ICAP Bond (5-98)
Form 17-02-1421 (Ed. 5-98) Page 19 of 19
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ENDORSEMENT/RIDER
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Effective date of this endorsement/rider: May 31, 2013
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FEDERAL INSURANCE COMPANY
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Endorsement/Rider No.
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1
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To be attached to and
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form a part of Bond No.
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81326281
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Issued to: SSGA FUNDS
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DELETING VALUATION-OTHER PROPERTY AND AMENDING CHANGE OR MODIFICATION ENDORSEMENT
In consideration of the premium charged, it is agreed that this Bond is amended as follows:
1.
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The paragraph titled Other Property in Section 9, Valuation, is deleted in its entirety.
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2.
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The third paragraph in Section 16, Change or Modification, is deleted in its entirety and replaced with the following:
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If this Bond is for a joint ASSURED, no change or modification which would adversely affect the rights of the ASSURED shall be effective
prior to sixty (60) days after written notice has been furnished to all insured
Investment Companies
and the Securities and Exchange Commission, Washington, D.C., by the COMPANY.
The title and any headings in this endorsement/rider are solely for convenience and form no part of the
terms and conditions of coverage.
All other
terms, conditions and limitations of this Bond shall remain unchanged.
17-02-2437
(12/2006) rev.
Page 1
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FEDERAL INSURANCE COMPANY
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Endorsement No:
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2
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Bond Number:
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81326281
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NAME OF ASSURED: SSGA FUNDS
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TERMINATION-NONRENEWAL-NOTICE ENDORSEMENT
It is agreed that this Bond is amended as follows:
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1.
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By adding to Section 13., Termination, the following:
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Termination By The Company Bonds In Effect For More Than Sixty (60) Days
If this Bond has been in effect for more than sixty (60) days, or, if this Bond is a renewal, the COMPANY may terminate by providing
written notice of cancellation at least sixty (60) days before the effective date of termination for at least one of the following reasons:
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1.
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Nonpayment of premium;
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2.
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Discovery of fraud or material misrepresentation in obtaining this Bond or in the presentation of a claim thereunder;
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3.
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Discovery of willful or reckless acts or omissions or violation of any provision of this Bond on the part of the ASSURED which substantially and materially increases
any hazard insured against, and which occurred subsequent to the inception of the current BOND PERIOD;
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4.
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Conviction of the ASSURED of a crime arising out of acts increasing the hazard insured against;
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5.
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Material change in the risk which increases the risk of loss after insurance coverage has been issued or renewed, except to the extent that the COMPANY should
reasonably have foreseen the change, or contemplated the risk when the contract was written;
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6.
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Determination by the Commissioner that the continuation of the Bond would jeopardize a COMPANYS solvency or would place the COMPANY in violation of the insurance
laws of any state;
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7.
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Determination by the Commissioner that continuation of the present premium volume of the COMPANY would jeopardize the COMPANYS policyholders, creditors or the
public;
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8.
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Such other reasons that are approved by the Commissioner;
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9.
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Determination by the Commissioner that the COMPANY no longer has adequate reinsurance to meet the ASSUREDS needs;
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10.
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Substantial breaches of contractual duties, conditions or warranties; or
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11.
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Unfavorable underwriting facts, specific to the ASSURED, existing that were not present at the inception of the Bond.
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ICAP Bond
Form 17-02-1360 (Rev. 10-99) Page 1
Bonds In Effect Sixty (60) Days Or Less
If this Bond has been in effect for sixty (60) days or less, and it is not a renewal Bond, the COMPANY may terminate for any reason by providing written notice of termination at least sixty
(60) days before the effective date of termination.
Notice Of Termination
Notice of termination under this Section shall be mailed or delivered, by certified mail, return receipt provided by the United States Postal Service, to the ASSURED and to the authorized agent or broker,
if any, at least sixty (60) days prior to the effective date of cancellation at the address shown on the DECLARATIONS of this Bond.
If
this Bond is cancelled for nonpayment of premium, the COMPANY will mail or deliver, by certified mail, return receipt provided by the United States Postal Service, a written notice at least thirty (30) days before the effective date of
cancellation. The cancellation notice shall contain information regarding the amount of premium due and the due date, and shall state the effect of nonpayment by the due date. Cancellation shall not be effective if payment of the amount due is made
prior to the effective date of
cancellation.
All notice of cancellation shall state the reason(s) for cancellation.
There is no liability on
the part of, and no cause of action of any nature shall arise against, the COMPANY, its authorized representatives, its employees, or any firm, person or corporation furnishing to the COMPANY, information relating to the reasons for cancellation or
nonrenewal, for any statement made by them in complying or enabling the COMPANY to comply with this Section, for the provision of information pertaining thereto, or for statements made or evidence submitted at any hearings conducted in connection
therewith, if such information was provided in good faith and without malice.
Notice Of Nonrenewal
If the COMPANY elects not to renew this Bond, the COMPANY shall mail or deliver written notice, by certified mail, return receipt, provided by the United
States Postal Service, to the ASSURED, at his last known address, at least sixty (60) days before the expiration date or before the anniversary date, if this Bond has been written for a term of more than one (1) year. Such notice shall
also be mailed to the ASSUREDS agent or broker, if any.
Such notice shall contain all of the following:
c.
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Reason for Cancellation;
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d.
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Expiration Date of the Bond;
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e.
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Effective Date and Hour of Cancellation.
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Notice of nonrenewal shall not be required if the COMPANY or a COMPANY within the same insurance group has offered to issue a renewal Bond, the ASSURED
has obtained replacement coverage or has agreed in writing to obtain replacement coverage, the ASSURED has requested or agreed to nonrenewal, or the Bond is expressly designated as nonrenewable.
ICAP Bond
Form 17-02-1360 (Rev. 10-99) Page 2
Return Premium Calculations
Any unearned premiums which have been paid by the ASSURED shall be refunded to the ASSURED on a pro rata basis if terminated by the
COMPANY or the ASSURED. The unearned premiums shall be refunded to the ASSURED within forty-five (45) days of receipt of the request for cancellation or the effective date of cancellation, whichever is later.
Conditional Renewal
If the COMPANY offers or purports to renew the Bond, but on less favorable terms or at higher rates, the new terms or higher premiums may take effect on the renewal date, if the COMPANY mails or delivers
by certified mail, return receipt provided by the United States Postal Service, to the ASSURED, notice of the new terms or premiums at least sixty (60) days prior to the renewal date. If the COMPANY notifies the ASSURED within sixty
(60) days prior to the renewal date, the new terms or premiums do not take effect until sixty (60) days after the notice is mailed or delivered, in which case, the ASSURED may elect to cancel the renewal Bond within the sixty (60) day
period. If the COMPANY does not notify the ASSURED of the new terms or premiums, the COMPANY shall continue the Bond at the expiring terms and premiums until notice is given or until the effective date of replacement coverage is obtained by the
ASSURED, whichever occurs first.
2.
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It is further understood and agreed that for the purposes of Section 13., Termination, any occurrence listed in this Section shall be considered to be a request by
the ASSURED to immediately terminate this Bond.
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This Endorsement applies to loss discovered after 12:01 a.m. on May 31,
2013.
ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED.
Date: June 14, 2013
ICAP Bond
Form 17-02-1360 (Rev. 10-99) Page 3
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ENDORSEMENT/RIDER
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Effective date of this endorsement/rider: May 31, 2013
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FEDERAL INSURANCE COMPANY
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Endorsement/Rider No.
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3
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To be attached to and
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form a part of Bond No.
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81326281
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Issued to: SSGA FUNDS
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COMPLIANCE WITH APPLICABLE TRADE SANCTION LAWS
It is agreed that this insurance does not apply to the extent that trade or economic sanctions or other similar laws or regulations prohibit the coverage
provided by this insurance.
The title and any headings in this endorsement/rider are solely for convenience and form no part of the terms and
conditions of coverage.
All other terms, conditions and limitations of this Bond shall remain unchanged.
14-02-9228 (02/2010)
Page 1
Important Notice:
The SEC Requires Proof of Your Fidelity Insurance Policy
Your company is now required to
file an electronic copy of your fidelity insurance coverage (Chubbs ICAP Bond policy) to the Securities and Exchange Commission (SEC), according to rules adopted by the SEC on June 12, 2006.
Chubb is in the process of providing your agent/broker with an electronic copy of your insurance policy as well as instructions on how to submit this
proof of fidelity insurance coverage to the SEC. You can expect to receive this information from your agent/broker shortly.
The electronic
copy of your policy is provided by Chubb solely as a convenience and does not affect the terms and conditions of coverage as set forth in the paper policy you receive by mail. The terms and conditions of the policy mailed to you, which are the same
as those set forth in the electronic copy, constitute the entire agreement between your company and Chubb.
If you have any questions, please
contact your agent or broker.
Form 14-02-12160 (ed. 7/2006)
POLICYHOLDER
DISCLOSURE NOTICE OF
TERRORISM INSURANCE COVERAGE
(for policies with no terrorism exclusion or sublimit)
You are hereby notified that, under the Terrorism Risk Insurance Act (the Act), effective December 26, 2007, this policy makes available to you insurance for losses arising out of certain
acts of terrorism. Terrorism is defined as any act certified by the Secretary of the Treasury, in concurrence with the Secretary of State and the Attorney General of the United States, to be an act of terrorism; to be a violent act or an act that is
dangerous to human life, property or infrastructure; to have resulted in damage within the United States, or outside the United States in the case of an air carrier or vessel or the premises of a United States Mission; and to have been committed by
an individual or individuals as part of an effort to coerce the civilian population of the United States or to influence the policy or affect the conduct of the United States Government by coercion.
You should know that the insurance provided by your policy for losses caused by acts of terrorism is partially reimbursed by the United States under the
formula set forth in the Act. Under this formula, the United States pays 85% of covered terrorism losses that
exceed the statutorily
established deductible to be paid by the insurance company providing the coverage.
However, if aggregate insured losses attributable to
terrorist acts certified under the Act exceed $100 billion in a Program Year (January 1 through December 31), the Treasury shall not make any payment for any portion of the amount of such losses that exceeds $100 billion.
10-02-1281 (Ed. 1/2003)
If aggregate insured losses attributable to terrorist acts certified under the Act exceed $100 billion in a
Program Year (January 1 through December 31) and we have met our insurer deductible under the Act, we shall not be liable for the payment of any portion of the amount of such losses that exceeds $100 billion, and in such case insured losses up
to that amount are subject to pro rata allocation in accordance with procedures established by the Secretary of the Treasury.
The portion of
your policys annual premium that is attributable to insurance for such acts of terrorism is: $
-0-.
If you have any questions
about this notice, please contact your agent or broker.
10-02-1281 (Ed. 1/2003)
IMPORTANT NOTICE TO POLICYHOLDERS
All of the members of the Chubb Group of Insurance companies doing business in the United States (hereinafter Chubb)
distribute their products through licensed insurance brokers and agents (producers). Detailed information regarding the types of compensation paid by Chubb to producers on US insurance transactions is available under the Producer
Compensation link located at the bottom of the page at www.chubb.com, or by calling 1-866-588-9478. Additional information may be available from your producer.
Thank you for choosing Chubb.
10-02-1295 (ed. 6/2007)
SECRETARYS CERTIFICATE
I, David James, Secretary of SSgA Funds (the Fund), hereby certify that the following resolutions were approved by the Board of Trustees of the Fund (which is comprised of a majority of
Trustees who were not considered interested persons as that term is defined in the Investment Company Act of 1940, as amended (1940 Act)) at a meeting duly called and held on May 23, 2013:
RESOLVED,
that a Fidelity Bond issued by the Federal Insurance Company in the amount of $2,500,000, and a one-year prepaid premium
of $12,000 is consistent with the best interest of the SSgA Funds and that the payment of such premium be, and hereby is, approved.
RESOLVED,
that the Secretary of the SSgA Funds be, and hereby is designated as the officer to make the filings and give the notices required by Rule 17g-1(g) under the Investment Company Act of
1940, as amended.
IN WITNESS WHEREOF, I have hereunto set my hand this 24th day of June, 2013.
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/s/ David James
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David James
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Secretary
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SSgA Funds
One Lincoln Street
Boston, MA 02111
June 24, 2013
VIA EDGAR
Securities and Exchange Commission
100 F Street, N.E.
Washington, D.C. 20549
Attention: Office of Filings, Information & Consumer Service
Re:
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SSgA Funds (File No.: 811-05430)
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(the Fund)
Fidelity Bond Filing Pursuant to Rule 17g-1
Dear Sir/Madam:
Pursuant to Rule 17g-1 of the Investment Company Act of 1940, as amended, please be advised that the premium associated with the Funds Investment
Company Blanket Bond in the amount of $2,500,000 has been processed for payment for the May 31, 2013 to May 31, 2014 policy year.
If you have any questions, please give me a call at 617-662-1742.
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Very truly yours,
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/s/ David James
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David James
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Secretary
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