UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [ ] Pre-Effective Amendment No. __ [ ] Post-Effective Amendment No. 56 [X] and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [ ] Amendment No. 58 [X] |
FIRST TRUST EXCHANGE-TRADED FUND VI
(Exact name of registrant as specified in charter)
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
(Address of Principal Executive Offices) (Zip Code)
REGISTRANT'S TELEPHONE NUMBER, INCLUDING AREA CODE: (800) 621-1675
W. Scott Jardine, Esq., Secretary
First Trust Exchange-Traded Fund VI
First Trust Advisors L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
(Name and Address of Agent for Service)
Copy to:
Eric F. Fess, Esq.
Chapman and Cutler LLP
111 West Monroe Street
Chicago, Illinois 60603
It is proposed that this filing will become effective (check appropriate box):
[ ] immediately upon filing pursuant to paragraph (b)
[X] on February 12, 2016 pursuant to paragraph (b)
[ ] 60 days after filing pursuant to paragraph (a)(1)
[ ] on (date) pursuant to paragraph (a)(1)
[ ] 75 days after filing pursuant to paragraph (a)(2)
[ ] on (date) pursuant to paragraph (a)(2) of Rule 485.
If appropriate, check the following box:
[X] this post-effective amendment designates a new effective date for a
previously filed post-effective amendment.
CONTENTS OF POST-EFFECTIVE AMENDMENT NO. 56
This Post-Effective Amendment to the Registration Statement comprises the following papers and contents:
The Facing Sheet
The sole purpose of this filing is to delay the effectiveness of the Registrant's Post-Effective Amendment No. 53, as it relates to First Trust Dorsey Wright Dynamic Focus 5 ETF, a series of the Registrant, until February 12, 2016. Parts A, B and C of the Registrant's Post-Effective Amendment No. 53 under the Securities Act of 1933 as it relates to First Trust Dorsey Wright Dynamic Focus 5 ETF, filed on September 4, 2015, are incorporated by reference herein.
Part C - Other Information
Signatures
Index to Exhibits
Exhibits
First Trust Exchange-Traded Fund VI
PART C - OTHER INFORMATION
ITEM 28. EXHIBITS
EXHIBIT NO. DESCRIPTION
(a) (1) Declaration of Trust of the Registrant (1)
(2) Amended and Restated Establishment and Designation of Series (10)
(b) By-Laws of the Registrant (1)
(c) Not Applicable
(d) (1) Investment Management Agreement dated August 10, 2012 (3)
(2) Investment Management Agreement dated August 16, 2013 (4)
(3) Amended Schedule A to Investment Management Agreement dated August 16, 2013 (6)
(4) Investment Management Agreement dated July 17, 2014 (9)
(e) (1) Distribution Agreement dated August 10, 2012 (3)
(2) Exhibit A to Distribution Agreement (8)
(f) Not Applicable
(g) (1) Custody Agreement between the Registrant and Brown Brothers Harriman Co. dated August 2, 2012 (3)
(2) Schedule A to the Custody Agreement between the Registrant and Brown Brothers Harriman Co. (8)
(h) (1) Administrative Agency Agreement between the Registrant and Brown Brothers Harriman Co. dated August 2, 2012 (3)
(2) Form of Subscription Agreement (3)
(3) Appendix A to the Administrative Agency Agreement between the Registrant and Brown Brothers Harriman Co. (8)
(i) Not Applicable
(j) Not Applicable
(k) Not Applicable
(l) Not Applicable
(m) (1) 12b-1 Service Plan (3)
(2) Exhibit A to 12b-1 Service Plan (8)
(3) 12b-1 Plan Extension Letter Agreement, dated January 20, 2015 (9)
(n) Not Applicable
(o) Not Applicable
(p) (1) First Trust Advisors L.P., First Trust Portfolios L.P. Code of Ethics, amended on July 1, 2013 (8)
(2) First Trust Funds Code of Ethics, amended on October 30, 2013 (8)
(q) Powers of Attorney for Messrs. Bowen, Erickson, Kadlec and Keith authorizing W. Scott Jardine, James M. Dykas, Kristi A. Maher and Eric F. Fess to execute the Registration Statement (11)
(1) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-182308) filed on June 25, 2012.
(2) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-182308) filed on August 9, 2012.
(3) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-182308) filed on January 28, 2013.
(4) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-182308) filed on December 18, 2013.
(5) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-182308) filed on February 24, 2014.
(6) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-182308) filed on March 4, 2014.
(7) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-182308) filed on May 7, 2014.
(8) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-182308) filed on July 16, 2014.
(9) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-182308) filed on January 21, 2015.
(10) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-182308) filed on September 4, 2015.
(11) Filed herewith.
ITEM 29. PERSONS CONTROLLED BY OR UNDER COMMON CONTROL WITH REGISTRANT
Not Applicable
ITEM 30. INDEMNIFICATION
Section 9.5 of the Registrant's Declaration of Trust provides as follows:
Section 9.5. Indemnification and Advancement of Expenses. Subject to the exceptions and limitations contained in this Section 9.5, every person who is, or has been, a Trustee, officer, or employee of the Trust, including persons who serve at the request of the Trust as directors, trustees, officers, employees or agents of another organization in which the Trust has an interest as a shareholder, creditor or otherwise (hereinafter referred to as a "Covered Person"), shall be indemnified by the Trust to the fullest extent permitted by law against liability and against all expenses reasonably incurred or paid by him or in connection with any claim, action, suit or proceeding in which he becomes involved as a party or otherwise by virtue of his being or having been such a Trustee, director, officer, employee or agent and against amounts paid or incurred by him in settlement thereof.
No indemnification shall be provided hereunder to a Covered Person to the extent such indemnification is prohibited by applicable federal law.
The rights of indemnification herein provided may be insured against by policies maintained by the Trust, shall be severable, shall not affect any other rights to which any Covered Person may now or hereafter be entitled, shall continue as to a person who has ceased to be such a Covered Person and shall inure to the benefit of the heirs, executors and administrators of such a person.
Subject to applicable federal law, expenses of preparation and presentation of a defense to any claim, action, suit or proceeding subject to a claim for indemnification under this Section 9.5 shall be advanced by the Trust prior to final disposition thereof upon receipt of an undertaking by or on behalf of the recipient to repay such amount if it is ultimately determined that he is not entitled to indemnification under this Section 9.5.
To the extent that any determination is required to be made as to whether a Covered Person engaged in conduct for which indemnification is not provided as described herein, or as to whether there is reason to believe that a Covered Person ultimately will be found entitled to indemnification, the Person or Persons making the determination shall afford the Covered Person a rebuttable presumption that the Covered Person has not engaged in such conduct and that there is reason to believe that the Covered Person ultimately will be found entitled to indemnification.
As used in this Section 9.5, the words "claim," "action," "suit" or "proceeding" shall apply to all claims, demands, actions, suits, investigations, regulatory inquiries, proceedings or any other occurrence of a similar nature, whether actual or threatened and whether civil, criminal, administrative or other, including appeals, and the words "liability" and "expenses" shall include without limitation, attorneys' fees, costs, judgments, amounts paid in settlement, fines, penalties and other liabilities.
ITEM 31. BUSINESS AND OTHER CONNECTIONS OF THE INVESTMENT ADVISER
First Trust Advisors L.P. ("First Trust"), investment adviser to the Registrant, serves as adviser or sub-adviser to various other open-end and closed-end management investment companies and is the portfolio supervisor of certain unit investment trusts. The principal business of certain of First Trust's principal executive officers involves various activities in connection with the family of unit investment trusts sponsored by First Trust Portfolios L.P. ("FTP"). The principal address for all these investment companies, First Trust, FTP and the persons below is 120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187.
A description of any business, profession, vocation or employment of a substantial nature in which the officers of First Trust who serve as officers or trustees of the Registrant have engaged during the last two years for his or her account or in the capacity of director, officer, employee, partner or trustee appears under "Management of the Fund" in the Statement of Additional Information. Such information for the remaining senior officers of First Trust appears below:
NAME AND POSITION WITH FIRST TRUST EMPLOYMENT DURING PAST TWO YEARS Andrew S. Roggensack, President Managing Director and President, First Trust R. Scott Hall, Managing Director Managing Director, First Trust Ronald D. McAlister, Managing Director Managing Director, First Trust David G. McGarel, Chief Investment Managing Director; Senior Vice Officer and Managing Director President, First Trust Kathleen Brown, Chief Compliance Chief Compliance Officer and Senior Officer and Senior Vice President Vice President, First Trust Brian Wesbury, Chief Economist and Chief Economist and Senior Vice Senior Vice President President, First Trust |
ITEM 32. PRINCIPAL UNDERWRITER
(a) FTP serves as principal underwriter of the shares of the Registrant, First Trust Exchange-Traded Fund, First Trust Exchange-Traded Fund II, First Trust Exchange-Traded Fund III, First Trust Exchange-Traded Fund IV, First Trust Exchange Traded Fund V, First Trust Exchange-Traded Fund VII, First Trust Exchange-Traded AlphaDEX(R) Fund, First Trust Exchange-Traded AlphaDEX(R) Fund II, First Trust Variable Insurance Trust and First Trust Series Fund. FTP serves as principal underwriter and depositor of the following investment companies registered as unit investment trusts: the First Trust Combined Series, FT Series (formerly known as the First Trust Special Situations Trust), the First Trust Insured Corporate Trust, the First Trust of Insured Municipal Bonds and the First Trust GNMA.
(b)
NAME AND PRINCIPAL POSITIONS AND OFFICES POSITIONS AND BUSINESS ADDRESS* WITH UNDERWRITER OFFICES WITH FUND The Charger Corporation General Partner None Grace Partners of DuPage L.P. Limited Partner None James A. Bowen Chief Executive Officer and Trustee and Chairman of the Board Managing Director James M. Dykas Chief Operating Officer, President and Chief Executive Controller and Managing Director Officer Frank L. Fichera Managing Director None Russell J. Graham Managing Director None R. Scott Hall Managing Director None W. Scott Jardine General Counsel, Secretary and Secretary Managing Director Daniel J. Lindquist Managing Director Vice President Ronald D. McAlister Managing Director None David G. McGarel Managing Director None Richard A. Olson Managing Director None Marisa Bowen Managing Director None Andrew S. Roggensack President and Managing Director None Kristi A. Maher Deputy General Counsel Chief Compliance Officer and Assistant Secretary |
* All addresses are 120 East Liberty Drive, Wheaton, Illinois 60187.
(c) Not Applicable
ITEM 33. LOCATION OF ACCOUNTS AND RECORDS
First Trust, 120 East Liberty Drive, Wheaton, Illinois 60187, maintains the Registrant's organizational documents, minutes of meetings, contracts of the Registrant and all advisory material of the investment adviser.
ITEM 34. MANAGEMENT SERVICES
Not Applicable
ITEM 35. UNDERTAKINGS
Not Applicable
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it meets all of the requirements for effectiveness of this Registration Statement under rule 485(b) under the Securities Act and has duly caused this Registration Statement to be signed on its behalf by the undersigned, duly authorized, in the City of Wheaton, and State of Illinois, on the 14th day of January, 2016.
FIRST TRUST EXCHANGE-TRADED FUND VI
By: /s/ James M. Dykas ----------------------------------- James M. Dykas, President and Chief Executive Officer |
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed below by the following persons in the capacities and on the date indicated:
SIGNATURE TITLE DATE President and Chief Executive January 14, 2016 /s/ James M. Dykas Officer ------------------------ James M. Dykas Treasurer, Chief Financial Officer January 14, 2016 /s/Donald P. Swade and Chief Accounting Officer ------------------------ Donald P. Swade ) James A. Bowen* Trustee ) ) ) Richard E. Erickson* Trustee ) ) ) BY: /s/ W. Scott Jardine Thomas R. Kadlec* Trustee ) --------------------- ) W. Scott Jardine ) Attorney-In-Fact Robert F. Keith* Trustee ) January 14, 2016 ) ) Niel B. Nielson * Trustee ) ) |
* Original powers of attorney authorizing W. Scott Jardine, James M. Dykas, Eric F. Fess and Kristi A. Maher to execute Registrant's Registration Statement, and Amendments thereto, for each of the trustees of the Registrant on whose behalf this Registration Statement is filed, were previously executed and are filed herewith.
INDEX TO EXHIBITS
(q) Powers of Attorney for Messrs. Bowen, Erickson, Kadlec and Keith authorizing W. Scott Jardine, James M. Dykas, Kristi A. Maher and Eric F. Fess to execute the Registration Statement.
FIRST TRUST EXCHANGE-TRADED FUND
FIRST TRUST EXCHANGE-TRADED FUND II
FIRST TRUST EXCHANGE-TRADED FUND III
FIRST TRUST EXCHANGE-TRADED FUND IV
FIRST TRUST EXCHANGE-TRADED FUND V
FIRST TRUST EXCHANGE-TRADED FUND VI
FIRST TRUST EXCHANGE-TRADED FUND VII
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND II
FIRST TRUST SERIES FUND
FIRST TRUST VARIABLE INSURANCE TRUST
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned, a trustee of the above-referenced organizations, hereby constitutes and appoints W. SCOTT JARDINE, JAMES M. DYKAS, KRISTI A. MAHER and ERIC F. FESS and each of them (with full power to each of them to act alone) his true and lawful attorney-in-fact and agent, for him on his behalf and in his name, place and stead, in any and all capacities, to sign and file one or more Registration Statements on Form N-1A under the Securities Act of l933 and the Investment Company Act of l940, including any amendment or amendments thereto, with all exhibits, and any and all other documents required to be filed with any regulatory authority, federal or state, relating to the registration thereof, or the issuance of securities thereof, without limitation, granting unto said attorneys, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises in order to effectuate the same as fully to all intents and purposes as he might or could do if personally present, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, may lawfully do or cause to be done by virtue hereof.
IN WITNESS WHEREOF, the undersigned trustee of the above-referenced organizations has hereunto set his hand this 31th day of December, 2015.
/s/ James A. Bowen --------------------------------- James A. Bowen |
STATE OF ILLINOIS ) ) SS COUNTY OF DUPAGE ) |
On this 31th day of December, 2015, personally appeared before me, a Notary Public in and for said County and State, the person named above who is known to me to be the person whose name and signature is affixed to the foregoing Power of Attorney and who acknowledged the same to be his voluntary act and deed for the intent and purposes therein set forth.
"OFFICIAL SEAL"
_________________________ /s/ Sandra Kim Streit --------------------------------- Notary Public, State of Illinois Notary Public |
My Commission Expires: 5/28/2017
FIRST TRUST EXCHANGE-TRADED FUND
FIRST TRUST EXCHANGE-TRADED FUND II
FIRST TRUST EXCHANGE-TRADED FUND III
FIRST TRUST EXCHANGE-TRADED FUND IV
FIRST TRUST EXCHANGE-TRADED FUND V
FIRST TRUST EXCHANGE-TRADED FUND VI
FIRST TRUST EXCHANGE-TRADED FUND VII
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND II
FIRST TRUST SERIES FUND
FIRST TRUST VARIABLE INSURANCE TRUST
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned, a trustee of the above-referenced organizations, hereby constitutes and appoints JAMES A. BOWEN, W. SCOTT JARDINE, JAMES M. DYKAS, KRISTI A. MAHER and ERIC F. FESS and each of them (with full power to each of them to act alone) his true and lawful attorney-in-fact and agent, for him on his behalf and in his name, place and stead, in any and all capacities, to sign and file one or more Registration Statements on Form N-1A under the Securities Act of l933 and the Investment Company Act of l940, including any amendment or amendments thereto, with all exhibits, and any and all other documents required to be filed with any regulatory authority, federal or state, relating to the registration thereof, or the issuance of securities thereof, without limitation, granting unto said attorneys, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises in order to effectuate the same as fully to all intents and purposes as he might or could do if personally present, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, may lawfully do or cause to be done by virtue hereof.
IN WITNESS WHEREOF, the undersigned trustee of the above-referenced organizations has hereunto set his hand this 31th day of December, 2015.
/s/ Richard E. Erickson --------------------------------- Richard E. Erickson |
STATE OF ILLINOIS ) ) SS COUNTY OF DUPAGE ) |
On this 31th day of December, 2015, personally appeared before me, a Notary Public in and for said County and State, the person named above who is known to me to be the person whose name and signature is affixed to the foregoing Power of Attorney and who acknowledged the same to be his voluntary act and deed for the intent and purposes therein set forth.
"OFFICIAL SEAL"
_________________________ /s/ Sandra Kim Streit --------------------------------- Notary Public, State of Illinois Notary Public |
My Commission Expires: 5/28/2017
FIRST TRUST EXCHANGE-TRADED FUND
FIRST TRUST EXCHANGE-TRADED FUND II
FIRST TRUST EXCHANGE-TRADED FUND III
FIRST TRUST EXCHANGE-TRADED FUND IV
FIRST TRUST EXCHANGE-TRADED FUND V
FIRST TRUST EXCHANGE-TRADED FUND VI
FIRST TRUST EXCHANGE-TRADED FUND VII
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND II
FIRST TRUST SERIES FUND
FIRST TRUST VARIABLE INSURANCE TRUST
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned, a trustee of the above-referenced organizations, hereby constitutes and appoints JAMES A. BOWEN, W. SCOTT JARDINE, JAMES M. DYKAS, KRISTI A. MAHER and ERIC F. FESS and each of them (with full power to each of them to act alone) his true and lawful attorney-in-fact and agent, for him on his behalf and in his name, place and stead, in any and all capacities, to sign and file one or more Registration Statements on Form N-1A under the Securities Act of l933 and the Investment Company Act of l940, including any amendment or amendments thereto, with all exhibits, and any and all other documents required to be filed with any regulatory authority, federal or state, relating to the registration thereof, or the issuance of securities thereof, without limitation, granting unto said attorneys, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises in order to effectuate the same as fully to all intents and purposes as he might or could do if personally present, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, may lawfully do or cause to be done by virtue hereof.
IN WITNESS WHEREOF, the undersigned trustee of the above-referenced organizations has hereunto set his hand this 31th day of December, 2015.
/s/ Thomas R. Kadlec --------------------------------- Thomas R. Kadlec |
STATE OF ILLINOIS ) ) SS COUNTY OF DUPAGE ) |
On this 31th day of December, 2015, personally appeared before me, a Notary Public in and for said County and State, the person named above who is known to me to be the person whose name and signature is affixed to the foregoing Power of Attorney and who acknowledged the same to be his voluntary act and deed for the intent and purposes therein set forth.
"OFFICIAL SEAL"
_________________________ /s/ Sandra Kim Streit --------------------------------- Notary Public, State of Illinois Notary Public |
My Commission Expires: 5/28/2017
FIRST TRUST EXCHANGE-TRADED FUND
FIRST TRUST EXCHANGE-TRADED FUND II
FIRST TRUST EXCHANGE-TRADED FUND III
FIRST TRUST EXCHANGE-TRADED FUND IV
FIRST TRUST EXCHANGE-TRADED FUND V
FIRST TRUST EXCHANGE-TRADED FUND VI
FIRST TRUST EXCHANGE-TRADED FUND VII
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND II
FIRST TRUST SERIES FUND
FIRST TRUST VARIABLE INSURANCE TRUST
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned, a trustee of the above-referenced organizations, hereby constitutes and appoints JAMES A. BOWEN, W. SCOTT JARDINE, JAMES M. DYKAS, KRISTI A. MAHER and ERIC F. FESS and each of them (with full power to each of them to act alone) his true and lawful attorney-in-fact and agent, for him on his behalf and in his name, place and stead, in any and all capacities, to sign and file one or more Registration Statements on Form N-1A under the Securities Act of l933 and the Investment Company Act of l940, including any amendment or amendments thereto, with all exhibits, and any and all other documents required to be filed with any regulatory authority, federal or state, relating to the registration thereof, or the issuance of securities thereof, without limitation, granting unto said attorneys, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises in order to effectuate the same as fully to all intents and purposes as he might or could do if personally present, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, may lawfully do or cause to be done by virtue hereof.
IN WITNESS WHEREOF, the undersigned trustee of the above-referenced organizations has hereunto set his hand this 31th day of December, 2015.
/s/ Robert F. Keith --------------------------------- Robert F. Keith |
STATE OF ILLINOIS ) ) SS COUNTY OF DUPAGE ) |
On this 31th day of December, 2015, personally appeared before me, a Notary Public in and for said County and State, the person named above who is known to me to be the person whose name and signature is affixed to the foregoing Power of Attorney and who acknowledged the same to be his voluntary act and deed for the intent and purposes therein set forth.
"OFFICIAL SEAL"
_________________________ /s/ Sandra Kim Streit --------------------------------- Notary Public, State of Illinois Notary Public |
My Commission Expires: 5/28/2017
FIRST TRUST EXCHANGE-TRADED FUND
FIRST TRUST EXCHANGE-TRADED FUND II
FIRST TRUST EXCHANGE-TRADED FUND III
FIRST TRUST EXCHANGE-TRADED FUND IV
FIRST TRUST EXCHANGE-TRADED FUND V
FIRST TRUST EXCHANGE-TRADED FUND VI
FIRST TRUST EXCHANGE-TRADED FUND VII
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND II
FIRST TRUST SERIES FUND
FIRST TRUST VARIABLE INSURANCE TRUST
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned, a trustee of the above-referenced organizations, hereby constitutes and appoints JAMES A. BOWEN, W. SCOTT JARDINE, JAMES M. DYKAS, KRISTI A. MAHER and ERIC F. FESS and each of them (with full power to each of them to act alone) his true and lawful attorney-in-fact and agent, for him on his behalf and in his name, place and stead, in any and all capacities, to sign and file one or more Registration Statements on Form N-1A under the Securities Act of l933 and the Investment Company Act of l940, including any amendment or amendments thereto, with all exhibits, and any and all other documents required to be filed with any regulatory authority, federal or state, relating to the registration thereof, or the issuance of securities thereof, without limitation, granting unto said attorneys, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises in order to effectuate the same as fully to all intents and purposes as he might or could do if personally present, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, may lawfully do or cause to be done by virtue hereof.
IN WITNESS WHEREOF, the undersigned trustee of the above-referenced organizations has hereunto set his hand this 31th day of December, 2015.
/s/ Niel B. Nielson --------------------------------- Niel B. Nielson |
STATE OF ILLINOIS ) ) SS COUNTY OF DUPAGE ) |
On this 31th day of December, 2015, personally appeared before me, a Notary Public in and for said County and State, the person named above who is known to me to be the person whose name and signature is affixed to the foregoing Power of Attorney and who acknowledged the same to be his voluntary act and deed for the intent and purposes therein set forth.
"OFFICIAL SEAL"
_________________________ /s/ Sandra Kim Streit --------------------------------- Notary Public, State of Illinois Notary Public |
My Commission Expires: 5/28/2017