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Fund Change Types


Master Category of ChangeCategory of ChangeDate AddedDate EndedDescription
Fee and Expense / Pricing12b-1 and Shlder Service Fee1/1/2002 This refers to changes to the 12b-1 fees or 12b-1/non-12b-1 related shareholder servicing fees.
Fee and Expense / PricingAdvisory Fee Waiver1/1/2002 This refers to a temporary or contractual waiver of Adviser Fees by Adviser.
Fee and Expense / PricingAdvisory Schedule1/1/2002 This refers to a change in the management fee schedule.
Fee and Expense / PricingCDSC Schedule1/1/2002 This refers to changes to a Fund Share’s Contingent Deferred Sales Charge (CDSC). It could be the removal, addition, and change in number of months or the fee.
Fee and Expense / PricingCDSC Waivers11/11/2003 This refers to categories of investors who will be exempt from the CDSC sales charge.
Fee and Expense / PricingDealer Compensation/Concession1/1/2002 This refers to any change in Dealer compensation (may include a sale on a Fund’s sales charges in which the Dealer will be compensated in a certain way for the sales of the shares).
Fee and Expense / PricingExpense Waiver1/1/2002 This refers to additions, removals or changes to expense waivers that are placed on Operating expenses, either Total or Net. These may include waivers on Other Expenses, although this is rare.
Fee and Expense / PricingFront-End Sales Charge1/1/2002 This refers to changes to a Fund share’s front-end sales load. This does not include Contingent Deferred Sales Charge changes.
Fee and Expense / PricingFront-End Sales Charge Waivers11/11/2003 This refers to categories of investors who will be exempt from the front-end sales charge.
Fee and Expense / PricingNAV Transfer Policies11/11/2003 This refers to NAV Transfer Policies.
Fee and Expense / PricingPR Fee Tab Tracking2/12/200712/31/9998 
Fee and Expense / PricingRedemption Exemptions11/11/2003 This refers to categories of investors who are exempt from paying the redemption fee.
Fee and Expense / PricingRedemption Fee1/1/2002 This refers to changes to a fund shares redemption fees. This could include number of months as well as, an addition or removal of a fee.
Fee and Expense / PricingSub-advisory Fee Waiver1/1/2002  
Fee and Expense / PricingSub-advisory Schedule1/1/2002 This refers to the changes to the Sub-Advisors fees or fee schedule. This can also include Sub-advisor agreement date extensions.
Fee and Expense / PricingTotal / Other Expense Cap1/1/2002 This refers to the addition, removal or change to a cap on Total Operating Expenses. This can include a cap on Net Operating Expenses, as well as a cap on Other Expenses (although this is rare). These do not include Adviser caps.
Fund GeneralClass Name1/1/2002 This refers to changes to a class name.
Fund GeneralClass Reorganization1/1/2002 This refers to a class reorganizing into an existing class of Fund shares.
Fund GeneralFund Name1/1/2002 This refers to changes to a Fund name.
Fund GeneralFund/Class Closing to All/Certain Existing Investors1/1/2002 This refers to the closing of the Fund or Class to existing shareholders. It can be closing of the entire fund / class or partial closing to certain types of shareholders.
Fund GeneralFund/Class Re-Opening to All/Certain Existing Investors1/1/2002 This refers to a fund or class that was open, then was closed and is now re-opening to purchases and exchanges from existing investors. It can be re-opening of the entire fund / class or partial re-opening to certain types of shareholders.
Fund GeneralFund/Class Re-Opening to All/Certain New Investors1/1/2002 This refers to a fund or class that was open, then was closed and is now re-opening to purchases from new investors. It can be re-opening of the entire fund / class or partial re-opening to certain types of shareholders.
Fund GeneralMaximum Investment3/1/2004 This refers to changes to the maximum initial and maximum subsequent investment. This includes plans and programs, for ex, IRA’s or shares purchased through educational programs.
Fund GeneralMinimum Investment1/1/2002 This refers to changes to the minimum initial and minimum subsequent investment. This includes plans and programs, for ex, IRA’s or shares purchased through educational programs.
Fund GeneralObjective1/1/2002 This refers to changes to the objective of a Fund.
Fund GeneralPerformance Benchmark Index2/1/2005  
Fund GeneralStrategy1/1/2002 This refers to changes to the principal investment strategy, as well as, changes from diversified to non-diversified of a fund.
Funds Closed to New InvestorsFund/Class Closing to All/Certain New Investors1/1/2002 This refers to the closing of a fund or Class. It can be closing of the entire fund / class or partial closing to certain types of shareholders.
LiquidationsLiquidation1/1/2002 This refers to the permanent closing of a fund.
MA/ReorganizationsFund Reorganization1/1/2002 This refers to a Fund reorganizing into another fund.
MA/ReorganizationsMerger/Acquisition1/1/2002 This refers to the purchasing of a majority of interest in a company’s assets or some other variation of buying out a company.
Portfolio ManagersPortfolio Manager1/1/2002 This refers to a change in the portfolio managers that manage a particular fund.
RegulatoryRegulatory - Distribution Arrangements3/22/20042/11/2005This refers to Distribution Regulatory Issues.
RegulatoryRegulatory - Market Timing9/25/20032/11/2005This refers to the Market Timing / Short-Term Trading / Fair Price prospectus legal language.
RegulatoryRegulatory - Miscellaneous12/5/20032/11/2005This refers to Miscellaneous Regulatory Issues
RegulatoryRegulatory - Sub-advisory12/5/20032/11/2005This refers to Sub-advisory Regulatory Issues (for example, exemptive orders).
Service ProvidersAccounting Council1/1/2002 This refers to any change in the Accounting Firm with regard to fees or otherwise.
Service ProvidersAdministrator1/1/2002 This refers to any change in the Administrator, fees or otherwise.
Service ProvidersAuditor1/1/2002 This refers to any change in the Auditor, fees or otherwise.
Service ProvidersCustodian1/1/2002 This refers to any change in the Custodian, fees or otherwise.
Service ProvidersDistributor1/1/2002 This refers to any change in the Distributor, fees are not included if they relate to the Fee Table.
Service ProvidersLegal Counsel1/1/2002 This refers to any change in the Legal Council, fees or otherwise.
Service ProvidersTransfer Agent1/1/2002 This refers to any change in the Transfer Agent, fees or otherwise. Shareholder Service Agent will also be included here, as well.
Subadvisory/Advisory RelationshipsAdvisor Addition1/22/200712/31/9998Usually used for funds that have multiple advisors, such as some Vanguard funds.
Subadvisory/Advisory RelationshipsAdvisor Drop-out1/1/2002 This refers to the removal or termination of the Advisor and there is no replacement.
Subadvisory/Advisory RelationshipsAdvisor Name1/1/2002 This refers to an Adviser name change.
Subadvisory/Advisory RelationshipsAdvisor Replacement1/1/2002 This refers to a change in Advisors.
Subadvisory/Advisory RelationshipsSub-advisor Addition1/1/2002 This refers to an addition of a sub-adviser (both where there previously was none and within multiple).
Subadvisory/Advisory RelationshipsSub-advisor Drop-out1/1/2002 This refers to the removal or termination of a sub-adviser, with no replacement and no other sub-advisers for the Fund.
Subadvisory/Advisory RelationshipsSub-advisor Drop-out (within multiple)1/1/2002 This refers to the removal or termination of a sub-adviser, when there are more than one sub-advisers for the Fund.
Subadvisory/Advisory RelationshipsSub-advisor Name1/1/2002 This refers to a sub-adviser name change.
Subadvisory/Advisory RelationshipsSub-advisor Replacement1/1/2002 This refers to one sub-adviser replacing the other. There may be more than one sub-advisor for the Fund.
Unique FilingsSpecial Event Filings4/1/2005 Special Event Filings - Unique supplement filings from the SEC that defy categorization, such as: announcements of large redemptions, corporate acquisitions/mergers,strange or interesting litigation, etc.

 

 

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