
become inadequate because of changes in conditions, or that
the degree of compliance with the policies or procedures may
deteriorate.
A deficiency in internal control over financial reporting
exists when the design or operation of a control does not
allow management or employees, in the normal course of
performing their assigned functions, to prevent or detect
misstatements on a timely basis. A material weakness is a
deficiency, or a combination of deficiencies, in internal
control over financial reporting, such that there is a
reasonable possibility that a material misstatement of the
Funds' annual or interim financial statements will not be
prevented or detected on a timely basis.
Our consideration of the Funds' internal control over
financial reporting was for the limited purpose described in
the first paragraph and would not necessarily disclose all
deficiencies in internal control over financial reporting
that might be material weaknesses under standards established
by the Public Company Accounting Oversight Board (United
States). However, we noted no deficiencies in the Funds'
internal control over financial reporting and its operation,
including controls over safeguarding securities that we
consider to be material weaknesses as defined above as of
August 31, 2010.
This report is intended solely for the information and use of
management and the Board of Directors of The RBB Fund, Inc.
and the Securities and Exchange Commission and is not
intended to be and should not be used by anyone other than
these specified parties.
PricewaterhouseCoopers LLP
October 27, 2011
PricewaterhouseCoopers LLP, Two Commerce Square, Suite 1700,
2001 Market Street, Philadelphia, PA 19103-7042
T: (267)330 3000, F: (267) 330 3300 , www.pwc.com/us
EX-99.77B ACCT LTTR
3
rbb77b2.txt
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Shareholders and Directors of
The RBB Fund, Inc.
In planning and performing our audits of the financial
statements of the Robeco Boston Partners Small Cap Value Fund
II, Robeco Boston Partners Long/Short Equity Fund, Robeceo
Boston Partners Long/Short Research Fund, Robeco Boston
Partners All-Cap Value Fund, Robeco WPG Small/Micro Cap Value
Fund, Perimeter Small Cap Growth Fund and S1 Fund (seven of
the series constituting The RBB Fund, Inc.) (the "Funds") as
of and for the year or period ended August 31, 2011, in
accordance with the standards of the Public Company Accounting
Oversight Board (United States), we considered the Funds'
internal control over financial reporting, including controls
over safeguarding securities, as a basis for designing our
auditing procedures for the purpose of expressing our opinions
on the financial statements and to comply with the
requirements of Form N-SAR, but not for the purpose of
expressing an opinion on the effectiveness of the Funds'
internal control over financial reporting. Accordingly, we
express no such opinion.
The management of the Funds is responsible for establishing
and maintaining effective internal control over financial
reporting. In fulfilling this responsibility, estimates and
judgments by management are required to assess the expected
benefits and related costs of controls. A company's internal
control over financial reporting is a process designed to
provide reasonable assurance regarding the reliability of
financial reporting and the preparation of financial
statements for external purposes in accordance with generally
accepted accounting principles. A company's internal control
over financial reporting includes those policies and
procedures that (1) pertain to the maintenance of records
that, in reasonable detail, accurately and fairly reflect the
transactions and dispositions of the assets of the company;
(2) provide reasonable assurance that transactions are
recorded as necessary to permit preparation of financial
statements in accordance with generally accepted accounting
principles, and that receipts and expenditures of the company
are being made only in accordance with authorizations of
management and directors of the company; and (3) provide
reasonable assurance regarding prevention or timely detection
of unauthorized acquisition, use or disposition of a company's
assets that could have a material effect on the financial
statements.
Because of its inherent limitations, internal control over
financial reporting may not prevent or detect misstatements.
Also, projections of any evaluation of effectiveness to future
periods are subject to the risk that controls may become
inadequate because of changes in conditions, or that the
degree of compliance with the policies or procedures may
deteriorate.
A deficiency in internal control over financial reporting
exists when the design or operation of a control does not
allow management or employees, in the normal course of
performing their assigned functions, to prevent or detect
misstatements on a timely basis. A material weakness is a
deficiency, or a combination of deficiencies, in internal
control over financial reporting, such that there is a
reasonable possibility that a material misstatement of the
company's annual or interim financial statements will not be
prevented or detected on a timely basis.
Our consideration of the Funds' internal control over
financial reporting was for the limited purpose described in
the first paragraph and would not necessarily disclose all
deficiencies in internal control that might be material
weaknesses under standards established by the Public Company
Accounting Oversight Board (United States). However, we noted
no deficiencies in the Funds' internal control over financial
reporting and its operation, including controls over
safeguarding securities that we consider to be a material
weakness as defined above as of August 31, 2011.
This report is intended solely for the information and use of
management and the Board of Directors of The RBB Fund, Inc.
and the Securities and Exchange Commission and is not intended
to be and should not be used by anyone other than these
specified parties.
/s/ Ernst & Young LLP
Philadelphia, Pennsylvania
October 27, 2011
EX-99.77C VOTES
4
rbb77c.txt
Form N-SAR
Item 77C
Submission of Matters to a Vote of Shareholders
The RBB Fund, Inc.
1) A Special Meeting of Shareholders of The RBB Fund,
Inc.'s (the "Company") SAM Sustainable Global Active
Fund (for this section only, the "Fund") was held on
June 2, 2011 (the "Meeting"). The following proposals
were submitted for a vote of the Fund's shareholders at
the Meeting:
1. To appoint Richard Malinowski as Chairman of
this Special Meeting of Shareholders.
2. To approve a new Agreement and Plan of
Reorganization by and among the Company, on
behalf of the Fund, Frontegra Funds, Inc., on
behalf of its series Frontegra SAM Global Equity
Fund (the "Acquiring Fund"), Frontegra Asset
Management, Inc. and Sustainable Asset
Management USA, Inc., which provides for and
contemplates the transfer of all of the assets
and liabilities of the Fund to the Acquiring
Fund in exchange for shares of the Acquiring
Fund.
With respect to the proposal, the following votes
were received:
For Against Abstain
866,888 50,285 0
Based on the votes received, the proposal was approved by
shareholders of the Fund.
2) A Special Meeting of Shareholders of the Company's
Perimeter Small Cap Growth Fund (for this section only,
the "Fund") was held on July 29, 2011 (the "Meeting").
The following proposals were submitted for a vote of the
Fund's shareholders at the Meeting:
1. To appoint Richard Malinowski as Chairman of
this Special Meeting of Shareholders.
2. To approve a new advisory agreement between the
Company, on behalf of the Perimeter Small Cap
Growth Fund, and Perimeter Capital Management.
With respect to the proposal, the following votes
were received:
For Against Abstain
17,556,600 78,698 433,942
Based on the votes received, the proposal was approved by
shareholders of the Fund.
3) On October 26, 2010, the Shareholders of the
Company's S1 Fund executed a unanimous written consent in
lieu of a shareholder meeting, as provided for by Article
II, Section 8 of the Company's By-Laws. The following
proposal was unanimously consented to and adopted by the
shareholders of the S1 Fund:
Approval of Revised Fundamental Investment Limitation
RESOLVED, that effective immediately, the S1 Fund's
fundamental investment limitation on the purchase and
sale of commodities shall be revised to read as follows:
"The S1 Fund may not purchase of sell
commodities, except as permitted by the
Investment Company Act of 1940, as amended, and
as interpreted or modified by the regulatory
authority having jurisdiction from time to time."
EX-99.77D POLICIES
5
rbb77d.txt
Form N-SAR
Item 77 D
Policies With Respect to Security Investments
The RBB Fund, Inc.
1. The RBB Fund, Inc. incorporates herein by reference the
supplement dated April 19, 2011 that was filed
electronically with the SEC on April 19, 2011 (Accession
No. 0001104659-11-020945) which specified changes to the
non-fundamental investment policies of the Bogle
Investment Management Small Cap Growth Fund (the "Fund").
The revised non-fundamental investment policy reads as
follows:
"The Fund seeks to achieve its objective by investing
under normal circumstances at least 80% of the net assets
of the portfolio (including borrowings for investment
purposes) in the stocks of U.S. companies with market
capitalizations, at the time of purchase, that are within
the range of the market capitalizations of those
companies that are included in the Russell 2000 Index
("Small Cap Stocks")."
2. The RBB Fund, Inc. incorporates herein by reference the
statement of additional information dated October 2,
2010, as amended November 4, 2010, that was filed
electronically with the SEC on November 2, 2010
(Accession No. 0001193125-10-243685) which specified
revised fundamental investment limitations as approved
via unanimous written consent of the shareholders of the
S1 Fund on October 26, 2010. The revised fundamental
investment limitation reads as follows:
"The S1 Fund may not purchase of sell commodities, except
as permitted by the Investment Company Act of 1940, as
amended, and as interpreted or modified by the regulatory
authority having jurisdiction from time to time."
EX-99.77Q1 OTHR EXHB
6
rbb77q11.txt
INVESTMENT ADVISORY AGREEMENT
Perimeter Small Cap Growth Fund
AGREEMENT made as of September 30, 2011, between
THE RBB FUND, INC., a Maryland corporation (herein called the
"Fund"), and PERIMETER CAPITAL MANAGEMENT LLC, a Delaware
limited liability company (herein called the "Investment
Adviser").
WHEREAS, the Fund is registered as an open-end,
management investment company under the Investment Company Act
of 1940 (the "1940 Act") and currently offers or proposes to
offer shares representing interests in separate investment
portfolios; and
WHEREAS, the Fund desires to retain the Investment
Adviser to render certain investment advisory services to the
Fund with respect to the Fund's Perimeter Small Cap Growth
Fund (the "Portfolio"), and the Investment Adviser is willing
to so render such services; and
WHEREAS, the Board of Directors of the Fund and the
shareholders of the Portfolio have approved this Agreement;
NOW, THEREFORE, in consideration of the premises and
mutual covenants herein contained, and intending to be legally
bound hereby, it is agreed between the parties hereto as
follows:
SECTION 1. Appointment. The Fund hereby appoints
the Investment Adviser to act as investment adviser for the
Portfolio for the period and on the terms set forth in this
Agreement. The Investment Adviser accepts such appointment
and agrees to render the services herein set forth, for the
compensation herein provided.
SECTION 2. Delivery of Documents. The Fund has
furnished the Investment Adviser with copies properly
certified or authenticated of each of the following:
(a) Resolutions of the Board of Directors of
the Fund authorizing the appointment of the Investment Adviser
and the execution and delivery of this Agreement;
(b) A prospectus and statement of additional
information relating to each class of shares representing
interests in the Portfolio of the Fund in effect under the
Securities Act of 1933 (such prospectus and statement of
additional information, as presently in effect and as they
shall from time to time be amended and supplemented, are
herein collectively called the "Prospectus" and "Statement of
Additional Information," respectively).
The Fund will promptly furnish the Investment
Adviser from time to time with copies, properly certified or
authenticated, of all amendments of or supplements to the
foregoing, if any.
In addition to the foregoing, the Fund will also
provide the Investment Adviser with copies of the Fund's
Charter and By-laws, and any registration statement or service
contracts related to the Portfolio, and will promptly furnish
the Investment Adviser with any amendments of or supplements
to such documents.
SECTION 3. Management. Subject to the
supervision of the Board of Directors of the Fund, the
Investment Adviser will provide for the overall management of
the Portfolio including (i) the provision of a continuous
investment program for the Portfolio, including investment
research and management with respect to all securities,
investments, cash and cash equivalents in the Portfolio, (ii)
the determination from time to time of the securities and
other investments to be purchased, retained, or sold by the
Fund for the Portfolio, and (iii) the placement from time to
time of orders for all purchases and sales made for the
Portfolio. The Investment Adviser will provide the services
rendered by it hereunder in accordance with the Portfolio's
investment objectives, restrictions and policies as stated in
the applicable Prospectus and Statement of Additional
Information, provided that the Investment Adviser has actual
notice or knowledge of any changes by the Board of Directors
to such investment objectives, restrictions or policies. The
Investment Adviser further agrees that it will render to the
Fund's Board of Directors such periodic and special reports
regarding the performance of its duties under this Agreement
as the Board may reasonably request. The Investment Adviser
agrees to provide to the Fund (or its agents and service
providers) prompt and accurate data with respect to the
Portfolio's transactions and, where not otherwise available,
the daily valuation of securities in the Portfolio.
SECTION 4. Brokerage. Subject to the Investment
Adviser's obligation to obtain best price and execution, the
Investment Adviser shall have full discretion to select
brokers or dealers to effect the purchase and sale of
securities. When the Investment Adviser places orders for the
purchase or sale of securities for the Portfolio, in selecting
brokers or dealers to execute such orders, the Investment
Adviser is expressly authorized to consider the fact that a
broker or dealer has furnished statistical, research or other
information or services for the benefit of the Portfolio
directly or indirectly. Without limiting the generality of
the foregoing, the Investment Adviser is authorized to cause
the Portfolio to pay brokerage commissions which may be in
excess of the lowest rates available to brokers who execute
transactions for the Portfolio or who otherwise provide
brokerage and research services utilized by the Investment
Adviser, provided that the Investment Adviser determines in
good faith that the amount of each such commission paid to a
broker is reasonable in relation to the value of the brokerage
and research services provided by such broker viewed in terms
of either the particular transaction to which the commission
relates or the Investment Adviser's overall responsibilities
with respect to accounts as to which the Investment Adviser
exercises investment discretion. The Investment Adviser may
aggregate securities orders so long as the Investment Adviser
adheres to a policy of allocating investment opportunities to
the Portfolio over a period of time on a fair and equitable
basis relative to other clients. In no instance will the
Portfolio's securities be purchased from or sold to the Fund's
principal underwriter, the Investment Adviser, or any
affiliated person thereof, except to the extent permitted by
SEC exemptive order or by applicable law.
The Investment Adviser shall report to the Board of
Directors of the Fund at least quarterly with respect to
brokerage transactions that were entered into by the
Investment Adviser, pursuant to the foregoing paragraph, and
shall certify to the Board that the commissions paid were
reasonable in terms either of that transaction or the overall
responsibilities of the Investment Adviser to the Fund and the
Investment Adviser's other clients, that the total commissions
paid by the Fund were reasonable in relation to the benefits
to the Fund over the long term, and that such commissions were
paid in compliance with Section 28(e) of the Securities
Exchange Act of 1934.
SECTION 5. Conformity with Law; Confidentiality.
The Investment Adviser further agrees that it will comply with
all applicable rules and regulations of all federal regulatory
agencies having jurisdiction over the Investment Adviser in
the performance of its duties hereunder. The Investment
Adviser will treat confidentially and as proprietary
information of the Fund all records and other information
relating to the Fund and prior, present or potential
shareholders (except with respect to clients of the Investment
Adviser) and will not use such records and information for any
purpose other than performance of its responsibilities and
duties hereunder, except after prior notification to and
approval in writing by the Fund, which approval shall not be
unreasonably withheld and may not be withheld where the
Investment Adviser may be exposed to civil or criminal
contempt proceedings for failure to comply, when requested to
divulge such information by duly constituted authorities, or
when so requested by the Fund. Where the Investment Adviser
may be exposed to civil or criminal contempt proceedings for
failure to comply with a request for records or other
information relating to the Fund, the Investment Adviser may
comply with such request prior to obtaining the Fund's written
approval, provided that the Investment Adviser has taken
reasonable steps to promptly notify the Fund, in writing, upon
receipt of the request.
SECTION 6. Services Not Exclusive. The
Investment Adviser and its officers may act and continue to
act as investment managers for others, and nothing in this
Agreement shall in any way be deemed to restrict the right of
the Investment Adviser to perform investment management or
other services for any other person or entity, and the
performance of such services for others shall not be deemed to
violate or give rise to any duty or obligation to the
Portfolio or the Fund.
Nothing in this Agreement shall limit or restrict
the Investment Adviser or any of its directors, officers,
affiliates or employees from buying, selling or trading in any
securities for its or their own account. The Fund
acknowledges that the Investment Adviser and its directors,
officers, affiliates, employees and other clients may, at any
time, have, acquire, increase, decrease, or dispose of
positions in investments which are at the same time being
acquired or disposed of for the Portfolio. The Investment
Adviser shall have no obligation to acquire for the Portfolio
a position in any investment which the Investment Adviser, its
directors, officers, affiliates or employees may acquire for
its or their own accounts or for the account of another
client, so long as it continues to be the policy and practice
of the Investment Adviser not to favor or disfavor
consistently or consciously any client or class of clients in
the allocation of investment opportunities so that, to the
extent practical, such opportunities will be allocated among
clients over a period of time on a fair and equitable basis.
The Investment Adviser agrees that this Section 6
does not constitute a waiver by the Fund of the obligations
imposed upon the Investment Adviser to comply with Sections
17(d) and 17(j) of the 1940 Act, and the rules thereunder, nor
constitute a waiver by the Fund of the obligations imposed
upon the Investment Adviser under Section 206 of the
Investment Advisers Act of 1940 and the rules thereunder.
Further, the Investment Adviser agrees that this Section 6
does not constitute a waiver by the Fund of the fiduciary
obligation of the Investment Adviser arising under federal or
state law, including Section 36 of the 1940 Act. The
Investment Adviser agrees that this Section 6 shall be
interpreted consistent with the provisions of Section 17(i) of
the 1940 Act.
SECTION 7. Books and Records. In compliance with
the requirements of Rule 31a-3 under the 1940 Act, the
Investment Adviser hereby agrees that all records which it
maintains for the Portfolio are the property of the Fund and
further agrees to surrender promptly to the Fund any of such
records upon the Fund's request. The Investment Adviser
further agrees to preserve for the periods prescribed by Rule
31a-2 under the 1940 Act the records required to be maintained
by Rule 31a-1 under the 1940 Act.
SECTION 8. Expenses. During the term of this
Agreement, the Investment Adviser will pay all expenses
incurred by it in connection with its activities under this
Agreement. The Portfolio shall bear all of its own expenses
not specifically assumed by the Investment Adviser. General
expenses of the Fund not readily identifiable as belonging to
an investment portfolio of the Fund shall be allocated among
all investment portfolios by or under the direction of the
Fund's Board of Directors in such manner as the Board
determines to be fair and equitable. Expenses borne by the
Portfolio shall include, but are not limited to, the following
(or the Portfolio's share of the following): (a) the cost
(including brokerage commissions) of securities purchased or
sold by the Portfolio and any losses incurred in connection
therewith; (b) fees payable to and expenses incurred on behalf
of the Portfolio by the Investment Adviser; (c) filing fees
and expenses relating to the registration and qualification of
the Fund and the Portfolio's shares under federal and/or state
securities laws and maintaining such registrations and
qualifications; (d) fees and salaries payable to the Fund's
directors and officers; (e) taxes (including any income or
franchise taxes) and governmental fees; (f) costs of any
liability and other insurance or fidelity bonds; (g) any
costs, expenses or losses arising out of a liability of or
claim for damages or other relief asserted against the Fund or
the Portfolio for violation of any law; (h) legal, accounting
and auditing expenses, including legal fees of special counsel
for the independent directors; (i) charges of custodians and
other agents; (j) expenses of setting in type and printing
prospectuses, statements of additional information and
supplements thereto for existing shareholders, reports,
statements, and confirmations to shareholders and proxy
materials that are not attributable to a class; (k) costs of
mailing prospectuses, statements of additional information and
supplements thereto to existing shareholders, as well as
reports to shareholders and proxy materials that are not
attributable to a class; (1) any extraordinary expenses; (m)
fees, voluntary assessments and other expenses incurred in
connection with membership in investment company
organizations; (n) costs of mailing and tabulating proxies and
costs of shareholders' and directors' meetings; (o) costs of
independent pricing services to value the Portfolio's
securities; and (p) the costs of investment company literature
and other publications provided by the Fund to its directors
and officers. Distribution expenses, transfer agency
expenses, expenses of preparing, printing and mailing
prospectuses, statements of additional information, proxy
statements and reports to shareholders, and organizational
expenses and registration fees, identified as belonging to a
particular class of the Portfolio are allocated to such class.
SECTION 9. Voting. The Investment Adviser shall
have the authority to vote as agent for the Portfolio, either
in person or by proxy, tender and take all actions incident to
the ownership of all securities in which the Portfolio's
assets may be invested from time to time, subject to such
policies and procedures as the Board of Directors of the Fund
may adopt from time to time.
SECTION 10. Reservation of Name. The Investment
Adviser shall at all times have all rights in and to the
Portfolio's name and all investment models used by or on
behalf of the Portfolio. The Investment Adviser may use the
Portfolio's name or any portion thereof in connection with any
other mutual fund or business activity without the consent of
any shareholder and the Fund shall execute and deliver any and
all documents required to indicate the consent of the Fund to
such use. The Fund hereby agrees that in the event that
neither the Investment Adviser nor any of its affiliates acts
as investment adviser to the Portfolio,
the name of the Portfolio will be changed to one that does not
contain the name "Perimeter" or otherwise suggest an
affiliation with the Investment Adviser.
SECTION 11. Compensation.
(a) For the services provided and the expenses
assumed pursuant to this Agreement with respect to the
Portfolio, the Fund will pay the Investment Adviser from the
assets of the Portfolio and the Investment Adviser will accept
as full compensation therefor a fee, computed daily and
payable monthly, at the annual rate of 0.90% of the
Portfolio's average daily net assets. For any period less
than a full month during which this Agreement is in effect,
the fee shall be prorated according to the proportion which
such period bears to a full month.
(b) The fee attributable to the Portfolio shall
be satisfied only against the assets of the Portfolio and not
against the assets of any other investment portfolio of the
Fund. The Investment Adviser may from time to time agree not
to impose all or a portion of its fee otherwise payable
hereunder (in advance of the time such fee or portion thereof
would otherwise accrue) and/or undertake to pay or reimburse
the Portfolio for all or a portion of its expenses not
otherwise required to be borne or reimbursed by the Investment
Adviser.
SECTION 12. Limitation of Liability. The
Investment Adviser shall not be liable for any error of
judgment or mistake of law or for any loss suffered by the
Fund in connection with the matters to which this Agreement
relates, except a loss resulting from a breach of fiduciary
duty with respect to the receipt of compensation for services
or a loss resulting from willful misfeasance, bad faith or
gross negligence on the part of the Investment Adviser in the
performance of its duties or from reckless disregard by it of
its obligations and duties under this Agreement ("disabling
conduct"). The Portfolio will indemnify the Investment
Adviser against and hold it harmless from any and all losses,
claims, damages, liabilities or expenses (including reasonable
counsel fees and expenses) resulting from any claim, demand,
action or suit not resulting from disabling conduct by the
Investment Adviser. Indemnification shall be made only
following: (i) a final decision on the merits by a court or
other body before whom the proceeding was brought that the
Investment Adviser was not liable by reason of disabling
conduct or (ii) in the absence of such a decision, a
reasonable determination, based upon a review of the facts,
that the Investment Adviser was not liable by reason of
disabling conduct by (a) the vote of a majority of a quorum of
directors of the Portfolio who are neither "interested
persons" of the Fund nor parties to the proceeding
("disinterested non-party directors") or (b) an independent
legal counsel in a written opinion. The Investment Adviser
shall be entitled to advances from the Portfolio for payment
of the reasonable expenses incurred by it in connection with
the matter as to which it is seeking indemnification in the
manner and to the fullest extent permissible under the
Maryland General Corporation Law. The Investment Adviser
shall provide to the Portfolio a written affirmation of its
good faith belief that the standard of conduct necessary for
indemnification by the Portfolio has been met and a written
undertaking to repay any such advance if it should ultimately
be determined that the standard of conduct has not been met.
In addition, at least one of the following additional
conditions shall be met: (a) the Investment Adviser shall
provide a security in form and amount acceptable to the
Portfolio for its undertaking; (b) the Portfolio is insured
against losses arising by reason of the advance; or (c) a
majority of a quorum of disinterested non-party directors, or
independent legal counsel, in a written opinion, shall have
determined, based upon a review of facts readily available to
the Portfolio at the time the advance is proposed to be made,
that there is reason to believe that the Investment Adviser
will ultimately be found to be entitled to indemnification.
Any amounts payable by the Portfolio under this Section 12
shall be satisfied only against the assets of the Portfolio
and not against the assets of any other investment portfolio
of the Fund.
The limitations on liability and indemnification
provisions of this Section 12 shall not be applicable to any
losses, claims, damages, liabilities or expenses arising from
the Investment Adviser's rights to the Portfolio's name. The
Investment Adviser shall indemnify and hold harmless the Fund
and the Portfolio for any claims arising from the use of the
term "Perimeter" in the name of the Portfolio.
SECTION 13. Duration and Termination. This
Agreement shall become effective with respect to the Portfolio
as of the date first above written and, unless sooner
terminated as provided herein, shall continue with respect to
the Portfolio until August 16, 2013. Thereafter, if not
terminated, this Agreement shall continue with respect to the
Portfolio for successive annual periods ending on August 16,
provided such continuance is specifically approved at least
annually (a) by the vote of a majority of those members of the
Board of Directors of the Fund who are not parties to this
Agreement or interested persons of any such party, cast in
person at a meeting called for the purpose of voting on such
approval, and (b) by the Board of Directors of the Fund or by
vote of a majority of the outstanding voting securities of the
Portfolio; provided, however, that this Agreement may be
terminated with respect to the Portfolio by the Fund at any
time, without the payment of any penalty, by the Board of
Directors of the Fund or by vote of a majority of the
outstanding voting securities of the Portfolio, on 60 days'
prior written notice to the Investment Adviser, or by the
Investment Adviser at any time, without payment of any
penalty, on 60 days' prior written notice to the Fund. This
Agreement will immediately terminate in the event of its
assignment. (As used in this Agreement, the terms "majority of
the outstanding voting securities," "interested person" and
"assignment" shall have the same meaning as such terms have in
the 1940 Act).
SECTION 14. Amendment of this Agreement. No
provision of this Agreement may be changed, discharged or
terminated orally, except by an instrument in writing signed
by the party against which enforcement of the change,
discharge or termination is sought, and no amendment of this
Agreement affecting the Portfolio shall be effective until
approved by vote of the holders of a majority of the
outstanding voting securities of the Portfolio.
SECTION 15. Miscellaneous. The captions in this
Agreement are included for convenience of reference only and
in no way define or delimit any of the provisions hereof or
otherwise affect their construction or effect. If any
provision of this Agreement shall be held or made invalid by a
court decision, statute, rule or otherwise, the remainder of
this Agreement shall not be affected thereby. This Agreement
shall be binding upon and shall inure to the benefit of the
parties hereto and their respective successors and shall be
governed by Delaware law.
SECTION 16. Notice. All notices hereunder shall
be given in writing and delivered by hand, national overnight
courier, facsimile (provided written confirmation of receipt
is obtained and said notice is sent via first class mail on
the next business day) or mailed by certified mail, return
receipt requested, as follows:
If to the Fund:
The RBB Fund, Inc.
Bellevue Corporate Center
301 Bellevue Parkway
Wilmington, Delaware 19809
Attention: Salvatore Faia
Fax: 302-791-4830
If to the Investment Adviser:
Perimeter Capital Management, LLC
Five Concourse Parkway, Suite 2725
Atlanta, GA 30328
Attention: George B. Ball, President
Fax:
The effective date of any notice shall be (i) the
date such notice is sent if such delivery is effected by hand
or facsimile, (ii) one business day after the date such notice
is sent if such delivery is effected by national overnight
courier; or (iii) the fifth (5th) Business Day after the date
of mailing thereof.
SECTION 17. Governing Law. This Agreement shall
be governed by and construed and enforced in accordance with
the laws of the State of Delaware without giving effect to the
conflicts of laws principles thereof.
SECTION 18. Counterparts. This Agreement may be
executed in two or more counterparts, each of which shall be
deemed an original, but all of which together shall constitute
one and the same instrument.
IN WITNESS WHEREOF, the parties hereto have caused
this instrument to be executed by their officers designated
below as of the day and year first above written.
THE RBB FUND, INC.
By: /s/ Salvatore Faia
Salvatore Faia
President
PERIMETER CAPITAL MANAGEMENT, LLC
By: /s/ G. Bradley Ball
Name: G. Bradley Ball
Title: Chief Executive Officer
EX-99.77Q1 OTHR EXHB
7
rbb77q12.txt
INVESTMENT ADVISORY AND ADMINISTRATION AGREEMENT
(Money Market Portfolio)
AGREEMENT made as of June 30, 2011 between THE RBB
FUND, INC., a Maryland corporation (herein called the
"Company"), and BLACKROCK ADVISORS, LLC, a Delaware limited
liability company (herein called the "Investment Advisor").
WHEREAS, the Company is registered as an open-end,
diversified, management investment company under the
Investment Company Act of 1940 (the "1940 Act") and currently
offers shares representing interests in eighteen separate
investment portfolios; and
WHEREAS, the Company desires to retain the Investment
Advisor to render investment advisory and administration
services with respect to the Company's Money Market Portfolio
(the "Portfolio"), and the Investment Advisor is willing to so
render such services,
NOW, THEREFORE, in consideration of the premises and
mutual covenants herein contained, and intending to be legally
bound hereby, it is agreed between the parties hereto as
follows:
1. Appointment. The Company hereby appoints the Investment
Advisor to act as investment advisor to the Company for the
Portfolio for the period and on the terms set forth in this
Agreement. The Investment Advisor accepts such appointment and
agrees to render the services herein set forth, for the
compensation herein provided. The Company's Common Stock,
$.001 par value (the "Shares") has been classified into one
hundred and thirty-three different classes of Common Stock.
The Portfolio contains two classes of Shares: the Class I
Shares and the Class L Shares.
2. Delivery of Documents. The Company has furnished the
Investment Advisor with copies properly certified or
authenticated of each of the following:
(a) Articles of Incorporation of the Company, filed
with the Secretary of State of Maryland on
February 29, 1988, as amended (such Articles of
Incorporation, as presently in effect and as they shall
from time to time be amended, herein
called the "Articles of Incorporation");
(b) Articles Supplementary of the Company, filed with
the Secretary of State of the State of Maryland on
March 24, 1988 and all further Articles of
Supplementary filed with the State of Maryland
("Articles Supplementary");
(c) By-Laws of the Company, as amended (such By-Laws,
as presently in effect and as they shall from
time to time be amended, herein called the "By-Laws");
(d) Resolutions of the Board of Directors of the
Company authorizing the appointment of the Investment
Advisor and the execution and delivery of this
Agreement;
(e) A copy of each Distribution Agreement between the
Company and the Company's principal underwriter (the
"Distributor") relating to any class of Shares
representing interests in the Portfolio and the form
of each related Dealer Agreement, if any, for broker-
dealers participating in the distribution of any
class of Shares representing interests in the
Portfolio ("Participating Dealers");
(f) Each Plan of Distribution pursuant to Rule
12b-1 under the 1940 Act, if any, relating to any
class of Shares representing interests in the
Portfolio;
(g) Each Shareholder Servicing Agreement, if any,
relating to any class of Shares representing
interests in the Portfolio;
(h) Each Non-12b-1 Shareholder Services Plan, if
any, relating to any class of Shares representing
interests in the Portfolio;
(i) Notification of Registration of the Company
under the 1940 Act on Form N-8A as filed with the
Securities and Exchange Commission ("SEC") on March
24, 1988 and all amendments thereto;
(j) The initial Registration Statement of the Company
on Form N-lA under the Securities Act of 1933 (the
"1933 Act") (File No. 33-20827) and under the 1940
Act filed with the SEC on March 24, 1988 relating to
the Shares, and all amendments thereto (the
"Registration Statement"); and
(k) Each Prospectus relating to any class of Shares
representing interests in the Portfolio in effect
under the 1933 Act (such prospectuses, as presently
in effect and as they shall from time to time be
amended and supplemented, are herein collectively
called the "Prospectuses").
The Company will furnish the Investment Advisor from
time to time with copies, properly certified or authenticated,
of all amendments of or supplements to the foregoing, if any.
3. Management of the Portfolio. Subject to the
supervision of the Board of Directors of the Company, the
Investment Advisor will provide for the overall management of
the Portfolio, including (i) the provision of a continuous
investment program for the Portfolio, including investment
research and management with respect to all securities,
investments, cash and cash equivalents in the Portfolio, (ii)
the determination from time to time of what securities and
other investments will be purchased, retained or sold by the
Company for the Portfolio, (iii) the placement of orders for
all purchases and sales made for the Portfolio, and (iv)
coordination of contractual relationships and communications
between the Company and its contractual service providers. The
Investment Advisor will provide the services rendered by it
hereunder in accordance with the investment objectives,
restrictions and policies of the Portfolio as stated in the
applicable Prospectus and the applicable statement of
additional information contained in the Registration
Statement. The Investment Advisor further agrees that it will
maintain all books and records with respect to the securities
transactions of the Portfolio, keep its respective books of
account and will render to the Company's Board of Directors
such periodic and special reports as the Board may request.
To the extent permitted by applicable law and
subject to approval by the Company's Board of Directors
but not the approval by a vote of the outstanding voting
securities of the Portfolio, the Investment Advisor may from
time to time, enter into contracts with one or more sub-
advisors, including without limitation, affiliates of the
Investment Advisor, to perform investment sub-advisory
services with respect to the Portfolio. In addition, to the
extent permitted by applicable law, the Investment Advisor
may reallocate all or a portion of its investment advisory
responsibilities under this Agreement to any of its
affiliates. The Investment Advisor shall supervise and
oversee the activities of each sub-advisor under its sub-
advisory contract on behalf of the Portfolio. Subject to
approval by the Company's Board of Directors, the
Investment Advisor may terminate any or all sub-advisors in
its sole discretion at any time to the extent permitted by
applicable law.
4. Brokerage. The Investment Advisor may place orders
either directly with the issuer or with any broker or dealer.
In placing orders with brokers and dealers, the Investment
Advisor will attempt to obtain the best net price and the most
favorable execution of its orders. In placing orders with such
broker or dealer, the Investment Advisor will consider the
experience and skill of the firm's securities traders as well
as the firm's financial responsibility and administrative
efficiency. Consistent with this obligation, when the
execution and price offered by two or more brokers or dealers
are comparable, the Investment Advisor may, in its discretion,
purchase and sell the Portfolio's securities to and from
brokers and dealers who provide the Company with research
advice and other services. In no instance will the Portfolio's
securities be purchased from or sold to the Distributor, the
Investment Advisor or any affiliated person thereof, except to
the extent permitted by SEC exemptive order or by applicable
law.
5. Administration Services.
(a) The Investment Advisor will perform the
following administration and accounting
functions on a daily basis:
(1) Journalize the Portfolio's investment,
capital share and income and expense activities;
(2) Verify investment buy/sell trade tickets and
transmit trades to the Company's custodian for
proper settlement;
(3) Maintain individual ledgers for
investment securities;
(4) Maintain historical tax lots for each security;
(5) Reconcile cash and investment balances of
the Portfolio with the custodian, and prepare the
beginning cash balance available for investment
purposes;
(6) Update the cash availability throughout the
day as required;
(7) Post to and prepare the Portfolio's
Statement of Assets and Liabilities and the
Statement of Operations;
(8) Calculate various contractual expenses (e.g.,
advisory/administration and custody fees);
(9) Monitor the expense accruals and notify
management of the Company of any proposed
adjustments;
(10) Control all disbursements from the
Portfolio and authorize such disbursements
upon Written Instructions;
(11) Calculate capital gains and losses;
(12) Determine net income;
(13) Obtain security market quotes from
independent pricing services approved by
management of the Company, or if such quotes are
unavailable, then obtain such prices from
management of the Company, and in either case
calculate the market value of the Portfolio's
investments;
(14) Compute the net asset value of the
Portfolio; and
(15) Compute the Portfolio's yields, total
return, expense ratios, Portfolio turnover rate,
and, Portfolio average dollar-weighted maturity.
(b) In addition to the accounting services described
in the foregoing Paragraph 5(a), the Investment
Advisor will:
(1) Prepare general ledger and portfolio
holdings upon request;
(2) Prepare quarterly
broker security transactions summaries;
(3) Supply various normal and customary
Portfolio and Company statistical data as
requested on an ongoing basis;
(4) Prepare for execution and file the
Portfolio's and Company's Federal and state
tax returns;
(5) Prepare and file the Company's Semi-Annual
Reports with the SEC on Form N-SAR and prepare
and file the Company's Rule 24f-2 Notice and
Form N-PX with the SEC;
(6) Prepare and file with the SEC the
Portfolio's and Company's annual, semi-annual
and quarterly Shareholder reports on Form N-CSR
and Form N-Q;
(7) Assist with the preparation of registration
statements on Form N-lA and other filings
relating to the registration of Shares;
(8) Monitor the Company's status as a
regulated investment company under Sub-
chapter M of the Internal Revenue Code of
1986, as amended;
(9) Qualify the Class I Shares and the Class L
Shares for sale in each state in which the
Company's Board of Directors determines to sell
the Class I Shares or the Class L Shares and
make all filings and take all appropriate
actions necessary to maintain and renew such
registrations of the Class I Shares and the
Class L Shares;
(10) Monitor the Company's compliance with the
amounts and conditions of each such state
qualification; and
(11) Maintain the Company's fidelity bond as
required by the 1940 Act and obtain a
directors and officers liability policy.
(c) The Investment Advisor shall act as liaison with
the Company's independent registered public
accounting firm and shall provide account analyses,
fiscal year summaries, and other audit related
schedules. The Investment Advisor shall take all
reasonable action in the performance of its
obligations under this Agreement to assure that the
necessary information is made available to such firm
for the expression of its opinion, as such may be
required by the Company from time to time.
6. Conformity with Law; Confidentiality. The
Investment Advisor further agrees that it will comply with all
applicable Rules and Regulations of all Federal regulatory
agencies having jurisdiction over the Investment Advisor in
the performance of its duties hereunder. The Investment
Advisor will treat confidentially and as proprietary
information of the Company all records and other information
relative to the Company and prior, present or potential
shareholders, and will not use such records and information
for any purpose other than performance of its responsibilities
and duties hereunder, except after prior notification to and
approval in writing by the Company, which approval shall not
be unreasonably withheld and may not be withheld where the
Investment Advisor may be exposed to civil or criminal
contempt proceedings for failure to comply, when requested to
divulge such information by duly constituted authorities, or
when so requested by the Company.
7. Services Not Exclusive. The investment
management and administration services rendered by the
Investment Advisor hereunder are not to be deemed exclusive,
and the Investment Advisor shall be free to render similar
services to others so long as its services under this Agreement
are not impaired thereby.
8. Books and Records. In compliance with the
requirements of Rule 31a-3 of the 1940 Act, the Investment
Advisor hereby agrees that all records which it maintains for
the Portfolio are the property of the Company and further
agrees to surrender promptly to the Company any of such
records upon the Company's request. The Investment Advisor
further agrees to preserve for the periods prescribed by Rule
31a-2 the records required to be maintained by Rule 31a-1 of
the 1940 Act.
9. Expenses. During the term of this Agreement,
the Investment Advisor will pay all expenses incurred by it in
connection with its activities under this Agreement other than
the cost of (including brokerage commissions, if any)
securities purchased for the Portfolio, the cost of any
independent pricing service used in valuing the Portfolio's
securities and fees and expenses of registering and qualifying
shares for distribution under state securities laws.
In addition, if the expenses borne by the Portfolio
in any fiscal year exceed the most restrictive applicable
expense limitations imposed by the securities regulations of
any state in which the Shares are registered or qualified for
sale to the public, the Investment Advisor shall reimburse the
Portfolio for any excess up to the amount of the fees payable
by the Portfolio to it during such fiscal year pursuant to
Paragraph 10 hereof; provided, however, that notwithstanding
the foregoing, the Investment Advisor shall reimburse the
Portfolio for such excess expenses regardless of the amount of
such fees payable to it during such fiscal year to the extent
that the securities regulations of any state in which the
Shares are registered or qualified for sale so require.
10. Compensation.
(a) For the services provided and the expenses
assumed pursuant to this Agreement with respect
to the Portfolio, the Company will pay the
Investment Advisor from the assets of the
Portfolio and the Investment Advisor will accept
as full compensation therefor a fee, computed
daily and payable monthly, at the following
annual rate: 0.45% of-the first $250 million of
the Portfolio's average daily net assets, 0.40%
of the next $250 million of the Portfolio's
average daily net assets, and 0.35% of the
Portfolio's average daily net assets in excess
of $500 million.
(b) The fee attributable to the Portfolio
shall be satisfied only against the assets of
the Portfolio and not against the assets of
any other investment portfolio of the Company.
11. Limitation of Liability of the Investment
Advisor. The Investment Advisor shall not be liable for any
error of judgment or mistake of law or for any loss suffered by
the Company in connection with the matters to which this
Agreement relates, except a loss resulting from a breach of
fiduciary duty with respect to the receipt of compensation for
services or a loss resulting from willful misfeasance, bad
faith or gross negligence on the part of the Investment Advisor
in the performance of its duties or from reckless disregard by
it of its obligations and duties under this Agreement.
Notwithstanding the foregoing, the Investment Advisor shall be
liable to the Company for the acts and omissions of the Sub-
Advisor to the extent that the Sub-Advisor is liable to the
Investment Advisor for such acts or omissions under the Sub-
Advisory Agreement between the Investment Advisor and the Sub-
Advisor.
12. Duration and Termination. This Agreement shall
become effective with respect to the Portfolio as of the date
first above written and, unless sooner terminated as provided
herein, shall continue with respect to the Portfolio until
August 16, 2012. Thereafter, if not terminated, this Agreement
shall continue with respect to the Portfolio for successive
annual periods ending on August 16, provided such continuance
is specifically approved at least annually (a) by the vote of a
majority of those members of the Board of Directors of the
Company who are not parties to this Agreement or interested
persons of any such party, cast in person at a meeting called
for the purpose of voting on such approval, and (b) by the
Board of Directors of the Company or by vote of a majority of
the outstanding voting securities of the Portfolio; provided,
however, that this Agreement may be terminated with respect to
the Portfolio by the Company at any time, without the payment
of any penalty, by the Board of Directors of the Company or by
vote of a majority of the outstanding voting securities of the
Portfolio, on 60 days' written notice to the Investment
Advisor, or by the Investment Advisor at any time, without
payment of any penalty, on 90 days' written notice to the
Company. This Agreement will immediately terminate in the event
of its assignment. (As used in this Agreement, the terms
"majority of the outstanding voting securities," "interested
person" and "assignment" shall have the same meaning as such
terms have in the 1940 Act.)
13. Delegation. On thirty (30) days prior written
notice to the Portfolio, the Investment Advisor may delegate
those of its duties set forth in Paragraph 5 hereof to any
wholly-owned direct or indirect subsidiary of BNY Mellon
Investment Servicing (US), Inc. provided that (i) the delegate
agrees with the Investment Advisor to comply with all relevant
provisions of the 1940 Act; and (ii) the Investment Advisor and
such delegate shall promptly provide such information as the
Portfolio may request, and respond to such questions as the
Portfolio may ask, relative to the delegation, including
(without limitation) the capabilities of the delegate. Any
delegation under this Paragraph shall not be deemed an
assignment for purposes of paragraph 12 hereof. Notwithstanding
any such delegation, the Investment Advisor shall remain
responsible for the performance of its duties set forth in
Paragraph 5 hereof and shall hold the Portfolio harmless from
the acts and omissions, under the standards of care provided
for herein, of any delegate chosen pursuant to this Paragraph
13.
14. Amendment of this Agreement. No provision of
this Agreement may be changed, discharged or terminated orally,
except by an instrument in writing signed by the party against
which enforcement of the change, discharge or termination is
sought, and no amendment of this Agreement affecting the
Portfolio shall be effective until approved by vote of the
holders of a majority of the outstanding voting securities of
the Portfolio.
15. Miscellaneous. The captions in this Agreement
are included for convenience of reference only and in no way
define or delimit any of the provisions hereof or otherwise
affect their construction or effect. If any provision of this
Agreement shall be held or made invalid by a court decision,
statute, rule or otherwise, the remainder of this Agreement
shall not be affected thereby. This Agreement shall be binding
upon and shall inure to the benefit of the parties hereto and
their respective successors and shall be governed by Delaware
law.
IN WITNESS WHEREOF, the parties hereto have caused
this instrument to be executed by their officers designated
below as of the day and year first above written.
THE RBB FUND, INC.
By: /s/ Salvatore Faia
Title: President & Chief Compliance Officer
BLACKROCK ADVISORS, LLC
By: /s/ Richard Hoerner
Title: Managing Director
EX-99.77Q1 OTHR EXHB
8
rbb77q13.txt
BY-LAWS
OF
THE RBB FUND, INC.
Adopted August 16, 1988
ARTICLE I
Offices
Section 1. Principal Office. The principal office of the
Corporation shall be in the City of Baltimore, State of
Maryland.
Section 2. Principal Executive Office. The principal
executive office of the Corporation shall be in the City of
Paoli, Commonwealth of Pennsylvania.
Section 3. Other Offices. The Corporation may have such
other offices in such places as the Board of Directors may
from time to time determine.
ARTICLE II
Meetings of Shareholders
Section 1. No Annual Meeting Required. No Annual Meeting
of shareholders of the Corporation shall be held unless
required by applicable law or otherwise determined by the
Board of Directors. Any Annual Meeting shall be held on such
date and at such time and place as the Board of Directors may
designate. [As Amended July 25, 1989]
Section 2. Special Meetings. Special meetings of the
shareholders, unless otherwise provided by law or by the
Articles of Incorporation may be called for any purpose or
purposes by a majority of the Board of Directors or the
President, and shall be called by the President or Secretary
on the written request of the shareholders (i) as provided by
the Maryland General Corporation Law and (ii) to remove a
director upon written request of shareholders owning at least
10% of all the outstanding shares of the Corporation. Such
request shall state the purpose or purposes of the proposed
meeting and the matters proposed to be acted on at it;
provided, however, that with respect to clause (i) of this
Section's first sentence, unless requested by shareholders
entitled to cast a majority of all the votes entitled to be
cast at the meeting, a special meeting need not be called to
consider any matter which is substantially the same as a
matter voted on at any special meeting of the shareholders
held during the preceding 12 months. [As Amended October 24,
1989]
Section 3. Place of Meetings. The regular meeting, if
any, and any special meeting of the shareholders shall be held
at such place within the United States as the Board of
Directors may from time to time determine.
Section 4. Notice of Meetings; Waiver of Notice;
Shareholder List. (a) Notice of the place, date and time of
the holding of each regular and special meeting of the
shareholders and the purpose or purposes of the meeting shall
be given personally or by mail, not less than ten nor more
than ninety days before the date of such meeting, to each
shareholder entitled to vote at such meeting and to each other
shareholder entitled to notice of the meeting. Notice by mail
shall be deemed to be duly given when deposited in the United
States mail addressed to the shareholder at his address as it
appears on the records of the Corporation, with postage
thereon prepaid. The notice of every meeting of shareholders
may be accompanied by a form of proxy approved by the Board of
Directors in favor of such actions or persons as the Board of
Directors may select.
(b) Notice of any meeting of shareholders shall be
deemed waived by any shareholder who shall attend such meeting
in person or by proxy, or who shall, either before or after
the meeting, submit a signed waiver of notice which is filed
with the records of the meeting. A meeting of shareholders
convened on the date for which it was called may be adjourned
from time to time without further notice to a date not more
than 120 days after the original record date.
(c) At least five (5) days prior to each meeting of
shareholders, the officer or agent having charge of the share
transfer books of the Corporation shall make a complete list
of shareholders entitled to vote at such meeting, in
alphabetical order with the address of and the number of
shares held by each shareholder.
SECTION 5. Organization and Conduct. At each meeting
of shareholders, the Chairman of the Board of Directors, if
one has been designated by the Board of Directors, shall act
as chairman of the meeting. If no one has been designated as
Chairman of the Board of Directors, the chairman of the
meeting shall be a director or officer of the Corporation
selected by the Board of Directors. The Secretary, or in the
Secretary's absence or inability to act, any person appointed
by the chairman of the meeting, shall act as secretary of the
meeting and record the minutes thereof. The order of business
and all other matters of procedure at any meeting of
shareholders shall be determined by the chairman of the
meeting. The chairman of the meeting may prescribe such
rules, regulations and procedures and take such action as, in
the discretion of such chairman and without any action by the
shareholders, are appropriate for the proper conduct of the
meeting, including, without limitation, (a) restricting
admission to the time set for the commencement of the meeting;
(b) limiting attendance at the meeting to shareholders of
record of the Corporation, their duly authorized proxies and
other such individuals as the chairman of the meeting may
determine; (c) limiting participation at the meeting on any
matter to shareholders of record of the Corporation entitled
to vote on such matter, their duly authorized proxies and
other such individuals as the chairman of the meeting may
determine; (d) limiting the time allotted to questions or
comments; (e) determining when and for how long the polls
should be open and when the polls should be closed; (f)
maintaining order and security at the meeting; (g) removing
any shareholder or any other individual who refuses to comply
with meeting procedures, rules or guidelines as set forth by
the chairman of the meeting; (h) concluding a meeting or
recessing or adjourning the meeting to a later date and time
and at a place announced at the meeting; and (i) complying
with any state and local laws and regulations concerning
safety and security. Unless otherwise determined by the
chairman of the meeting, meetings of shareholders shall not be
required to be held in accordance with the rules of
parliamentary procedure. [Amended May 18, 2011]
Section 6. Voting. (a) Except as otherwise provided by
statute or the Articles of incorporation, each holder of
record of shares of the Corporation having voting power shall
be entitled at each meeting of the shareholders to one vote
for every share standing in his name on the record of
shareholders of the Corporation as of the record date
determined pursuant to Section 5 of Article VI hereof or if
such record date shall not have been so fixed, then at the
later of (i) the close of business on the day on which notice
of the meeting is mailed or (ii) the thirtieth (30) day before
the meeting. In all elections for Directors, each share of
share may be voted for as many individuals as there are
Directors to be elected and for whose election the share is
entitled to be voted.
(b) Each shareholder entitled to vote at any meeting of
shareholders may authorize another person or persons to act
for him or her by a proxy signed by such shareholder or his or
her authorized agent, as provided by Maryland law. No proxy
shall be valid after the expiration of eleven months from the
date thereof, unless otherwise provided in the proxy. Every
proxy shall be revocable at the pleasure of the shareholder
executing it, except in those cases where such proxy states
that it is irrevocable and where an irrevocable proxy is
permitted by law. Except as otherwise provided by statute, the
Articles of Incorporation or these By-Laws, any corporate
action to be taken by vote of the shareholders shall be
authorized by a majority of the total votes cast at a meeting
of shareholders at which a quorum is present by the holders of
shares present in person or represented by proxy and entitled
to vote on such action, except that a plurality of all the
votes cast at a meeting at which a quorum is present is
sufficient to elect a Director. [As Amended April 24, 1996]
(c) If a vote shall be taken on any question other than
the election of Directors which shall be by written ballot,
then unless required by statute or these By-Laws or determined
by the chairman of the meeting to be advisable, any such vote
need not be by ballot. On a vote by ballot, each ballot shall
be signed by the shareholder voting, or by his proxy, if there
be such proxy, and shall state the number of shares voted.
Section 7. Inspectors. The Board may, in advance of any
meeting of shareholders, appoint one or more inspectors to act
at such meeting or any adjournment thereof. If the inspectors
shall not be so appointed or if any of them shall fail to
appear or act, the chairman of the meeting may, and on the
request of any shareholder entitled to vote at the meeting
shall, appoint inspectors. Each inspector, before entering
upon the discharge of his duties, shall take and sign an oath
to execute faithfully the duties of inspector at such meeting
with strict impartiality and according to the best of his
ability. The inspectors shall determine the number of shares
outstanding and the voting power of each, the number of shares
represented at the meeting, the existence of a quorum, the
validity and effect of proxies, and shall receive votes,
ballots or consents, hear and determine all challenges and
questions arising in connection with the right to vote, count
and tabulate all votes, ballots or consents, determine the
result, and do such acts as are proper to conduct the election
or vote with fairness to all shareholders. On request of the
chairman of the meeting or any shareholder entitled to vote at
it, the inspectors shall make a report in writing of any
challenge, request or matter determined by them and shall
execute a certificate of any fact found by them. No Director
or candidate for the office of Director shall act as inspector
of an election of Directors. Inspectors need not be
shareholders.
Section 8. Consent of Shareholders in Lieu of Meeting.
Except as otherwise provided by statute, any action required
to be taken at any regular or special meeting of shareholders
or any action which may be taken at any annual or special
meeting of shareholders, may be taken without a meeting,
without prior notice and without a vote, if the following are
filed with the records of shareholders' meetings: (i) a
unanimous written consent which sets forth the action and is
signed by each shareholder entitled to vote on the matter and
(ii) a written waiver of any right to dissent signed by each
shareholder entitled to notice of the meeting but not entitled
to vote at it.
ARTICLE III
Board of Directors
Section 1. General Powers. Except as otherwise provided
in the Articles of Incorporation, the business and affairs of
the Corporation shall be managed under the direction of the
Board of Directors. All powers of the Corporation may be
exercised by or under authority of the Board of Directors
except as conferred on or reserved to the shareholders by law
or by the Articles of Incorporation or these By-Laws.
Section 2. Number of Directors. The number of Directors
shall be fixed from time to time by resolution of the Board of
Directors adopted by a majority of the Directors then in
office; provided, however, that the number of Directors shall
in no event be less than three (except for any period during
which shares of the Corporation are held by fewer than three
shareholders) nor more than fifteen. Any vacancy created by
an increase in Directors may be filled in accordance with
Section 6 of this Article III. No reduction in the number of
Directors shall have the effect of removing any Director from
office prior to the expiration of his term unless such
Director is specifically removed pursuant to Section 5 of this
Article III at the time of such decrease. Directors need not
be shareholders.
Section 3. Election and Term of Directors. Directors
shall be elected by majority vote of a quorum cast by written
ballot at the regular meeting of shareholders, if any, or at a
special meeting held for that purpose. The term of office of
each Director shall be from the time of his election and
qualification and until his successor shall have been elected
and shall have qualified, or until his death, or until he
shall have resigned, or have been removed as hereinafter
provided in these By-Laws, or as otherwise provided by statute
or the Articles of Incorporation.
Section 4. Resignation. A Director of the Corporation
may resign at any time by giving written notice of his
resignation to the Board or the Chairman of the Board or the
President or the Secretary. Any such resignation shall take
effect at the time specified therein or, if the time when it
shall become effective shall not be specified therein,
immediately upon its receipt; and, unless otherwise specified
therein, the acceptance of such resignation shall not be
necessary to make it effective.
Section 5. Removal of Directors. Any Director of the
Corporation may be removed by the shareholders by a vote of a
majority of the votes entitled to be cast for the election of
Directors.
Section 6. Vacancies. The shareholders may elect a
successor to fill a vacancy on the Board of Directors which
results from the removal of a Director. A majority of the
remaining Directors, whether or not sufficient to constitute a
quorum, may fill a vacancy on the Board of Directors which
results from any cause except an increase in the number of
Directors, and a majority of the entire Board of Directors may
fill a vacancy which results from an increase in the number of
Directors. A Director elected by the Board of Directors to
fill a vacancy serves until the next annual meeting of
shareholders and until his successor is elected and qualifies.
A Director elected by the shareholders to fill a vacancy which
results from the removal of a Director serves for the balance
of the term of the removed Director.
Section 7. Regular Meetings. Regular meetings of the
Board may be held with notice at such times and places as may
be determined by the Board of Directors.
Section 8. Special Meetings. Special meetings of the
Board may be called by the Chairman of the Board, the
President, or by a majority of the Directors either in writing
or by vote at a meeting, and may be held at any place in or
out of the State of Maryland as the Board may from time to
time determine.
Section 9. Notice of Special Meetings. Notice of each
special meeting of the Board shall be given by the Secretary
as hereinafter provided, in which notice shall be stated the
time and place of the meeting. Notice of each such meeting
shall be delivered to each Director, either personally or by
telephone, telegraph, cable or wireless, at least twenty-four
hours before the time at which such meeting is to be held, or
by first-class mail, postage prepaid, or by commercial
delivery services addressed to him at his residence or usual
place of business, at least three days before the day on which
such meeting is to be held.
Section 10. Waiver of Notice of Special Meetings.
Notice of any special meeting need not be given to any
Director who shall, either before or after the meeting, sign
a written waiver of notice which is filed with the records of
the meeting or who shall attend such meeting. Except as
otherwise specifically required by these By-Laws, a notice or
waiver of notice of any meeting need not state the purposes of
such meeting.
Section 11. Quorum and Voting. A majority of the
members of the entire Board shall be present in person at any
meeting of the Board in order to constitute a quorum for the
transaction of business at such meeting, and except as
otherwise expressly required by statute, the Articles of
Incorporation, these By-Laws, the 1940 Act or other applicable
statute, the act of a majority of the Directors present at any
meeting at which a quorum is present shall be the act of the
Board; provided, however, that the approval of any contract
with an investment adviser or principal underwriter, as such
terms are defined in the 1940 Act, which the Corporation
enters into or any renewal or amendment thereof, the approval
of the fidelity bond required by the 1940 Act, and the
selection of the Corporation's independent public accountants
shall each require the affirmative vote of a majority of the
Directors who are not interested persons, as defined in the
1940 Act, of the Corporation. In the absence of a quorum at
any meeting of the Board, a majority of the Directors present
thereat may adjourn the meeting from time to time, but not for
a period greater than thirty (30) days at any one time, to
another time and place until a quorum shall attend. Notice of
the time and place of any adjourned meeting shall be given to
the Directors who were not present at the time of the
adjournment and, unless such time and place were announced at
the meeting at which the adjournment was taken, to the other
Directors. At any adjourned meeting at which a quorum is
present, any business may be transacted which might have been
transacted at the meeting as originally called.
Section 12. Chairman. The Board of Directors may at any
time appoint one of its members as Chairman of the Board, who
shall serve at the pleasure of the Board and who shall perform
and execute such duties and powers as may be conferred upon or
assigned to him by the Board or these By-Laws, but who shall
not by reason of performing and executing these duties and
powers be deemed an officer or employee of the Corporation.
Section 13. Organization. The Chairman of the Board, if
one has been selected and is present, shall preside at every
meeting of the Board of Directors. In the absence or
inability of the Chairman of the Board to preside at a
meeting, the President, or, in his absence or inability to
act, another Director chosen by a majority of the Directors
present, shall act as chairman of the meeting and preside at
it. The Secretary (or, in his absence or inability to act,
any person appointed by the Chairman) shall act as secretary
of the meeting and keep the minutes thereof.
Section 14. Written Consent of Directors in Lieu of a
Meeting. Any action required or permitted to be taken at any
meeting of the Board of Directors or of any committee thereof,
except actions with respect to which a vote in person is
required by law, may be taken without a meeting if all members
of the Board or committee, as the case may be, consent thereto
in writing, and the writing or writings are filed with the
minutes of the proceedings of the Board or
committee.
Section 15. Meeting by Conference Telephone. Members of
the Board of Directors may participate in a meeting by means
of a conference telephone or similar communications equipment
if all persons participating in the meeting can hear each
other at the same time, except that in such a meeting the
Board cannot perform any action with respect to which a vote
in person is required by law.
Section 16. Compensation. Any Director, whether or not
he is a salaried officer, employee or agent of the
Corporation, may be compensated for his services as Director
or as a member of a committee, or as Chairman of the Board or
chairman of a committee, and in addition may be reimbursed for
transportation and other expenses, all in such manner and
amounts as the Directors may from time to time determine.
Section 17. Investment Policies. It shall be the duty
of the Board of Directors to ensure that the purchase, sale,
retention and disposal of portfolio securities and the other
investment practices of the Corporation are at all times
consistent with the investment policies and restrictions with
respect to securities investments and otherwise of the
Corporation, as recited in the current Prospectus of the
Corporation filed from time to time with the Securities and
Exchange Commission and as required by the 1940 Act. The
Board, however, may delegate the duty of management of the
assets and the administration of its day-to-day operations to
an individual or corporate management company or investment
adviser pursuant to a written contract or contracts which have
obtained the requisite approvals, including the requisite
approvals of renewals thereof, of the Board of Directors or
the shareholders of the Corporation in accordance with the
provisions of the 1940 Act.
ARTICLE IV
Committees
Section 1. Committees of the Board. The Board may, by
resolution adopted by a majority of the entire Board,
designate an Executive Committee, Compensation Committee,
Audit Committee and Nomination Committee, each of which shall
consist of two or more of the Directors of the Corporation,
which committee shall have and may exercise all the powers and
authority of the Board with respect to all matters other than
as set forth in Section 3 of this Article.
Section 2. Other Committees of the Board. The Board of
Directors may from time to time, by resolution adopted by a
majority of the whole Board, designate one or more other
committees of the Board, each such committee to consist of two
or more Directors and to have such powers and duties as the
Board of Directors may, by resolution, prescribe.
Section 3. Limitation of Committee Powers. No committee
of the Board shall have power or authority to:
(a) recommend to shareholders any action requiring
authorization of shareholders pursuant to statute or
the Articles of Incorporation;
(b) approve or terminate any contract with an investment
adviser or principal underwriter, as such terms are
defined in the 1940 Act, or take any other action
required to be taken by the Board of Directors by the
1940 Act;
(c) amend or repeal these By-Laws or adopt new By-Laws;
(d) declare dividends or other distributions or issue
capital share of the Corporation; and
(e) approve any merger or share exchange which does not
require shareholder approval.
Section 4. General. One-third, but not less than two
members, of the members of any committee shall be present in
person at any meeting of such committee in order to constitute
a quorum for the transaction of business at such meeting, and
the act of a majority present shall be the act of such
committee. The Board may designate a chairman of any
committee and such chairman or any two members of any
committee may fix the time and place of its meetings unless
the Board shall otherwise provide. In the absence of
disqualification of any member or any committee, the member or
members thereof present at any meeting and not disqualified
from voting, whether or not he or they constitute a quorum,
may unanimously appoint another member of the Board of
Directors to act at the meeting in the place of any such
absent or disqualified member. The Board shall have the power
at any time to change the membership of any committee, to fill
all vacancies, to designate alternate members, to replace any
absent or disqualified member, or to dissolve any such
committee.
All committees shall keep written minutes of their
proceedings and shall report such minutes to the Board. All
such proceedings shall be subject to revision or alteration by
the Board; provided, however, that third parties shall not be
prejudiced by such revision or alteration.
ARTICLE V
Officers, Agents and Employees
Section 1. Number and Qualifications. The officers of
the Corporation shall be a President, a Secretary, a Treasurer
and a Chief Compliance Officer, each of whom shall be elected
by the Board of Directors. The Board of Directors may elect
or appoint one or more Vice Presidents and may also appoint
such other officers, agents and employees as it may deem
necessary or proper. Any two or more offices may be held by
the same person, but no officer shall execute, acknowledge or
verify any instrument in more than one capacity. The Board
may from time to time elect or appoint, or delegate to the
President the power to appoint, such other officers (including
one or more Assistant Vice Presidents, one or more Assistant
Treasurers and one or more Assistant Secretaries) and such
agents, as may be necessary or desirable for the business of
the Corporation. Such other officers and agents shall have
such duties and shall hold their offices for such terms as may
be prescribed by the Board or by the appointing authority.
[As amended August 25, 2004]
Section 2. Resignations. Any officer of the Corporation
may resign at any time by giving written notice of his
resignation to the Board, the Chairman of the Board, the
President or the Secretary. Any such resignation shall take
effect at the time specified therein or, if the time when it
shall become effective shall not be specified therein,
immediately upon its receipt; and, unless otherwise specified
therein, the acceptance of such resignation shall not be
necessary to make it effective.
Section 3. Removal of Officer, Agent or Employee. Any
officer, agent or employee of the Corporation may be removed
by the Board of Directors with or without cause at any time,
and the Board may delegate such power of removal as to agents
and employees not elected or appointed by the Board of
Directors. Such removal shall be without prejudice to such
person's contract rights, if any, but the appointment of any
person as an officer, agent or employee of the
Corporation shall not of itself create contract rights.
Section 4. Vacancies. A vacancy in any office, whether
arising from death, resignation, removal or any other cause,
may be filled for the unexpired portion of the term of the
office which shall be vacant, in the manner prescribed in
these By-Laws for the regular election or appointment to such
office.
Section 5. Compensation. The compensation of the
officers of the Corporation shall be fixed by the Board of
Directors, but this power may be delegated to any committee or
to any officer in respect of other officers under his control.
No officer shall be precluded from receiving such compensation
by reason of the fact that he is also a Director of the
Corporation.
Section 6. Bonds or other Security. If required by the
Board, any officer, agent or employee of the Corporation shall
give a bond or other security for the faithful performance of
his duties, in such amount and with such surety or sureties as
the Board may require.
Section 7. President. The President shall be the chief
executive officer of the Corporation. In the absence of the
Chairman of the Board (or if there be none), the President
shall preside at all meetings of the shareholders and of the
Board of Directors. He shall have, subject to the control of
the Board of Directors, general charge of the business and
affairs of the Corporation. He may employ and discharge
employees and agents of the Corporation, except such as shall
be appointed by the Board, and he may delegate these powers.
Section 8. The Vice Presidents. In the absence or
disability of the President, or when so directed by the
President, any Vice President designated by the Board of
Directors may perform any or all of the duties of the
President, and, when so acting, shall have all the powers of,
and be subject to all the restrictions upon, the President;
provided, however, that no Vice President shall act as a
member of or as chairman of any committee of which the
President is a member or chairman by designation of ex-
officio, except when designated by the Board. Each Vice
President shall perform such other duties as from time to time
may be conferred upon or assigned to him by the Board or the
President.
Section 9. Treasurer. The Treasurer shall:
(a) have charge and custody of, and be responsible for,
all the funds and securities of the Corporation, except those
which the Corporation has placed in the custody of a bank or
trust company or member of a national securities exchange (as
that term is defined in the Securities Exchange Act of 1934)
pursuant to a written agreement designating such bank or trust
company or member of a national securities exchange as
custodian of the property of the Corporation;
(b) keep full and accurate accounts of receipts and
disbursements in books belonging to the Corporation;
(c) cause all moneys and other valuables to be deposited
to the credit of the Corporation;
(d) receive, and give receipts for, moneys due and
payable to the Corporation from any source whatsoever;
(e) disburse the funds of the Corporation and supervise
the investment of its funds as ordered or authorized by the
Board, taking proper vouchers therefor; and
(f) in general, perform all the duties incident to the
office of Treasurer and such other duties as from time to time
may be assigned to him by the Board or the President.
Section 10. Assistant Treasurers. In the absence or
disability of the Treasurer, or when so directed by the
Treasurer, any Assistant Treasurer may perform any or all of
the duties of the Treasurer, and, when so acting, shall have
all the powers of, and be subject to all the restrictions
upon, the Treasurer. Each Assistant Treasurer shall perform
all such other duties as from time to time may be conferred
upon or assigned to him by the Board of Directors, the
President or the Treasurer.
Section 11. Secretary. The Secretary shall:
(a) keep or cause to be kept in one or more books
provided for the purpose, the minutes of all meetings of the
Board, the committees of the Board and the shareholders;
(b) see that all notices are duly given in accordance
with the provisions of these By-Laws and as required by law;
(c) be custodian of the records and the seal of the
Corporation and affix and attest the seal to all share
certificates of the Corporation (unless the seal of the
Corporation on such certificates shall be a facsimile, as
hereinafter provided) and affix and attest the seal to all
other documents to be executed on behalf of the Corporation
under its seal;
(d) see that the books, reports, statements,
certificates and other documents and records required by law
to be kept and filed are properly kept and filed; and
(e) in general, perform all the duties incident to the
office of Secretary and such other duties as from time to time
may be assigned to him by the Board or the President.
Section 12. Assistant Secretaries. In the absence or
disability of the Secretary, or when so directed by the
Secretary, any Assistant Secretary may perform any or all of
the duties of the Secretary, and, when so acting, shall have
all the powers of, and be subject to all restrictions upon,
the Secretary. Each Assistant Secretary shall perform such
other duties as from time to time may be conferred upon or
assigned to him by the Board of Directors, the President or
the Secretary.
Section 13. Delegation of Duties. In case of the
absence of any officer of the Corporation, or for any other
reason that the Board may deem sufficient, the Board may
confer for the time being the powers or duties, or any of
them, of such officer upon any other officer or upon any
Director.
ARTICLE VI
Capital Stock
Section 1. Stock Certificates. The Board may authorize
the issuance of some or all of the shares of any or all
classes or series of the common stock of the Corporation with
or without certificates. The rights of holders of each class
or series of common stock of the Corporation to receive or not
to receive certificates shall be set forth in articles
supplementary. With respect to shares whose issuance the Board
has authorized with certificates, the Board shall determine
the conditions under which a holder of such shares shall be
entitled to have a certificate or certificates. A
shareholder's certificate or certificates shall be in such
form as shall be approved by the Board, and shall represent
the number of such shares of the Corporation owned by him,
provided, however, that certificates for fractional shares
will not be delivered in any case. The certificates
representing shares of share shall be signed by the President,
a Vice President, or the Chairman of the Board, and
countersigned by the Secretary or an Assistant Secretary or
the Treasurer or an Assistant Treasurer and sealed with the
seal of the Corporation. Any or all of the signatures or the
seal on the certificate may be a facsimile. In case any
officer, transfer agent or registrar who has signed or whose
facsimile signature has been placed upon a certificate shall
have ceased to be such officer, transfer agent or registrar
before such certificate shall be issued, it may be issued by
the Corporation with the same effect as if such officer,
transfer agent or registrar were still in office at the date
of issue.
Section 2. Rights of Inspection. There shall be kept at
the principal executive office, which shall be available for
inspection during usual business hours in accordance with the
General Laws of the State of Maryland, the following corporate
documents: (a) By-Laws, (b) minutes of proceedings of the
shareholders, (c) annual statements of affairs, and (d) voting
trust agreements, if any. One or more persons who together
are and for at least six months have been shareholders of
record of at least five percent of the outstanding shares of
any class may inspect and copy during usual business hours the
Corporation's books of account and share ledger in accordance
with the General Laws of the State of Maryland.
Section 3. Transfer of Shares. Transfers of shares of
the Corporation shall be made on the share records of the
Corporation at the direction of the person named on the
Corporation's books or named in the certificate or
certificates for such shares (if issued) only by the
registered holder thereof, or by his attorney authorized by
power of attorney duly executed and filed with the Secretary
or with a transfer agent or transfer clerk, and on surrender
of the certificate or certificates, if issued, for such shares
properly endorsed or accompanied by a duly executed share
transfer power and the payment of all taxes thereon. Except
as otherwise provided by law, the Corporation shall be
entitled to recognize the exclusive right of a person in whose
name any share or shares stand on the record of shareholders
as the owner of such share or shares for all purposes,
including, without limitation, the rights to receive dividends
or other distributions, and to vote as such owner, and the
Corporation shall not be bound to recognize any equitable or
legal claim to or interest in any such share or shares on the
part of any other person.
Section 4. Transfer Agents and Registrars. The
Corporation may have one or more Transfer Agents and one or
more Registrars of its shares, whose respective duties the
Board of Directors may, from time to time, define. No
certificate of share shall be valid until countersigned by a
Transfer Agent, if the Corporation shall have a Transfer Agent
or until registered by a Registrar, if the Corporation shall
have a Registrar. The duties of Transfer Agent and Registrar
may be combined.
Section 5. Record Date and Closing of Transfer Books.
The Board of Directors may set a record date for the purpose
of making any proper determination with respect to
shareholders, including which shareholders are entitled to
notice of a meeting, vote at a meeting (or any adjournment
thereof), receive a dividend, or be allotted or exercise other
rights. The record date may not be more than ninety (90) days
before the date on which the action requiring the
determination will be taken; and, in the case of a meeting of
shareholders, the record date shall be at least ten (10) days
before the date of the meeting. The Board of Directors shall
not close the books of the Corporation against transfers of
shares during the whole or any part of such period.
Section 6. Regulations. The Board may make such
additional rules and regulations, not inconsistent with these
By-Laws, as it may deem expedient concerning the issue,
transfer and registration of certificates for shares of share
of the Corporation.
Section 7. Lost, Stolen, Destroyed or Mutilated
Certificates. The holder of any certificate representing
shares of share of the Corporation shall immediately notify
the Corporation of any loss, theft, destruction or mutilation
of such certificate, and the Corporation may issue a new
certificate of share in the place of any certificate
theretofore issued by it which the owner thereof shall allege
to have been lost, stolen or destroyed or which shall have
been mutilated, and the Board may, in its discretion, require
such owner or his legal representatives to give to the
Corporation a bond in such sum, limited or unlimited, and in
such form and with such surety or sureties, as the Board in
its absolute discretion shall determine, to indemnify the
Corporation against any claim that may be made against it on
account of the alleged loss or destruction of any such
certificate, or issuance of a new certificate. Anything
herein to the contrary notwithstanding, the Board, in its
absolute discretion, may refuse to issue any such new
certificate, except pursuant to legal proceedings under the
laws of the State of Maryland.
Section 8. Stock Ledgers. The Corporation shall not be
required to keep original or duplicate share ledgers at its
principal office in the City of Baltimore, Maryland, but share
ledgers shall be kept at the respective offices of the
Transfer Agents of the Corporation's capital shares.
ARTICLE VII
Seal
The Board of Directors shall provide a suitable seal,
bearing the name of the Corporation, which shall be in the
charge of the secretary. The Board of Directors may authorize
one or more duplicate seals and provide for the custody
thereof. If the Corporation is required to place its
corporate seal on a document, it is sufficient to meet any
requirement of any law, rule, or regulation relating to a
corporate seal to place the word "Seal" adjacent to the
signature of the person authorized to sign the document on
behalf of the Corporation.
ARTICLE VIII
Fiscal Year
Unless otherwise determined by the Board, the fiscal year
of the Corporation shall end on the last day of December in
each year.
ARTICLE IX
Depositories and Custodians
Section 1. Depositories. The funds of the Corporation
shall be deposited with such banks or other depositories as
the Board of Directors of the Corporation may from time to
time determine.
Section 2. Custodians. All securities and other
investments shall be deposited in the safekeeping of such
banks or other companies as the Board of Directors of the
Corporation may from time to time determine. Every
arrangement entered into with any bank or other company for
the safekeeping of the securities and investments of the
Corporation shall contain provisions complying with the 1940
Act, and the general rules and regulations thereunder.
ARTICLE X
Execution of Instruments
Section 1. Checks, Notes, Drafts, etc. Checks, notes,
drafts, acceptances, bills of exchange and other orders or
obligations for the payment of money shall be signed by such
officer or officers or person or persons as the Board of
Directors by resolution shall from time to time designate.
Section 2. Sale or Transfer of Securities. Money market
instruments, bonds or other securities at any time owned by
the Corporation may be held on behalf of the Corporation or
sold, transferred or otherwise disposed of subject to any
limits imposed by these By-Laws, and pursuant to authorization
by the Board and, when so authorized to be held on behalf of
the Corporation or sold, transferred or otherwise disposed of,
may be transferred from the name of the Corporation by the
signature of the President or a Vice President or the
Treasurer or pursuant to any procedure approved by the Board
of Directors, subject to applicable law.
ARTICLE XI
Independent Public Accountants
The firm of independent public accountants which shall
sign or certify the financial statements of the Corporation
which are filed with the Securities and Exchange Commission
shall be selected annually by the Board of Directors and
ratified by the Board of Directors or the shareholders in
accordance with the provisions of the 1940 Act.
ARTICLE XII
Annual Statements
The books of account of the Corporation shall be examined
by an independent firm of public accountants at the close of
each annual period of the Corporation and at such other times
as may be directed by the Board. A report to the shareholders
based upon each such examination shall be mailed to each
shareholder of the Corporation of record on such date with
respect to each report as may be determined by the Board, at
his address as the same appears on the books of the
Corporation. Such annual statement shall also be placed on
file at the Corporation's principal office in the State of
Maryland. Each such report shall show the assets and
liabilities of the Corporation as of the close of the annual
or semiannual period covered by the report and the securities
in which the funds of the Corporation were then invested.
Such report shall also show the Corporation's income and
expenses for the period from the end of the Corporation's
preceding fiscal year to the close of the annual or semiannual
period covered by the report and any other information
required by the 1940 Act, and shall set forth such other
matters as the Board or such firm of independent public
accountants shall determine.
ARTICLE XIII
Indemnification of Directors and Officers
Section 1. Indemnification. The Corporation shall
indemnify its directors to the fullest extent that
indemnification of directors is permitted by the Maryland
General Corporation Law. The Corporation shall indemnify its
officers to the same extent as its directors and to such
further extent as is consistent with law. The Corporation
shall indemnify its directors and officers who while serving
as directors or officers also serve at the request of the
Corporation as a director, officer, partner, trustee,
employee, agent or fiduciary of another corporation,
partnership, joint venture, trust, other enterprise or
employee benefit plan to the fullest extent consistent with
law. This Section shall not protect any such person against
any liability to the Corporation or any shareholder thereof to
which such person would otherwise be subject by reason of
willful misfeasance, bad faith, gross negligence or reckless
disregard of the duties involved in the conduct of his office.
Section 2. Advances. Any current or former director or
officer of the Corporation claiming indemnification within the
scope of this Article XIII shall be entitled to advances from
the Corporation for payment of the reasonable expenses
incurred by him in connection with proceedings to which he is
a party in the manner and to the full extent permissible under
the Maryland General Corporation Law, the Securities Act of
1933 (the "1933 Act") and the 1940 Act, as such statutes are
now or hereafter in force.
Section 3. Procedure. On the request of any current or
former director or officer requesting indemnification or an
advance under this Article XIII, the Board of Directors shall
determine, or cause to be determined, in a manner consistent
with the Maryland General Corporation Law, the 1933 Act and
the 1940 Act, as such statutes are now or hereafter in force,
whether the standards required by this Article XIII have been
met.
Section 4. Other Rights. The indemnification provided
by this Article XIII shall not be deemed exclusive of any
other right, in respect of indemnification or otherwise, to
which those seeking such indemnification may be entitled under
any insurance or other agreement, vote of shareholders or
disinterested directors or otherwise, both as to action by a
director or officer of the Corporation in his official
capacity and as to action by such person in another capacity
while holding such office or position, and shall continue as
to a person who has ceased to be a director or officer and
shall inure to the benefit of the heirs, executors and
administrators of such a person.
ARTICLE XIV
Amendments
These By-Laws or any of them may be amended, altered or
repealed at any annual meeting of the shareholders or at any
special meeting of the shareholders at which a quorum is
present or represented, provided that notice of the proposed
amendment, alteration or repeal be contained in the notice of
such special meeting. These By-Laws may also be amended,
altered or repealed by the affirmative vote of a majority of
the Board of Directors at any regular or special meeting of
the Board of Directors or by unanimous written consent.
Amended April 24, 1996
Amended February 12, 2009
Amended May 18, 2011