BamSEC and AlphaSense Join Forces
Learn More

Jpmorgan China Region Fund, Inc. – Underwriting Agreements

Formerly NYSE: JFC

Underwriting Agreements Filter

EX-1
from 40-17G 1 page Jpmorgan China Region Fund, Inc. Secretary's Certificate
12/34/56
EX-1
from 40-17G 1 page Jpmorgan China Region Fund, Inc. Secretary's Certificate
12/34/56
EX-1
from SC 13D/A 1 page Transactions in the Shares by the Reporting Person During the Past 60 Days
12/34/56
EX-1
from 40-17G 1 page Jpmorgan China Region Fund, Inc. Secretary's Certificate the Undersigned Hereby Certifies That She Is the Secretary of the Jpmorgan China Region Fund, Inc. (The "Fund"); That the Following Is a True and Correct Copy of the Resolutions Approving the Amount and Form of the Fidelity Bond Adopted by Vote of a Majority of the Members of the Board of Directors of the Fund, Including a Majority of the Directors Who Are Not Interested Persons of the Fund (Within the Meaning of Section 2(a)(19) of the Investment Company Act of 1940 Act, as Amended) on the 4th Day of September, 2014 and That Said Resolutions Are in Full Force and Effect: It Was Resolved That a Fidelity Bond, Written by St. Paul Fire and Marine Insurance Company for a Per Loss Limit of Liability of $525,000 and Based on an Annual Premium of $3,170 (Py: $3,170), Be and Is Hereby Approved for the Period 30th September 2014 to 30th September 2015; and Further It Was Resolved That the Officers of the Fund Be, and Each of Them Hereby Is, Authorized to Increase or Decrease the Amount of the Fidelity Bond From Time to Time in Order to Enable the Fund to Remain in Compliance With the 1940 Act and the Rules Thereunder; and Further It Was Resolved That the Proper Officers of the Fund Be, and Each of Them Hereby Is, Designated as the Party Responsible for Making the Necessary Filings and Giving the Notices With Respect to the Fidelity Bond Required by Paragraph (G) of Rule 17g-1 Under the 1940 Act. Dated This 6th Day of October, 2014 /S/Lucy Dina Lucy Dina Secretary
12/34/56
EX-1
from SC 13D/A 1 page Transactions in the Shares by the Reporting Person During the Past 60 Days
12/34/56
EX-1
from 40-17G 1 page Jpmorgan China Region Fund, Inc. Secretary's Certificate the Undersigned Hereby Certifies That She Is the Secretary of the Jpmorgan China Region Fund, Inc.* (The "Fund"); That the Following Is a True and Correct Copy of the Resolutions Approving the Amount and Form of the Fidelity Bond Adopted by Vote of a Majority of the Members of the Board of Directors of the Fund, Including a Majority of the Directors Who Are Not Interested Persons of the Fund (Within the Meaning of Section 2(a)(19) of the Investment Company Act of 1940 Act, as Amended) on the 6th Day of September, 2013 and That Said Resolutions Are in Full Force and Effect: It Was Resolved That a Fidelity Bond, Written by St. Paul Fire and Marine Insurance Company for a Per Loss Limit of Liability of $525,000 and Based on an Annual Premium of $3,170, Be and Is Hereby Approved for the Period 30th September 2013 to 30th September 2014; and Further It Was Resolved That the Officers of the Fund Be, and Each of Them Hereby Is, Authorized to Increase or Decrease the Amount of the Fidelity Bond From Time to Time in Order to Enable the Fund to Remain in Compliance With the 1940 Act and the Rules Thereunder; and Further It Was Resolved That the Proper Officers of the Fund Be, and Each of Them Hereby Is, Designated as the Party Responsible for Making the Necessary Filings and Giving the Notices With Respect to the Fidelity Bond Required by Paragraph (G) of Rule 17g-1 Under the 1940 Act. Dated This 13th Day of January, 2014 /S/Lucy Dina Lucy Dina Secretary *With Effect From 6th December 2013 the Fund Changed Its Name From Jf China Region Fund, to Jpmorgan China Region Fund, Inc
12/34/56
EX-1
from SC 13D 1 page Transactions in the Shares by the Reporting Person During the Past 60 Days
12/34/56
EX-1
from 40-17G Secretary's Certificate
12/34/56
EX-1
from 40-17G 1 page Jf China Region Fund, Inc. Secretary's Certificate the Undersigned Hereby Certifies That He Is the Secretary of the Jf China Region Fund, Inc. (The "Fund"); That the Following Is a True and Correct Copy of the Resolutions Approving the Amount and Form of the Fidelity Bond Adopted by Vote of a Majority of the Members of the Board of Directors of the Fund, Including a Majority of the Directors Who Are Not Interested Persons of the Fund (Within the Meaning of Section 2(a)(19) of the Investment Company Act of 1940 Act, as Amended) on the 5th Day of September, 2012 and That Said Resolutions Are in Full Force and Effect: It Was Resolved That a Fidelity Bond, Written by St. Paul Fire and Marine Insurance Company for a Per Loss Limit of Liability of $525,000 and Based on an Annual Premium of $3,170, Be and Is Hereby Approved for the Period 30th September 2012 to 30th September 2013. It Was Resolved That the Officers of the Fund Be, and Each of Them Hereby Is, Authorized to Increase or Decrease the Amount of the Fidelity Bond From Time to Time in Order to Enable the Fund to Remain in Compliance With the 1940 Act and the Rules Thereunder. It Was Resolved That the Proper Officers of the Fund Be, and Each of Them Hereby Is, Designated as the Party Responsible for Making the Necessary Filings and Giving the Notices With Respect to the Fidelity Bond Required by Paragraph (G) of Rule 17g-1 Under the 1940 Act. Dated This 14th Day of January, 2013 /S/Christopher Legg Christopher Legg Secretary
12/34/56
EX-1
from 40-17G Secretary Certificate
12/34/56
EX-1
from 40-17G 1 page Jf China Region Fund, Inc. Secretary's Certificate the Undersigned Hereby Certifies That He Is the Secretary of the Jf China Region Fund, Inc. (The "Fund"); That the Following Is a True and Correct Copy of the Resolutions Approving the Amount and Form of the Fidelity Bond Adopted by Vote of a Majority of the Members of the Board of Directors of the Fund, Including a Majority of the Trustees Who Are Not Interested Persons of the Fund (Within the Meaning of Section 2(a)(19) of the Investment Company Act of 1940 Act, as Amended) on the 15th Day of September, 2011 and That Said Resolutions Are in Full Force and Effect: It Was Resolved That a D&O Insurance Policy, Written by St. Paul Fire and Marine Insurance Company for an Aggregate Limit of Liability of $3,000,000 and Based on an Annual Premium of $36,000, Be and Is Hereby Approved for the Period 30th September 2011 to 30th September 2012. It Was Resolved That a Fidelity Bond, Written by St. Paul Fire and Marine Insurance Company for a Per Loss Limit of Liability of $525,000 and Based on an Annual Premium of $3,170, Be and Is Hereby Approved for the Period 30th September 2011 to 30th September 2012. It Was Resolved That the Officers of the Fund Be, and Each of Them Hereby Is, Authorized to Increase or Decrease the Amount of the Fidelity Bond From Time to Time in Order to Enable the Fund to Remain in Compliance With the 1940 Act and the Rules Thereunder. It Was Resolved That the Proper Officers of the Fund Be, and Each of Them Hereby Is, Designated as the Party Responsible for Making the Necessary Filings and Giving the Notices With Respect to the Fidelity Bond Required by Paragraph (G) of Rule 17g-1 Under the 1940 Act. Dated This 16th Day of December, 2011 /S/Chris Legg Chris Legg Secretary
12/34/56
EX-1
from SC 13G/A 1 page Exhibit 1 Joint Filing Agreement in Accordance With Rule 13d-1 (F) Under the Securities Exchange Act of 1934, as Amended, the Undersigned Hereby Agree to the Joint Filing With All Other Reporting Entities (As Such Term Is Defined in the Schedule 13g) on Behalf of Each of Them of a Statement on Schedule 13g (Including Amendments Thereto) With Respect to the Common Stock, $0.01 Par Value Per Share, of Jf China Region Fund, Inc., and That This Agreement Be Included as an Exhibit to Such Joint Filing. This Agreement May Be Executed in Any Number of Counterparts All of Which Taken Together Shall Constitute One and the Same Instrument. in Witness Whereof, the Undersigned Hereby Execute This Agreement This 6th Day of September, 2011. Levin Capital Strategies, L.P. By:/S/ John A. Levin John A. Levin Chief Executive Officer Lcs, LLC By:/S/ John A. Levin John A. Levin General Partner Lcs Event Partners, LLC By:/S/ John A. Levin John A. Levin General Partner By:/S/ John A. Levin John A. Levin
12/34/56
EX-1
from 40-17G 1 page Jf China Region Fund, Inc. Secretary's Certificate the Undersigned Hereby Certifies That He Is the Secretary of the Jf China Region Fund, Inc. (The "Fund"); That the Following Is a True and Correct Copy of the Resolutions Approving the Amount and Form of the Fidelity Bond Adopted by Vote of a Majority of the Members of the Board of Directors of the Fund,including a Majority of the Trustees Who Are Not Interested Persons of the Fund (Within the Meaning of Section 2(a)(19) of the Investment Company Act of 1940 Act, as Amended) on the 9th Day of September, 2010 and That Said Resolutions Are in Full Force and Effect: It Was Resolved, That a Fidelity Bond Written by St. Paul Fire and Marine Insurance Company for a Per Loss Liability Limit of $525,000 and Based on an Annual Premium of $3,170, Be and Is Hereby Approved for the Period From 30th September 2010 to 30th September 2011. It Was Resolved, That the Officers of Fund Be, and Each of Them Hereby Is, Authorized to Increase or Decrease the Amount of the Fidelity Bond From Time to Time in Order to Enable the Fund to Remain in Compliance With the 1940 Act and Rules Thereunder. It Was Resolved, That the Proper Officers of Fund Be, and Each of Them Hereby Is, Designated as the Party Responsible for Making the Necessary Filings and Giving the Notices With Respect to the Fidelity Bond Required by Paragraph (G) of Rule 17g-1 Under the 1940 Act. Dated This 22nd Day of February, 2011 /S/ Chris Legg Chris Legg Secretary
12/34/56
EX-1
from SC 13G/A 1 page Exhibit 1 Joint Filing Agreement in Accordance With Rule 13d-1 (F) Under the Securities Exchange Act of 1934, as Amended, the Undersigned Hereby Agree to the Joint Filing With All Other Reporting Entities (As Such Term Is Defined in the Schedule 13g) on Behalf of Each of Them of a Statement on Schedule 13g (Including Amendments Thereto) With Respect to the Common Stock, $0.01 Par Value Per Share, of Jf China Region Fund Inc., and That This Agreement Be Included as an Exhibit to Such Joint Filing. This Agreement May Be Executed in Any Number of Counterparts All of Which Taken Together Shall Constitute One and the Same Instrument. in Witness Whereof, the Undersigned Hereby Execute This Agreement This 11th Day of February, 2011. Levin Capital Strategies, L.P. By:/S/ John A. Levin John A. Levin Chief Executive Officer Lcs, LLC By:/S/ John A. Levin John A. Levin General Partner Lcs Event Partners, LLC By:/S/ John A. Levin John A. Levin General Partner By:/S/ John A. Levin John A. Levin
12/34/56
EX-1
from SC 13G/A 1 page Exhibit 1 Joint Filing Agreement in Accordance With Rule 13d-1 (F) Under the Securities Exchange Act of 1934, as Amended, the Undersigned Hereby Agree to the Joint Filing With All Other Reporting Entities (As Such Term Is Defined in the Schedule 13g) on Behalf of Each of Them of a Statement on Schedule 13g (Including Amendments Thereto) With Respect to the Common Stock, $0.01 Par Value Per Share, of Jf China Region Fund Inc., and That This Agreement Be Included as an Exhibit to Such Joint Filing. This Agreement May Be Executed in Any Number of Counterparts All of Which Taken Together Shall Constitute One and the Same Instrument. in Witness Whereof, the Undersigned Hereby Execute This Agreement This 29th Day of January, 2010. Levin Capital Strategies, L.P. By:/S/ John A. Levin John A. Levin Chief Executive Officer Lcs, LLC By:/S/ John A. Levin John A. Levin General Partner Lcs Event Partners, LLC By:/S/ John A. Levin John A. Levin General Partner By:/S/ John A. Levin John A. Levin
12/34/56
EX-1
from 40-17G 1 page Jf China Region Fund, Inc. Secretary's Certificate the Undersigned Hereby Certifies That He Is the Secretary of the Jf China Region Fund, Inc. (The "Fund"); That the Following Is a True and Correct Copy of the Resolutions Approving the Amount and Form of the Fidelity Bond Adopted by Vote of a Majority of the Members of the Board of Directors of the Fund, Including a Majority of the Trustees Who Are Not Interested Persons of the Fund (Within the Meaning of Section 2(a)(19) of the Investment Company Act of 1940 Act, as Amended) on the 10th Day of September, 2009 and That Said Resolutions Are in Full Force and Effect: It Was Resolved, That a Fidelity Bond Written by St. Paul Fire and Marine Insurance Company for a Per Loss Liability Limit of $450,000and Based on an Annual Premium of $3,170, Be and Is Hereby Approved for the Period From 30th September 2009 to 30th September 2010. It Was Resolved, That the Officers of Fund Be, and Each of Them Hereby Is, Authorized to Increase or Decrease the Amount of the Fidelity Bond From Time to Time in Order to Enable the Fund to Remain in Compliance With the 1940 Act and Rules Thereunder. It Was Resolved, That the Proper Officers of Fund Be, and Each of Them Hereby Is,designated as the Party Responsible for Making the Necessary Filings and Giving the Notices With Respect to the Fidelity Bond Required by Paragraph (G) of Rule 17g-1 Under the 1940 Act. Dated This 25th Day of November, 2009 /S/Chris Legg Chris Legg Secretary
12/34/56
EX-1
from 40-17G 1 page Jf China Region Fund, Inc. Secretary's Certificate the Undersigned Hereby Certifies That He Is the Secretary of the Jf China Region Fund, Inc. (The "Fund"); That the Following Is a True and Correct Copy of the Resolutions Approving the Amount and Form of the Fidelity Bond Adopted by Vote of a Majority of the Members of the Board of Directors of the Fund, Including a Majority of the Trustees Who Are Not Interested Persons of the Fund (Within the Meaning of Section 2(a)(19) of the Investment Company Act of 1940 Act, as Amended) on the 3rd Day of September, 2008 and That Said Resolutions Are in Full Force and Effect: It Was Resolved, That a Fidelity Bond Written by St. Paul Fire and Marine Insurance Company for a Per Loss Liability Limit of $525,000and Based on an Annual Premium of $3,700, Be and Is Hereby Approved for the Period From 30th September 2008 to 30th September 2009. It Was Resolved, That the Officers of Fund Be, and Each of Them Hereby Is, Authorized to Increase or Decrease the Amount of the Fidelity Bond From Time to Time in Order to Enable the Fund to Remain in Compliance With the 1940 Act and Rules Thereunder. It Was Resolved, That the Proper Officers of Fund Be, and Each of Them Hereby Is, Designated as the Party Responsible for Making the Necessary Filings and Giving the Notices With Respect to the Fidelity Bond Required by Paragraph (G) of Rule 17g-1 Under the 1940 Act. Dated This 29th Day of April, 2009 /S/ Chris Legg Chris Legg Secretary
12/34/56
EX-1
from SC 13G/A 1 page Exhibit 1 Joint Filing Agreement in Accordance With Rule 13d-1 (F) Under the Securities Exchange Act of 1934, as Amended, the Undersigned Hereby Agree to the Joint Filing With All Other Reporting Entities (As Such Term Is Defined in the Schedule 13g) on Behalf of Each of Them of a Statement on Schedule 13g (Including Amendments Thereto) With Respect to the Common Stock, $0.01 Par Value Per Share, of Jf China Region Fund Inc., and That This Agreement Be Included as an Exhibit to Such Joint Filing. This Agreement May Be Executed in Any Number of Counterparts All of Which Taken Together Shall Constitute One and the Same Instrument. in Witness Whereof, the Undersigned Hereby Execute This Agreement This 16th Day of January, 2009. Levin Capital Strategies, L.P. By:/S/ John A. Levin John A. Levin Chief Executive Officer Lcs, LLC By:/S/ John A. Levin John A. Levin General Partner By:/S/ John A. Levin John A. Levin
12/34/56
EX-1
from 40-17G 1 page The Following Resolution Was Adopted by Written Consent by a Majority of the Fund's Board of Directors Who Are Not "Interested Persons" of the Fund: Resolved: That an Endorsement to the Rmic Bond With St. Paul Fire and Marine Insurance Company Effective September 30, 2007 for the Period Ending September 30, 2008, Evidencing the Limit of Liability to $525,000 Be and Hereby Is Approved
12/34/56
EX-1
from SC 13G/A 1 page Exhibit 1 Joint Filing Agreement in Accordance With Rule 13d-1 (F) Under the Securities Exchange Act of 1934, as Amended, the Undersigned Hereby Agree to the Joint Filing With All Other Reporting Entities (As Such Term Is Defined in the Schedule 13g) on Behalf of Each of Them of a Statement on Schedule 13g (Including Amendments Thereto) With Respect to the Common Stock, $0.01 Par Value Per Share, of Jf China Region Fund Inc., and That This Agreement Be Included as an Exhibit to Such Joint Filing. This Agreement May Be Executed in Any Number of Counterparts All of Which Taken Together Shall Constitute One and the Same Instrument. in Witness Whereof, the Undersigned Hereby Execute This Agreement This 15th Day of January, 2008. Levin Capital Strategies, L.P. By:/S/ John A. Levin John A. Levin Chief Executive Officer Lcs, LLC By:/S/ John A. Levin John A. Levin General Partner By:/S/ John A. Levin John A. Levin
12/34/56