Form
14-02-9228 (Ed. 4/2004)
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ENDORSEMENT/RIDER
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Effective
date of
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this
endorsement/rider:
December
1,
2007
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FEDERAL
INSURANCE COMPANY
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Endorsement/Rider
No.
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5
DFI
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To
be
attached to and
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form
a part
of Bond No.
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82124376
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Issued
to:
FINANCIAL TRENDS FUND, INC.
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DELETING
VALUATION-OTHER PROPERTY AND AMENDING CHANGE OR
MODIFICATION
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ENDORSEMENT
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In
consideration of the premium charged, it is agreed that this Bond is
amended as follows:
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1.
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The
paragraph titled Other Property in Section 9, Valuation, is deleted
in its
entirety.
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2.
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The
third
paragraph in Section 16, Change or Modification, is deleted in its
entirety and replaced with
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the
following:
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If
this
Bond is for a joint ASSURED, no change or modification which would
adversely affect the
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rights
of
the ASSURED shall be effective prior to sixty (60) days after written
notice has been
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furnished
to all insured
Investment
Companies
and
the
Securities and Exchange Commission,
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Washington,
D.C., by the COMPANY.
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The
title
and any headings in this endorsement/rider are solely for convenience
and
form no part of the
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terms
and
conditions of coverage.
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All
other
terms, conditions and limitations of this Bond shall remain
unchanged.
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17-02-2437
(12/2006) rev. Page
1
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FEDERAL
INSURANCE COMPANY
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Endorsement
No:
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6
DFI
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Bond
Number:
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82124376
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NAME
OF
ASSURED:
FINANCIAL
TRENDS FUND, INC.
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GENERAL
TERMINATION ENDORSEMENT
It
is agreed that
this Bond is amended by adding to Section 13., Termination, the
following:
No
termination of this Bond as an entirety by the COMPANY shall take
effect prior to the expiration of ninety (90) days after written notice of
such
termination has been mailed to:
FINANCIAL
TRENDS FUND, INC.
If
the Bond as an entirety terminates based on the occurrence of any of
the events described in a., b., or c. of the third paragraph of this Section
13., the COMPANY shall endeavor to provide written notice as soon as practicable
of such termination to:
FINANCIAL
TRENDS FUND, INC.
This
Endorsement applies to loss discovered after 12:01 a.m. on December
1
,
2007
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ALL
OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN
UNCHANGED.
Date:
December
3,
2007
ICAP
Bond
Form
17-02-7052 (Ed. 4-05) Page 1
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Important
Notice:
The
SEC
Requires Proof of Your Fidelity Insurance Policy
Your
company is now required to file an electronic copy of your fidelity
insurance coverage (Chubb’s ICAP Bond policy) to the Securities and Exchange
Commission (SEC), according to rules adopted by the SEC on June 12,
2006.
Chubb
is in the process of providing your agent/broker with an electronic
copy of your insurance policy as well as instructions on how to submit this
proof of fidelity insurance coverage to the SEC. You can expect to receive
this
information from your agent/broker shortly.
The
electronic copy of your policy is provided by Chubb solely as a
convenience and does not affect the terms and conditions of coverage as set
forth in the paper policy you receive by mail. The terms and conditions of
the
policy mailed to you, which are the same as those set forth in the electronic
copy, constitute the entire agreement between your company and
Chubb.
If
you have any questions, please contact your agent or
broker.
Form
14-02-12160 (ed. 7/2006)
I
MPORTANT
NOTICE TO POLICYHOLDERS
All
of the
members of the Chubb Group of Insurance companies doing business in the
United
States (hereinafter "Chubb") distribute their products through licensed
insurance brokers and agents ("producers"). Detailed information regarding
the types of compensation paid by Chubb to producers on US insurance
transactions is available under the Producer Compensation link located
at the
bottom of the page at www.chubb.com, or by calling
1-866-588-9478. Additional information may be available from your producer.
Thank
you for
choosing Chubb.
10-02-1295 (ed.
5/2007)
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Chubb
&
Son
,
div.
of Federal Insurance Company
as
manager of the member insurers of the
Chubb
Group of Insurance Companies
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POLICYHOLDER
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DISCLOSURE
NOTICE OF
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TERRORISM
INSURANCE COVERAGE
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(for
policies
with no terrorism exclusion or sublimit)
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You
are hereby
notified that, under the Terrorism Risk Insurance Act of 2002 (the
“Act”)
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effective
November
26, 2002, this policy makes available to you insurance for
losses
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arising
out of
certain acts of international terrorism. Terrorism is defined as any
act
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certified
by the
Secretary of the Treasury, in concurrence with the Secretary of State
and
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the
Attorney
General of the United States, to be an act of terrorism; to be a violent
act or
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an
act that is
dangerous to human life, property or infrastructure; to have resulted
in
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damage
within the
United States, or outside the United States in the case of an air
carrier
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or
vessel or the
premises of a United States Mission; and to have been committed by
an
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individual
or
individuals acting on behalf of any foreign person or foreign interest,
as
part
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of
an effort to
coerce the civilian population of the United States or to influence
the
policy
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or
affect the
conduct of the United States Government by coercion.
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You
should know
that the insurance provided by your policy for losses caused by acts
of
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terrorism
is
partially reimbursed by the United States under the formula set forth
in
the
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Act.
Under this
formula, the United States pays 90% of covered terrorism losses
that
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exceed
the
statutorily established deductible to be paid by the insurance
company
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providing
the
coverage. The portion of your policy’s annual premium that is attributable
to
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insurance
for such
acts of terrorism is: $
-0-.
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If
you have any
questions about this notice, please contact your agent or
broker.
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Form
10-02-1281 (Ed. 1/2003)
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RESOLUTIONS
The
undersigned
certifies hereby that he is the duly elected Secretary of the Financial Trends
Fund (the “Trust”) and that the Board of Trustees, including a majority of the
Trustees who are not “interested persons” of the Trust, adopted the following
resolutions at a meeting held on December 10, 2007:
WHEREAS,
the
Trustees of the Trust, including the Independent Trustees, have reviewed
the
amount, type, form and premium of Federal Insurance Company Policy No. 82124376
(the ‘Fidelity Bond’); and
WHEREAS,
the amount
of coverage under the Fidelity Bond is $450,000, being greater than the minimum
amount of bond required by Rule 17g-1 promulgated under the Investment Company
Act of 1940;
THEREFORE,
BE IT
RESOLVED, that the amount, type, form and coverage of the Fidelity Bond are
reasonable and the Fidelity Bond be, and hereby is, ratified and approved,
and
FURTHER
RESOLVED,
that the Secretary of the Trust be, and he or she is, designated as the person
who shall make the filings and give the notices required by paragraph (g)
of
Investment Company Act of 1940 rule 17(g)-1; and
FURTHER
RESOLVED,
that the officers of the Trust be, and they hereby are, authorized to take
any
and all other actions required to effectuate these resolutions.
Witness
my hand
this 10
th
day of December,
2007.
/s/
Gary R.
Young
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