UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
ACCOUNTING OF SEGREGATED TRUST ACCOUNT
OMB APPROVAL OMB Number: 3235-0560 Expires: . . . . . . . June 20, 2011 Estimated average burden hours per response. . . . . . . 1.0
For the period from _____________________________ to_____________________________ __________________________________________________________________________ Name of Depositor or Principal Underwriter __________________________________________________________________________ Address Registered investment companies for which the segregated trust account is established and maintained Name: __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ Signature ___________________________ IRS Empl. Ident. No.
IRS Empl. Ident. No. ____________________________ ____________________________ ____________________________
Pursuant to the requirements of the Investment Company Act of 1940 the undersigned depositor (or principal underwriter) has caused this report to be signed on its behalf in the City of _______________________________________________ and State of ______________________________ on the _____________________________ day of_____________________________ , 20___. __________________________________________________ (Name of depositor or principal underwriter) By: __________________________________________________ (Name and title of person signing on behalf of depositor or principal underwriter) ACCOUNTING OF SEGREGATED TRUST ACCOUNT For period ________________________________ to ________________________________ Balance at beginning of period $_____________ Deposits Pursuant to paragraph (c) of Rule 27d-1 $_____________ Pursuant to paragraph (e) of Rule 27d-1 $_____________ Additional deposits $_____________ Interest income (received and accrued) $_____________ Gains or (losses) on sales of securities $_____________ Unrealized appreciation (depreciation) of investments $_____________ Total $_____________ Withdrawals To provide refunds pursuant to paragraph (f)(1) of Rule 27d-1 To provide refunds pursuant to paragraph (f)(2) of Rule 27d-1 Other withdrawals pursuant to paragraph (f)(3) of Rule 27d-1 Total Balance at end of period Minimum amount required to be maintained at end of period pursuant to paragraph (d) of Rule 27d-1 Minimum amount required to be maintained at end of period pursuant to paragraph (e) of Rule 27d-1 Total minimum amount required to be maintained at end of period pursuant to Rule 27d-1 Minimum amount required before withdrawals pursuant to paragraph (f)(3) of Rule 27d-1 may be permitted SEC1840 (7-08) $_____________ $_____________ $_____________
$_____________ $_____________ $_____________ $_____________
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
INSTRUCTIONS FOR FORM N-27D-1 1. 2. 3. 4. Duringthefirst2yearsaftertheeffectivedateofRule27d-1,thisFormistobefiledforeachcalendarquarterwithin15business daysaftertheendofsuchquarter;thereafter,itshallbefiledforeachyearonorbeforeJanuary31ofthefollowingyear. The balance at the beginning of the period shall be the same in amount as the balance shown at the end of the immediately preceding period. If any item is not applicable, enter "N.A." If a single combined segregated trust account is used for the periodic payment plans of two or more registered investment companies, the depositor or principal underwriter shall indicate separately for each registered investment company the deposits pursuant to paragraphs (c) and (e), the withdrawals pursuant to paragraph f(1) and f(2) and the minimum amounts required to be maintained pursuant to paragraphs (d) and (e) of Rule 27d-1. ThisFormshallbesignedbythechiefexecutiveorchieffinancialofficerofthedepositororprincipalunderwriter,whicheveris appropriate. Anoriginalandtwocopiesoftheformplusanadditionalcopyforeachregisteredinvestmentcompanyidentifiedaretobefiled. ElectronicfilersaresubjecttoRegulationS-T(§§232.10-232.306ofthischapter)andtheEDGARFilerManual,asthatterm isdefinedinrule0-1undertheInvestmentCompanyActof1940(§270.0-1ofthischapter).Anyruleorinstructionthereinshall becontrollingunlessotherwisespecificallyprovidedinrulesorinstructionspertainingtothesubmissionofthisform.Provisions relatingtobinding,pagenumberingandmultiplecopiesrequiredtobefiledwiththeCommissiondonotapplytoregistration statements in electronic format. Capital letters shall be used to satisfy bold-face type requirements. See Securities Act rules 402(d) and 403(e) and Investment Company Act rules 8b-1 and 8b-2. Signatures shall be in typed form rather than manual format. See rule13ofRegulationS-T(§232.13ofthischapter). An agency may not conduct or sponsor, and a person is not required to respond to , a collection of information unless it displays a currently valid control number. The information collected on Form N-27D-1 indicates whether the depositor or principal underwriterofanissuerofperiodicpaymentplancertificateshasaccesstosufficientcashtomeetitsstatutoryrefundobligations. This information collection facilitates the Commission's monitoring of compliance with reserve requirements. A response to thiscollectionofinformationismandatoryunder17C.F.R.§270.27d-1(j).Theestimatedaverageburdenhoursperresponseis 1 hour. Any member of the public may direct to the Commission any comments concerning the accuracy of this burden estimate and any suggestions for reducing this burden. The information collected on Form N-27D-1 is publicly available. This collection ofinformationhasbeenreviewedbytheOMBinaccordancewiththeclearancerequirementsof44U.S.C.§3507.
5. 6. 7.