Nets Trust - Designate a new effective date for a post-effective amendment previously filed pursuant to Rule 485(a) (485BXT)
03 Octobre 2008 - 10:24PM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on October 3, 2008
Securities Act of 1933 Registration No. 333-147077
Investment Company Act of 1940 Registration No. 811-22140
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933 [X]
Pre-Effective Amendment No. [ ]
Post-Effective Amendment No. 5
[X]
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 7
[X]
(Check appropriate box or boxes)
NETS TRUST
(Exact Name of Registrant as Specified in Charter)
50 South LaSalle Street
Chicago, Illinois 60603
(Address of Principal Executive Offices)
800-595-9111
(Registrant's Telephone Number, including Area Code)
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Name and Address of Agent for Service:
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with a copy to:
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Diana E. McCarthy, Esquire
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Craig Carberry, Esq.
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Drinker Biddle & Reath LLP
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The Northern Trust Company
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One Logan Square
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Legal Department, M-9
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18th and Cherry Streets
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50 S. LaSalle Street
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Philadelphia, Pennsylvania 19103-6996
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Chicago, Illinois 60675
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Approximate Date Of Proposed Public Offering: As soon as practicable after the effective date of this registration statement.
It is proposed that this filing will become effective (check appropriate box)
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[ ]
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immediately upon filing pursuant to paragraph (b)
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[X]
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on October 13, 2008
pursuant to paragraph (b)
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[ ]
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60 days after filing pursuant to paragraph (a)(1)
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[ ]
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on (date) pursuant to paragraph (a)(1)
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[ ]
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75 days after filing pursuant to paragraph
(a)(2)
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[ ]
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on (date) pursuant to paragraph (a)(2)
of rule 485.
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If appropriate, check the following box:
[X] this post-effective amendment designates a new effective date for a previously filed post-effective amendment.
PART C
OTHER INFORMATION
Explanatory Note
Designation of New Effective Date for Previously Filed Amendment
This Post Effective Amendment No. 5 is being filed
pursuant to Rule 485(b)(1)(iii) of the Securities Act of 1933, as amended (“1933
Act”), solely for the purpose of designating October 13, 2008 as the new
date upon which the Registrant’s Post-Effective Amendment No. 2 shall become
effective. Post-Effective Amendment No. 2 was filed on July 9, 2008 and, pursuant
to Rule 485(a)(1) of the 1933 Act, was scheduled to become effective on September
22, 2008. Post Effective Amendment No. 4 was filed on September 19, 2008, pursuant to Rule 485(b)(1)(iii) of the 1933 Act to extend the effective
date of Post Effective Amendment No. 2 to October 6, 2008.
This Post-Effective Amendment No. 5 incorporates
by reference the information contained in Parts A and B of the Post Effective
Amendment No. 2. Part C is filed herewith.
Item 23.
Exhibits
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(a)
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(1)
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Certificate of Trust
1
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(2)
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Agreement and Declaration of Trust
3
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(b)
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By-Laws of the Trust
2
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(c)
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Not applicable
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(d)
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(1)
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Investment Advisory and Ancillary Services Agreement between the Trust
and Northern Trust Investments, N.A.
5
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(e)
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(1)
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Distribution Agreement between the Trust and the Distributor
4
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(2)
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Form of Participant Agreement
2
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(f)
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Not applicable
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(g)
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(1)
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Domestic Custody Agreement between the Trust and JPMorgan Chase
Bank, N.A.
3
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(2)
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Global Custody Rider to Domestic Custody Agreement between the Trust
and JPMorgan Chase Bank, N.A.
3
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(h)
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(1)
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Agency Services Agreement between the Trust and JPMorgan Chase
Bank, N.A.
3
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(2)
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Fund Service Agreement between the Trust and J.P. Morgan Investor
Services Co.
3
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(3)
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Form of Sublicense Agreement between the Trust and Northern Trust
Investments, N.A.
2
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(4)
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PFO/Treasurer Services Agreement
5
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(i)
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(1)
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Opinion of Drinker Biddle & Reath
LLP
6
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(j)
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(1)
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Consent of independent public accounting firm
6
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(k)
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Not applicable
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1
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(l)
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Not applicable
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(m)
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Not applicable
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(n)
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Not applicable
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(o)
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Not applicable
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(p)
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(1)
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Code of Ethics of the Trust
2
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(2)
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Code of Ethics of Northern Trust Investments, N.A.
2
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(q)
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(1)
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Powers of Attorney
2
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1
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Incorporated herein by reference to the Initial Registration Statement filed on November 1, 2007.
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2
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Incorporated herein by reference to Pre-Effective Amendment No. 1 filed on February 13, 2008.
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3
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Incorporated herein by reference to Pre-Effective Amendment No. 2 filed on March 17, 2008.
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4
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Incorporated herein by reference to Post-Effective Amendment No. 1 filed on July 9, 2008.
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5
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Incorporated herein by reference
to Post-Effective Amendment No. 3 filed on August 26, 2008.
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6
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To be filed by amendment.
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Item 24.
Persons Controlled by or Under Common Control with Registrant
None.
Item 25.
Indemnification
Section 3 of Article IV of the Registrant’s Agreement and Declaration of Trust, a copy of which is incorporated by reference herein as Exhibit (a)(1), provides
for indemnification of the Registrant’s officers and Trustees under certain circumstances.
Section 7 of the Investment Advisory and Ancillary Services Agreement between the Registrant and the investment adviser (the “Adviser”) provides for indemnification of the Adviser or, in
lieu thereof, contribution by Registrant, in connection with certain claims and liabilities to which the Adviser may be subject. A copy of the Investment Advisory and Ancillary Services Agreement is included as Exhibit (d)(1).
A mutual fund trustee and officer liability policy purchased by the Registrant insures the Registrant and its Trustees and officers, subject to the policy’s coverage limits and exclusions and varying deductibles, against
loss resulting from claims by reason of any act, error, omission, misstatement, misleading statement, neglect or breach of duty.
2
Item 26.
Business and Other Connections of Investment Advisers
Northern Trust Investments, N.A. (“NTI”) a wholly-owned subsidiary of The Northern Trust Company (“TNTC”), an Illinois state chartered bank, serves as the investment adviser of the
Funds. TNTC is a wholly-owned subsidiary of Northern Trust Corporation, a financial holding company. NTI is located at 50 South LaSalle Street, Chicago, IL 60603. Unless otherwise indicated, NTI and TNTC are referred to collectively as
“Northern Trust.”
Set forth below is a list of officers and directors of NTI, together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by such officers
and directors during the past two years. Most officers and directors of NTI hold comparable positions with TNTC (other than as director), as indicated below, and certain other officers of NTI hold comparable positions with Northern Trust Bank, N.A.,
a wholly-owned subsidiary of Northern Trust Corporation. The tables below were provided to the Registrant by the Investment Adviser for inclusion in this Registration Statement.
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Name and Position with Investment
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Name of Other Company
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Position with Other Company
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Adviser (NTI)
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Walid T. Abdul Karim,
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The Northern Trust Company
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Vice President
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Vice President
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Bradford S. Adams, Jr.,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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James A. Aitcheson,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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Darlene Allen,
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The Northern Trust Company
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Vice President
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Vice President
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Brayton B. Alley,
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The Northern Trust Company
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Vice President
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Vice President
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David M. Alongi,
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The Northern Trust Company
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Vice President
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Vice President
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Stephen G. Atkins,
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The Northern Trust Company
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Vice President
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Vice President
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Scott R. Ayres,
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The Northern Trust Company
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Vice President
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Vice President
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Frederick A. Azar,
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The Northern Trust Company
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Vice President
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Vice President
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Richard E. Balon, Jr.,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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3
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Name and Position with Investment
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Name of Other Company
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Position with Other Company
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Adviser (NTI)
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Walid S. Bandar,
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The Northern Trust Company
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Vice President
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Vice President
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Ellen G. Baras,
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The Northern Trust Company
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Vice President
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Vice President
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Andrea C. Barr,
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The Northern Trust Company
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Vice President
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Vice President
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Jeremy M. Baskin,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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Belinda M. Basso,
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The Northern Trust Company
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Vice President
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Vice President
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Carl P. Beckman,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President & Treasurer
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Gregory S. Behar,
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The Northern Trust Company
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Vice President
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Vice President
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Jacquelyn M. Benson,
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The Northern Trust Company
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Vice President
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Vice President
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Robert H. Bergson,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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Timothy P. Blair,
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The Northern Trust Company
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Vice President
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Vice President
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Ali K. Bleecker,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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Eric Vonn Boeckmann,
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The Northern Trust Company
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Vice President
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Vice President
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Julia Bristow Briggs,
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The Northern Trust Company
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Vice President
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Vice President
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Steven Brodeur,
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The Northern Trust Company
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Vice President
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Vice President
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4
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Name and Position with Investment
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Name of Other Company
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Position with Other Company
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Adviser (NTI)
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Kieran Browne,
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The Northern Trust Company
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Vice President
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Vice President
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Elizabeth J. Buerckholtz,
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The Northern Trust Company
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Vice President
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Vice President
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Martin B. Bukoll,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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Richard C. Campbell, Jr.,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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Craig R. Carberry,
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The Northern Trust Company
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Senior Attorney
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Secretary
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Christopher W. Carlson,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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Mark D. Carlson,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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Robert A. Carlson,
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The Northern Trust Company
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Vice President
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Vice President
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Lisa R. Carriere,
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The Northern Trust Company
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Vice President
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Vice President
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Keith D. Carroll,
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The Northern Trust Company
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Vice President
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Vice President
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Clinton S. Cary,
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The Northern Trust Company
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Vice President
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Vice President
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Edward J. Casey,
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The Northern Trust Company
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Vice President
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Vice President
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Michael R. Chico,
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The Northern Trust Company
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Vice President
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Vice President
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Richard L. Clark,
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The Northern Trust Company
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Vice President
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Vice President
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John Sterling Cole II,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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5
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Name and Position with Investment
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Name of Other Company
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Position with Other Company
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Adviser (NTI)
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Kevin Anthony Connellan,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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David A. Corris,
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The Northern Trust Company
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Vice President
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Vice President
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Joseph H. Costello,
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The Northern Trust Company
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Vice President
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Vice President
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Stephen J. Cousins,
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The Northern Trust Company
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Vice President
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Vice President
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John P. Cristello,
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The Northern Trust Company
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Vice President
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Vice President
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Alain Cubeles,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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Susan C. Czochara,
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The Northern Trust Company
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Vice President
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Vice President
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Louis R. D’Arienzo,
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Northern Trust Bank, N.A.
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Vice President
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Vice President
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James Danaher,
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The Northern Trust Company
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Vice President
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Vice President
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Jordan D. Dekhayser,
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The Northern Trust Company
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Vice President
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Vice President
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William Dennehy II,
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The Northern Trust Company
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Vice President
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Vice President
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Michael C. Dering,
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The Northern Trust Company
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Vice President
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Vice President
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Philip S. DeSantis,
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The Northern Trust Company
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Vice President
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Vice President
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Timothy J. Detroy,
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The Northern Trust Company
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Vice President
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Vice President
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Caroline E. Devlin,
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The Northern Trust Company
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Vice President
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Vice President
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6
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Name and Position with Investment
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Name of Other Company
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Position with Other Company
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Adviser (NTI)
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Joseph R. Diehl, Jr.,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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John C. Doell,
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The Northern Trust Company
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Vice President
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Vice President
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Anna Dvinsky Domb,
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The Northern Trust Company
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Vice President
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Vice President
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Michael T. Doyle,
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The Northern Trust Company
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Vice President
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Vice President
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Peter John Driscoll,
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The Northern Trust Company
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Vice President
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Vice President
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Michael J. Drucker,
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The Northern Trust Company
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Vice President
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Vice President
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Orie Leslie Dudley, Jr.,
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The Northern Trust Company and
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Executive Vice President and
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Director, Executive
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Northern Trust Corporation
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Chief Investment Officer
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Vice President & CIO
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Margret Eva Duvall,
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The Northern Trust Company
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Vice President
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Vice President
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Patrick E. Dwyer,
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The Northern Trust Company
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Vice President
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Vice President
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Benjamin Easow,
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The Northern Trust Company
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Vice President
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Vice President
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Craig Steven Edwards,
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The Northern Trust Company
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Vice President
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Vice President
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Michael P. Egizio,
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The Northern Trust Company
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Vice President
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Vice President
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Shannon L. Eidson,
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The Northern Trust Company
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Vice President
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Vice President
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Deborah S. English,
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The Northern Trust Company
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Vice President
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Vice President
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Steven R. Everett,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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7
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Name and Position with Investment
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Name of Other Company
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Position with Other Company
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Adviser (NTI)
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Peter, K. Ewing,
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The Northern Trust Company
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Senior Vice President
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Senior Vice President
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Rosa E. Fausto,
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The Northern Trust Company
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Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Gregory Fink,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
David B. Fitchett,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Peter J. Flood,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
Joseph J. Flowers,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Carolyn D. Franklin,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Lee R. Freitag,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Christopher A. Fronk,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
Sophia S. Gellen,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Stephanie L. Geller,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
Kim Marie Geraghty,
|
|
The Northern Trust Company
|
|
Former Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Jennifer Ann Gerlach,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Donna Gingras,
|
|
Northern Trust Securities, Inc.
|
|
Senior Vice President
|
|
Senior Vice President & Controller
|
|
|
|
|
|
|
|
Izabella Goldenberg,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
8
|
Name and Position with Investment
|
|
Name of Other Company
|
|
Position with Other Company
|
|
Adviser (NTI)
|
|
|
|
|
|
|
|
Mark C. Gossett,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Director, Senior Vice President
|
|
|
|
|
|
& COO
|
|
|
|
|
|
|
|
Katherine D. Graham,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
Robert S. Gray,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
Laura Jean Gregg,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Michelle D. Griffin,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Ann M. Halter,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Alice S. Hammer,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Scott A. Hammond,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Geoffrey M. Hance,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
William A. Hare,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Alec R. Harrell,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Nora J. Harris,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Philip Dale Hausken,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
Sheri Barker Hawkins,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
9
|
Name and Position with Investment
|
|
Name of Other Company
|
|
Position with Other Company
|
|
Adviser (NTI)
|
|
|
|
|
|
|
|
|
|
|
|
Jennifer A. Heckler,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Robert G. Heppell,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Stefanie Jaron Hest,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Kent C. Hiemenz,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Susan Hill,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Jackson L. Hockley,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Jean-Pierre Holland,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Bruce S. Honig,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Ylondia M. Hudson,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
William E. Hyatt,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Daniel T. Hynes,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Richard J. Inzunza,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
John W. Iwanicki,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Tamara L. Jackson,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Peter M. Jacobs,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
10
|
Name and Position with Investment
|
|
Name of Other Company
|
|
Position with Other Company
|
|
Adviser (NTI)
|
|
|
|
|
|
|
|
|
|
|
|
Chrisopher J. Jaeger,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Amy L. Johnson,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Barbara M. Johnston,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Lucia A. Johnston,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Evangeline Mendoza Joves,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
David P. Kalis,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Kathleen Kalp,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Ann F. Kanter,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Kendall Lee Kay,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Archibald E. King III,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Deborah L. Koch,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
John A. Konstantos,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Konstantinos S. Kordalis,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Donald H. Korytowski,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
11
|
Name and Position with Investment
|
|
Name of Other Company
|
|
Position with Other Company
|
|
Adviser (NTI)
|
|
|
|
|
|
|
|
|
|
|
|
Nikolas Kotsogiannis,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Michael R. Kovacs,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Michael L. Krauter,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Kevin R. Kresnicka,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
John L. Krieg,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
David Lamb,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Heather M. Letts,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Dustin A. Lewellyn,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Julie M. Loftus,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Lyle Logan,
|
|
The Northern Trust Company
|
|
Executive Vice President
|
|
Director & Executive Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Jeanne M. Ludwig,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Mary Lukic,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Lisa Ann Lupi,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Cary J .Lyne,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
William A. Lyons,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
12
|
Name and Position with Investment
|
|
Name of Other Company
|
|
Position with Other Company
|
|
Adviser (NTI)
|
|
|
|
|
|
|
|
|
|
|
|
Stella Mancusi,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
George P. Maris,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Daniel James Marshe,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Deborah A. Mastuantuono,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Peter L. Matteucci,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Mary Jane McCart,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
James D. McDonald,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Lisa M. McDougal,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Douglas J. McEldowney,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Timothy T. McGregor,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
David K. McHugh,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Melinda S. Mecca,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Ashish R. Mehta,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Marilyn J. Meservey,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President & Asst. Treasurer
|
|
|
|
|
|
|
|
|
|
|
|
Peter M. Michaels,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
13
|
Name
and Position with Investment
|
|
Name
of Other Company
|
|
Position
with Other Company
|
|
Adviser
(NTI)
|
|
|
|
|
|
|
|
|
|
|
|
John P. Mirante,
|
|
The Northern
Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Tomothy A.
Misik,
|
|
The Northern
Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
James L.
Mitchell,
|
|
The Northern
Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Scott O.
Muench,
|
|
Northern
Trust Bank, N.A.
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Shaun D.
Murphy,
|
|
The Northern
Trust Company
|
|
Senior Vice
President
|
|
Senior Vice
President
|
|
|
|
|
|
|
|
|
|
|
|
Matthew L.
Myre,
|
|
The Northern
Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Curtis A.
Nass,
|
|
The Northern
Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Charles J.
Nellans,
|
|
The Northern
Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Daniel J.
Nelson,
|
|
The Northern
Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Eric D. Nelson,
|
|
The Northern
Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Greg M. Newman,
|
|
The Northern
Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
William M.
Nickey III,
|
|
The Northern
Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Thomas E.
O’Brien,
|
|
The Northern
Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Eileen M.
O’Connor,
|
|
The Northern
Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Kevin J.
O’Shaughnessy,
|
|
The Northern
Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
14
|
Name and Position with Investment
|
|
Name of Other Company
|
|
Position with Other Company
|
|
Adviser (NTI)
|
|
|
|
|
|
|
|
|
|
|
|
Matthew Peron,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Daniel J. Personette,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Daniel J. Phelan,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Jonathan S. Pincus,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Donald R. Pollak,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Ofelia M. Potter,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Stephen N. Potter,
|
|
The Northern Trust Company
|
|
Director
|
|
Director
|
|
|
|
|
|
|
|
|
|
|
|
Nancy Prezioso Babich,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Katie D. Pries,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Patrick D. Quinn,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Andrew F. Rakowski,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Chad M. Rakvin,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Brent D. Reeder,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Jacqueline R. Reller,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Donna Lee Renaud,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
15
|
Name and Position with Investment
|
|
Name of Other Company
|
|
Position with Other Company
|
|
Adviser (NTI)
|
|
|
|
|
|
|
|
|
|
|
|
Kristina Anne Richardson,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Alan W. Robertson,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Director & Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Colin A. Robertson,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Heather Parkes Rocha,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Duane Scott Rocheleau,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Theresa M. Rowohlt,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Lori Rae Runquist,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
John D. Ryan,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Alexander D. Ryer,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Joyce St. Clair,
|
|
The Northern Trust Company
|
|
Executive Vice President
|
|
Director
|
|
|
|
|
|
|
|
|
|
|
|
Steven J. Santiccioli,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Steven A. Schoenfeld,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Eric K. Schweitzer,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Guy J. Sclafani,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Richard Raymond Seward,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
16
|
Name and Position with Investment
|
|
Name of Other Company
|
|
Position with Other Company
|
|
Adviser (NTI)
|
|
|
|
|
|
|
|
|
|
|
|
Vernessa Sewell,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Christopher D. Shipley,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
John D. Skjervem,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Stephen P. Sliney,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Mark C. Sodergren,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Theodore T. Southworth,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Carol J. Spartz,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Allison Walpole Stewart,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Colin S. Stewart,
|
|
Northern Trust Securities, Inc.
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Kurt S. Stoeber,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Peter C. Stournaras,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Robert N. Streed,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Carol H. Sullivan,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Kevin P. Sullivan,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Carolyn B. Szaflik,
|
|
Northern Trust Bank, N.A.
|
|
Vice President
|
|
Vice President
|
|
|
|
|
17
|
Name and Position with Investment
|
|
Name of Other Company
|
|
Position with Other Company
|
|
Adviser (NTI)
|
|
|
|
|
|
|
|
|
|
|
|
Jon E. Szostak II,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Frank D. Szymanek,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Brad L. Taylor,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
James C. Taylor,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Sunitha C. Thomas,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Jane W. Thompson,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Jennifer Kamp Trethaway,
|
|
The Northern Trust Company
|
|
Executive Vice President
|
|
Executive Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Betsy Licht Turner,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Matthew R. Tushman,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
David J. Unger,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Christopher W. Van Alstyne,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Brett A. Varchetto,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Michael A. Vardas,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Director & Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Richard Allan Vigsnes II,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Jens A. Vinje,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
18
|
Name and Position with Investment
|
|
Name of Other Company
|
|
Position with Other Company
|
|
Adviser (NTI)
|
|
|
|
|
|
|
|
Frederick H. Waddell,
|
|
The Northern Trust Company
|
|
President C&IS
|
|
Director & President & CEO
|
|
|
|
|
|
|
|
Sharon M. Walker,
|
|
Northern Trust Bank, N.A.
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Jeff M. Warland,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Scott B. Warner,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Lloyd A. Wennlund,
|
|
The Northern Trust Company
|
|
Executive Vice President
|
|
Director and Executive
|
|
Northern Trust Securities, Inc.
|
|
President
|
|
Vice President
|
|
|
|
|
|
|
|
Anthony E. Wilkins,
|
|
The Northern Trust Company
|
|
Senior Vice President
|
|
Senior Vice President
|
|
|
|
|
|
|
|
Thomas C. Williams,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Marie C. Winters,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Joseph E. Wolfe,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Kai Yee Wong,
|
|
Northern Trust Bank, N.A.
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Mary Kay Wright,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
|
|
|
Matthew C. Wruck,
|
|
The Northern Trust Company
|
|
Vice President
|
|
Vice President
|
|
|
|
|
Item 27.
Principal Underwriters
|
|
(a)
|
|
Foreside Fund Services, LLC, Registrant’s underwriter, serves as underwriter for
the following investment companies registered under the Investment Company
Act of 1940, as amended:
|
19
|
|
|
1.
|
|
American Beacon Funds
|
|
|
|
2.
|
|
American Beacon Mileage Funds
|
|
|
|
3.
|
|
American Beacon Select Funds
|
|
|
|
4.
|
|
Henderson Global Funds
|
|
|
|
5.
|
|
Ironwood Series Trust
|
|
|
|
6.
|
|
Bridgeway Funds, Inc.
|
|
|
|
7.
|
|
Monarch Funds
|
|
|
|
8.
|
|
Century Capital Management Trust
|
|
|
|
9.
|
|
Sound Shore Fund, Inc.
|
|
|
|
10.
|
|
Forum Funds
|
|
|
|
11.
|
|
Hirtle Callaghan Trust
|
|
|
|
12.
|
|
Central Park Group Multi-Event Fund
|
|
|
|
13.
|
|
The CNL Funds
|
|
|
|
14.
|
|
PMC Funds, Series of the Trust for Professional Managers
|
|
|
|
15.
|
|
SPA ETF Trust
|
|
|
|
16.
|
|
FocusShares Trust
|
|
|
|
17.
|
|
The Japan Fund, Inc.
|
|
|
|
18.
|
|
Wintergreen Fund, Inc.
|
|
|
|
19.
|
|
RevenueShares ETF Trust
|
|
|
(b)
|
|
The following officers of Foreside Fund Services,
LLC, the Registrant’s
underwriter, hold the following positions with the Registrant. Their business
address is Three Canal Plaza, Portland, Maine 04101.
|
|
|
Name
|
|
Position with Underwriter
|
|
Position with
|
|
|
|
|
|
|
Registrant
|
|
|
Mark S. Redman
|
|
President
|
|
None
|
|
|
|
|
Richard J. Berthy
|
|
Vice President and
|
|
None
|
|
|
|
|
Treasurer
|
|
|
|
|
|
|
Nanette K. Chern
|
|
Chief Compliance Officer
|
|
None
|
|
|
|
|
and Vice President
|
|
|
|
|
|
|
Mark A. Fairbanks
|
|
Deputy Chief Compliance
|
|
None
|
|
|
|
|
Officer, Vice President
|
|
|
|
|
|
|
|
|
|
|
|
Jennifer E. Hoopes
|
|
Secretary
|
|
None
|
|
|
|
|
|
|
|
Item 28.
Location of Accounts and Records
The Agreement and Declaration of Trust, By-Laws and minute books of the Registrant are in the physical possession of J.P. Morgan Investor Services Co., 73 Tremont Street, Boston, MA 02108. Records
for Foreside Fund Services, LLC, the distributor, are
20
located at Three Canal Plaza, Portland, ME 04101. All other accounts, books and other documents required to be maintained under Section 31(a) of the Investment Company Act of 1940, as amended, and the Rules promulgated
thereunder are in the physical possession of The Northern Trust Company, 50 S. LaSalle Street, Chicago, Illinois 60603 and NTI, 50 S. LaSalle Street, Chicago Illinois 60603.
Item 29.
Management Services
Not Applicable.
Item 30.
Undertakings
Not Applicable.
21
SIGNATURES
Pursuant to the requirements
of the Securities Act of 1933, as amended (the "Securities Act"), and the Investment
Company Act of 1940, as amended, the Registrant certifies that it meets all the
requirements for the effectiveness of this Post Effective Amendment No. 5 pursuant
to Rule 485(b) under the Securities Act and has duly caused this Post-Effective
Amendment No. 5 to its Registration Statement to be signed on its behalf by the
undersigned, thereunto duly authorized, in the City of Chicago and State of Illinois
on the 3rd day of October 2008.
|
|
By:
|
/s/ Michael A. Vardas, Jr.
|
|
|
|
|
Michael A. Vardas, Jr.
|
|
|
|
President
|
Pursuant to the requirements
of the Securities Act, this Post-Effective Amendment No. 5 to Registrant's Registration
Statement has been signed below by the following persons in the capacities and
on the date indicated.
|
Name
|
|
Title
|
|
Date
|
|
|
|
/s/ Michael A. Vardas, Jr.
|
|
President (Principal
|
|
October 3, 2008
|
|
Michael A. Vardas, Jr.
|
|
Executive Officer) and Trustee
|
|
|
|
|
|
|
|
/s/ Trudance L.C. Bakke
|
|
Treasurer (Principal
|
|
October 3, 2008
|
|
Trudance L.C. Bakke
|
|
Financial Officer and
|
|
|
|
|
|
Principal Accounting
|
|
|
|
|
|
Officer)
|
|
|
|
|
|
*
|
|
Trustee
|
|
October 3, 2008
|
|
John J. Masterson
|
|
|
|
|
|
|
|
|
|
*
|
|
Trustee
|
|
October 3, 2008
|
|
Theodore A. Olsen
|
|
|
|
|
|
|
|
|
|
*
|
|
Trustee
|
|
October 3, 2008
|
|
Ralph F. Vitale
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
*
/s/ Diana E. McCarthy
|
|
|
|
|
Diana E. McCarthy
Attorney-In-Fact, pursuant to power of attorney
|
|
|
|
|
CERTIFICATE
The undersigned Assistant Secretary for NETS Trust (the “Trust”) hereby certifies that the Board of Trustees of the Trust duly adopted the following resolution at a meeting of the Board held on November 14, 2007.
RESOLVED,
that the Form of Power of Attorney presented to this meeting appointing Craig R. Carberry, Diana E. McCarthy, Peter K. Ewing and Michael A. Vardas, Jr. as attorneys in-fact for the Trust with regard to all filings and amendments to the Trust’s Registration Statement with the Securities and Exchange Commission made by the Trust be, and it hereby is, approved.
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Dated:
October 3, 2008
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/s/ Diana E. McCarthy
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Diana E. McCarthy
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Assistant Secretary
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