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ICA-7-1 Registration Statement of the Investment Company Act

SEC registration statement for mutual fund/ investment company under section 7 iof the investment company act

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REGISTRATION STATEMENT UNDER SECTION 7
OF THE INVESTMENT COMPANY ACT

1. SEC Identification Number ................................
2. ..........................................................................................
Exact name of registrant as specified in its charter
3. .................................................................
Province, country or other jurisdiction of
incorporation or organization

4. ...............................................
BIR Tax Identification Number

5. ..........................................................................................
General character of business of registrant.
6. Industry Classification Code:

(SEC Use Only)

7. ............................................................................................................................................
Address, including postal code, telephone number, FAX number including area code, of
registrant's principal offices
8. Fiscal Year Ending Date (Month and Day) : .................................

PART I – ORGANIZATION AND GENERAL INFORMATION

Item 1.

General Information
a. Name of the registrant
b. Form of organization and date of registration
c.

Item 2.

General character of business of registrant (whether closed-end or oen-end and
whether the registrant proposed to operate as a diversified or non-diversified
investment company)

Fundamental Policies and Registrant
Describe the policy or proposed policy of the registrant with respect to each of the
following activities:
a. The issuance of senior securities
b. The borrowing of money
c.

The underwriting of investment in particular industries

d. The concentration of investments in particular industries
e. The purchase and sale of real estate
f.

The purchase and sale of commodities and commodity contracts

g. The making of loans to other persons
h.
i.

Subscription payment

j.

Item 3.

Portfolio turnover

Investment category (aggressive, growth-oriented or conservative)

Policies with respect to Security Investments

Described the investment policy of the registrant with respect to the following matters which is
not described as a fundamental policy of the registrant under Item 2 indicating which of such
investment policies may not be changed without stockholder action:
a. Types of securities (e.g. listed stocks, bonds, preferred stock) which it may invest in and
indicating the proportion of the assets which may be invested in each such type of
security.
b. The percentage of assets which it may invest in the securities of any one issuer,
c.

The percentage of voting securities of any one issuer which it may acquire

d. Investment in companies for the purpose of exercising control or management
e. Investment in securities of other investment companies

SEC Form ICA 7-1 * Updated 22Sep2017

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f.

Any other investment policy not specified above or in Item 2 which is set forth in the
registrant’s Article of Incorporation , By-Laws or Prospectus

g. Investment in:
(1) Margin purchase of securities
(2) Precious metals
(3) Unlimited liability investments
(4) Short selling of currencies
(5) Short selling of investments

Item 4.

Persons Owning Equity Securities of Registrant

Furnish the following information as to all equity securities of the registrant owned by the
following persons as of a specified date within 90days prior to the date of filing:
a. Names and addresses of persons who directly own, control or hold and have power to
vote ten percent (10%) or more of the outstanding voting securities of the registrant.
b. Names and addresses of every company other than the registrant of which each such
person is an officer, director or partner.

Item 5.

Number of Holders of Equity Securities

State the approximate number of stockholders of records of the registrant as of a specified
date within 90 days prior to the date of filing.

Item 6.

Directors and Executive Officers

Furnish the information required by the following table as to all directors and officers of the
registrant.
Name

Item 7.

Position

Members of the Advisory Board of Registrant

If the registrant has an advisory board, furnish the information specified in the following table
as to each member of such board.
Name

SEC Form ICA 7-1 * Updated 22Sep2017

Position

Page 3 of 7

Item 8.

Remuneration of Directors, Officers and Members of Advisory Board

Furnish the information required by the following table as to all directors, officers and
members of the advisory board of the registrant.
Name of Director, Officer or
Member of Advisory Board

Capacity
in
which
remuneration is received

Aggregate remuneration*

*State the period covered (such as per month, per annum, per meeting attended, etc.)

Item 9.

Custodian of Portfolio of Securities
a. State the name and principal address of the commercial bank which shall act as
custodian to hold the funds and portfolio securities of the registrant.
b. Describe the arrangements under which such funds and securities are held for to be held,
including the basis upon which the remuneration for such services is determined.

Item 10.

Investment Adviser/Manager

Furnish the following as to each investment adviser/manager of the registration:
a. Name and principal address.
b. Names and addresses of any affiliated person of the registrant who is also an affiliated of
the investment adviser/manger and the nature of the affiliation.
c.

A brief description of the investment advisory/management contract, including the basis
for determining the remuneration of the investment adviser/manager.

Item 11.
Management

Business and Other Connection of Investment Advisor/ Managers and their

Describe briefly any other business, profession, vocation or employment of a substantial
nature in which each investment adviser/manager of the registrant and each director, officer or partner
of such investment adviser/manager is engaged for his own account or in the capacity of director,
officer, employee, partner or trustee.

Item 12.

Capital Stock/Securities to be Registered

Furnish the following information regarding the capital stock/certificates to be registered:
a. Outline briefly:
(1) Dividend rights
(2) Voting rights
(3) Pre-emptive rights
(4) Redemption rights
(5) Payment of subscriptions

SEC Form ICA 7-1 * Updated 22Sep2017

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b. If the rights of holders of such stock may be modified other than a vote of a majority or
more of the shares outstanding, voting as a class, so state and explain briefly.
c.

Par value and number of shares to be issued.

d. The names and addresses of independent counsel who have passed upon the legality of
the issue.

Item 13.

Long-Term/Funded Debt

If the registrant has a long-term/funded debt, describe briefly.

Item 14.

General Information as to Distribution of Securities

a. State whether the registrant is currently offering its securities for sale.
b. List all countries, states and other jurisdiction where the securities of the registrant may
ne lawfully sold by the registrant, its underwriter or dealers.
c.

Item 15.

State the extent of ownership of the outstanding shares of the registrant by foreign
nationals.

Pricing of Securities for Sales, Redemption or Repurchase

a. Describe briefly the method followed or to be followed by the registrant in determining the
price at which its securities will be offered to the public, redeemed or repurchased, and
furnish as specimen price make-up sheet showing the method of computing the offering,
redemption or repurchase price per share, using as a basis the value of the registrant’s
net assets and its outstanding securities as of the date of the balance sheet filed with this
registration statement.
b. State the sales load/s expressed as a percentage of the public offering price and indicate
the portion thereof to be received by dealers and the portion to be retained by the
principal underwriters/distributors.
c.

Item 16.

Describe briefly any provision in the registrant’s charter or in any subscription agreement
or other instrument which specifically authorizes the reinvestment in the registrant’s
securities of the proceeds of dividends or similar distributions made thereon.

Principal Underwriters/Distributors

Furnish the following information with respect to each principal underwriter/distributor
currently distributing or intending to distribute securities of the registrant:
a. Name, principal address and nature of any material relationship with the registrant (other
than that of a principal underwriter/distributor).
b. State the name of each investment company (other than the registrant and closed-end
companies) for which the principal underwriter/distributor also acts as principal
underwriter/distributor, stockholders or investment adviser/manager.

SEC Form ICA 7-1 * Updated 22Sep2017

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Item 17.

Management of Principal Underwriter/Distributor

Furnish the information required by the following table with respect to each director, officer or
partner of each principal underwriter/distributor names in answer to Item 16.
Name

Item 18.

Position

Compensation of Underwriter/ Principal Distributor

Furnish the information required by the following table with respect to all commissions and
other compensation and profits received by each principal underwriter/distributor names in answer to
item 16.
Name of
Principal
Underwriter/
Distributor

Item 19.

Net underwriting
discounts and
commissions

Compensation
or profit on
redemptions and
repurchase

Brokerage
Commission

Others

Capitalization

Authorized Capital:
Subscribed Capital:
Paid-up Capital:
PART II – OTHER INFORMATION

Item 20.

Financial Statements

Item 21.

Prospectus

Item 22.

Exhibits

SEC Form ICA 7-1 * Updated 22Sep2017

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SIGNATURES

Pursuant to the requirements of the Investment Company Act, this registration statement has
been signed by the following persons in the capacities and on the dates indicated.

By:
________________________
Chairman of the Board

_________________________
Principal Executive Officer

________________________
Member

_________________________
Principal Operating Officer

________________________
Member

_________________________
Principal Financial Officer

________________________
Member

_________________________
Comptroller

________________________
Member

SUBSCRIBED AND SWORN to before me this _____ day of _________ 20____ affiants
exhibiting to me their identification, as follows:

NAMES

GOVT ISSUED ID and NO.

____________________
____________________
____________________
____________________
____________________

SEC Form ICA 7-1 * Updated 22Sep2017

_____________
_____________
_____________
_____________
_____________

DATE OF ISSUE

PLACE OF ISSUE

_______________
_______________
_______________
_______________
_______________

________________
________________
________________
________________
________________

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