Kramer Levin Naftalis & Frankel LLP

Fund Name: Altegris Private Markets Opportunities Fund
Adviser: Altegris Advisors, L.L.C.
Sub-Adviser(s): StepStone Group LP
Fees: 1.2% Management Fee
Open- or Closed-End: Closed-End (Annual repurchase and quarterly secondary transfers commencing in third year of operation)
Investor Restrictions: $25,000 minimum initial investment; $10,000 minimum subsequent investment
Filing Date: Dec. 27, 2017
Effective Date: Dec. 27, 2017
   
Fund Name: OFI Carlyle Global Private Credit Fund
Adviser: OC Private Capital, LLC
Sub-Adviser(s): Not specified
Fees: Not specified
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: Minimum initial and subsequent investments not specified
Filing Date: Dec. 15, 2017
Effective Date: Pending
   
Fund Name: Tortoise Tax-Advantaged Essential Assets Interval Fund, Inc.
Adviser: Tortoise Credit Strategies, LLC
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: Minimum initial and subsequent investments not specified
Filing Date: Dec. 15, 2017
Effective Date: Pending
   
Fund Name: NB Crossroads Private Markets Fund V Holdings LP
Adviser: Neuberger Berman Investment Advisers LLC
Sub-Adviser(s): NB Alternatives Advisers LLC
Fees: 0.85% advisory fee from the Fund's commencement of operations through the end of year eight and then 0.30% for the remaining life of the Fund.
Open- or Closed-End: Closed-End (Master Fund)
Investor Restrictions: Accredited investor, qualified client; $50,000 minimum commitment
Filing Date: Nov. 30, 2017
Effective Date: Nov. 30, 2017
   
Fund Name: NorthStar Real Estate Capital Income Fund-C
Adviser: CNI RECF Advisors, LLC
Sub-Adviser(s): None
Fees: The Fund does not directly pay a management fee with respect to any period during which the only investment securities held by the Fund are those of the Master Fund. The Master Fund pays a management fee, calculated and paid quarterly in arrears, of 1.25% of the Master Fund's average daily net assets during such period.
Open- or Closed-End: Closed-End (Quarterly repurchase; Feeder fund)
Investor Restrictions: $4,000 minimum initial investment; $100 minimum subsequent investment (except for purchases made pursuant to the Trust's dividend reinvestment plan or as otherwise permitted by the Trust)
Filing Date: Nov. 16, 2017
Effective Date: Pending
   
Fund Name: Destra International & Event-Driven Credit Fund
Adviser: Destra Capital Advisors LLC
Sub-Adviser(s): BlueBay Asset Management LLP
Fees: 1.75% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: Unspecified minimum initial investment
Filing Date: Nov. 15, 2017
Effective Date: Pending
   
Fund Name: Sierra Real Estate Fund
Adviser: SREF Advisors LLC
Sub-Adviser(s): None
Fees: 1.5% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: $2,500 minimum initial investment for regular accounts, $1,000 for retirement accounts (Class A); $2,500 minimum initial investment for regular and retirement accounts (Class T, S and L); $100 minimum subsequent investment if made under Fund's automatic investment program, $1,000 minimum subsequent investment if not made under the Fund's automatic investment program (Class A, T, S and L); Unspecified minimum initial investment, no minimum subsequent investment (Class I).
Filing Date: Nov. 13, 2017
Effective Date: Pending
   
Fund Name: Goldman Sachs Private Markets Fund 2018 LLC
Adviser: Goldman Sachs Asset Management, L.P.
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Closed-End
Investor Restrictions: Accredited investor, U.S. person; $50,000 minimum investment
Filing Date: Oct. 12, 2017
Effective Date: Pending
   
Fund Name: Infinity Long/Short Equity Fund LLC
Adviser: Infinity Capital Advisors, LLC
Sub-Adviser(s): None
Fees: 1.25% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: Accredited investor; $25,000 minimum initial investment, $10,000 minimum subsequent investment
Filing Date: Oct. 4, 2017
Effective Date: Pending
   
Fund Name: OFS Credit Company
Adviser: OFS Capital Management, LLC
Sub-Adviser(s): None
Fees: 1.75% Management Fee
Open- or Closed-End: Closed-End (Exchange traded - NASDAQ Global Select Market)
Investor Restrictions: None
Filing Date: Oct. 4, 2017
Effective Date: Pending
   
Fund Name: Calamos Long/Short Equity Income 2028 Term Trust
Adviser: Calamos Advisors LLC
Sub-Adviser(s): None
Fees: 1.10% Management Fee
Open- or Closed-End: Closed-End (Exchange traded - NASDAQ Global Select Market)
Investor Restrictions: None
Filing Date: Sept. 22, 2017
Effective Date: Pending
   
Fund Name: Cushing MLP Infrastructure Fund
Adviser: Cushing Asset Management, LP
Sub-Adviser(s): None
Fees: 1% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $2,000 minimum initial investment (Class A and C), $250 minimum initial investment (Individual retirement accounts), $250,000 minimum initial investment (Class I); $100 minimum subsequent investment (All share classes)
Filing Date: Sept. 19, 2017
Effective Date: Pending
   
Fund Name: Angel Oak Strategic Credit Fund
Adviser: Angel Oak Capital Advisors LLC
Sub-Adviser(s): None
Fees: 1.25% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: $50,000 minimum initial investment
Filing Date: Sept. 15, 2017
Effective Date: Pending
   
Fund Name: IBAA Fund
Adviser: IBAA
Sub-Adviser(s): None
Fees: 1.5% Management Fee
Open- or Closed-End: Closed-End (Exchange traded - NYSE)
Investor Restrictions: Qualified clients; $50,000 minimum initial investment, $10,000 minimum subsequent investment
Filing Date: Sept. 5, 2017
Effective Date: Pending
   
Fund Name: Harvest Volatility Absolute Fund
Adviser: Harvest Volatility Management LLC
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $2,500 minimum initial investment for investor class shares, $1,000 for retirement and education savings accounts and $1,500 for automatic investment plan accounts; $25,000 minimum initial investment for institutional class shares; $100 minimum subsequent investment (all accounts).
Filing Date: Sept.1, 2017
Effective Date: Pending
   
Fund Name: Harvest Edge Equity Fund
Adviser: Harvest Volatility Management LLC
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $2,500 minimum initial investment for investor class shares, $1,000 for retirement and education savings accounts and $1,500 for automatic investment plan accounts; $25,000 minimum initial investment for institutional class shares; $100 minimum subsequent investment (all accounts).
Filing Date: Sept.1, 2017
Effective Date: Pending
   
Fund Name: Harvest Edge Bond Fund
Adviser: Harvest Volatility Management LLC
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Open-End (Mutual Fund)
Investor Restrictions: $2,500 minimum initial investment for investor class shares, $1,000 for retirement and education savings accounts and $1,500 for automatic investment plan accounts; $25,000 minimum initial investment for institutional class shares; $100 minimum subsequent investment (all accounts).
Filing Date: Sept.1, 2017
Effective Date: Pending
   
Fund Name: BlackRock Multi-Sector Opportunities Trust Series I
Adviser: BlackRock Advisors LLC
Sub-Adviser(s): BlackRock International Limited and BlackRock (Singapore) Limited
Fees: Not specified
Open- or Closed-End: Closed-End (Quarterly repurchase; Feeder fund)
Investor Restrictions: Minimum investment levels not specified
Filing Date: Aug. 31, 2017
Effective Date: Pending
   
Fund Name: Orinda Preferred Yield Plus Fund
Adviser: Orinda Asset Management LLC
Sub-Adviser(s): Not specified
Fees: 1.25% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: $10,000 minimum initial investment (Class A); $50,000 minimum initial investment (Class I); No minimum subsequent investment (Class A or I)
Filing Date: Aug. 18, 2017
Effective Date: Pending
   
Fund Name: WCM Alternatives: Credit Event Fund
Adviser: Westchester Capital Management LLC
Sub-Adviser(s): None
Fees: 1.25% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $2,000 minimum initial investment, no minimum subsequent investment (Investor Class Shares); $1 million minimum initial investment, $500 minimum subsequent investment (Institutional Class Shares)
Filing Date: Aug. 8, 2017
Effective Date: Pending
   
Fund Name: Oppenheimer SteelPath MLP & Energy Infrastructure Fund
Adviser: OFI SteelPath Inc.
Sub-Adviser(s): Not specified
Fees: Not specified
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $1,000 minimum initial investment; $500 minimum initial investment for Traditional and Roth IRA, Asset Builder Plan, Automatic Exchange Plan and government allotment plan accounts; $1 million minimum initial investment for Class I shares; No minimum subsequent investment
Filing Date: Aug. 1, 2017
Effective Date: Pending
   
Fund Name: T. Rowe Price Capital Appreciation & Income Fund, Inc.
Adviser: T. Rowe Price Associates, Inc.
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $2,500 minimum initial investment ($1,000 for retirement accounts), $100 minimum subsequent investment (Investor Class); $1 million minimum initial investment, no minimum subsequent investment (I Class); Advisor Class shares may generally only be purchased through a financial intermediary or retirement plan.
Filing Date: July 6, 2017
Effective Date: Pending
   
Fund Name: Highland Global Allocation Fund II
Adviser: Highland Capital Management Fund Advisors, L.P.
Sub-Adviser(s): Not specified
Fees: 0.4% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $500 minimum initial investment by mail ($1,000 by wire), $100 minimum subsequent investment by mail ($1,000 by wire) for Class A and C Shares; No minimum initial or subsequent investment amounts for Class Y Shares.
Filing Date: June 30, 2017
Effective Date: Pending
   
Fund Name: Highland Floating Rate Opportunities Fund II
Adviser: Highland Capital Management Fund Advisors, L.P.
Sub-Adviser(s): Not specified
Fees: 0.65% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $2,500 minimum initial investment; $50 minimum subsequent investment
Filing Date: June 30, 2017
Effective Date: Pending
   
Fund Name: Blackstone/GSO Floating Rate Enhanced Income Fund
Adviser: GSO/Blackstone Debt Funds Management LLC
Sub-Adviser(s): None
Fees: Management fee at an annual rate equal to 1% of the average daily value of the Fund's net assets
Open- or Closed-End: Closed-End (Monthly repurchase - subject to receipt of exemptive relief)
Investor Restrictions: $10,000 minimum initial investment; $1,000 minimum subsequent investment
Filing Date: June 30, 2017
Effective Date: Pending
   
Fund Name: Columbia Variable Portfolio - Managed Risk U.S. Fund
Adviser: Columbia Management Investment Advisers LLC
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: The Fund is available for purchase through Contracts offered by the separate accounts of participating insurance companies or by other eligible investors authorized by Columbia Management Investment Distributors Inc.
Filing Date: June 26, 2017
Effective Date: Pending
   
Fund Name: Columbia Variable Portfolio - Managed Risk Global Fund
Adviser: Columbia Management Investment Advisers LLC
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: The Fund is available for purchase through Contracts offered by the separate accounts of participating insurance companies or by other eligible investors authorized by Columbia Management Investment Distributors Inc.
Filing Date: June 26, 2017
Effective Date: Pending
   
Fund Name: AIP Alternative Lending Fund A
Adviser: Morgan Stanley AIP GP LP
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Closed-End (Quarterly repurchase; Master Fund)
Investor Restrictions: Accredited investor; $50,000 minimum initial investment, $25,000 minimum subsequent investment
Filing Date: June 22, 2017
Effective Date: Pending
   
Fund Name: AIP Alternative Lending Fund P
Adviser: Morgan Stanley AIP GP LP
Sub-Adviser(s): None
Fees: Not specified (Investors are indirectly subject to the Master Fund's management fee)
Open- or Closed-End: Closed-End (Quarterly repurchase; Feeder fund)
Investor Restrictions: Accredited investor; $50,000 minimum initial investment, $25,000 minimum subsequent investment
Filing Date: June 22, 2017
Effective Date: Pending
   
Fund Name: T. Rowe Price Multi-Strategy Total Return Fund, Inc.
Adviser: T. Rowe Price Associates, Inc.
Sub-Adviser(s): None
Fees: 1% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: For Investor and Advisor Class Shares: $2,500 minimum initial investment ($1,000 minimum initial investment if opening an IRA, a custodial account for a minor, or a small business retirement plan account), $100 minimum subsequent investment; For Class I Shares: $1,000,000 minimum initial investment, no minimum subsequent investment
Filing Date: June 9, 2017
Effective Date: Pending
   
Fund Name: Nuveen Emerging Markets Debt 2022 Target Term Fund
Adviser: Nuveen Fund Advisors LLC
Sub-Adviser(s): Teachers Advisors LLC
Fees: Not specified
Open- or Closed-End: Closed-End (Exchange traded)
Investor Restrictions: Minimum investment of 100 common shares
Filing Date: June 9, 2017
Effective Date: Pending
   
Fund Name: NorthStar Real Estate Capital Income Fund-ADV
Adviser: CNI RECF Advisors LLC
Sub-Adviser(s): None specified
Fees: Management fee paid at the Master Fund level - fee calculated at an annual rate of 1.25% of the Master Fund's average daily net assets.
Open- or Closed-End: Closed-End (Feeder fund)
Investor Restrictions: $4,000 minimum initial investment, $100 minimum subsequent investment
Filing Date: June 1, 2017
Effective Date: Pending
   
Fund Name: Putnam PanAgora Managed Futures Fund
Adviser: Putnam Investment Management LLC
Sub-Adviser(s): PanAgora Asset Management Inc.
Fees: 1% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $500 minimum initial investment (currently waived; Putnam reserves the right to reject initial investments of less than $500 at its discretion)
Filing Date: May 23, 2017
Effective Date: Pending
   
Fund Name: PanAgora Market Neutral Fund
Adviser: Putnam Investment Management LLC
Sub-Adviser(s): PanAgora Asset Management Inc.
Fees: 1.3% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $500 minimum initial investment (currently waived; Putnam reserves the right to reject initial investments of less than $500 at its discretion)
Filing Date: May 23, 2017
Effective Date: Pending
   
Fund Name: Putnam PanAgora Risk Parity Fund
Adviser: Putnam Investment Management LLC
Sub-Adviser(s): PanAgora Asset Management Inc.
Fees: 0.75% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $500 minimum initial investment (currently waived; Putnam reserves the right to reject initial investments of less than $500 at its discretion)
Filing Date: May 23, 2017
Effective Date: Pending
   
Fund Name: Vivaldi Opportunities Fund
Adviser: Vivaldi Asset Management LLC
Sub-Adviser(s): RiverNorth Capital Management LLC and Angel Oak Capital Advisors LLC
Fees: Management fee payable on a monthly basis at the annual rate of 1.4% of the Fund's average daily Managed Assets.
Open- or Closed-End: Closed-End (Exchange traded)
Investor Restrictions: $1,500 minimum initial investment, $500 minimum subsequent investment
Filing Date: May 22, 2017
Effective Date: Pending
   
Fund Name: Invesco High Income 2024 Target Term Fund
Adviser: Invesco Advisers Inc.
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Closed-End (Exchange traded)
Investor Restrictions: Minimum investment of 100 common shares
Filing Date: May 10, 2017
Effective Date: Pending
   
Fund Name: Tortoise Essential Assets Income 2024 Term Fund
Adviser: Tortoise Capital Advisors LLC
Sub-Adviser(s): Tortoise Credit Strategies LLC
Fees: Not specified
Open- or Closed-End: Closed-End (Exchange traded)
Investor Restrictions: Minimum investment of 100 common shares
Filing Date: April 24, 2017
Effective Date: Pending
   
Fund Name: XAI Octagon Floating Rate Income & Credit Alternative Trust
Adviser: XA Investments LLC
Sub-Adviser(s): Octagon Credit Investors LLC
Fees: Not specified
Open- or Closed-End: Closed-End (Exchange traded)
Investor Restrictions: Not specified
Filing Date: April 7, 2017
Effective Date: Pending
   
Fund Name: USQ Core Real Estate Fund
Adviser: Union Square Capital Partners LLC
Sub-Adviser(s): None
Fees: Not specified
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: $2,500 minimum initial investment, $100 minimum subsequent investment (Class IS); $25,000 minimum initial investment, $100 minimum subsequent investment (Class I)
Filing Date: April 6, 2017
Effective Date: Pending
   
Fund Name: NB Crossroads Private Markets Fund V (TE)
Adviser: Neuberger Berman Investment Advisers LLC
Sub-Adviser(s): NB Alternatives Advisers LLC
Fees: The Fund, through its investment in the Master Fund, will indirectly bear the management fees and carried interest allocations (or equivalent) of the Portfolio Funds; the expenses of the Portfolio Funds, including without limitation, investment-related expenses, non-investment related interest expense, administrative expenses and fees and disbursements of attorneys and accountants engaged on behalf of the Portfolio Fund and other ordinary and extraordinary expenses.
Open- or Closed-End: Closed-End (Feeder fund)
Investor Restrictions: Accredited investors and qualified clients; $50,000 minimum investment
Filing Date: March 31, 2017
Effective Date: Pending
   
Fund Name: FS Global Credit Opportunities Fund-T2
Adviser: FS Global Advisor LLC
Sub-Adviser(s): GSO Capital Partners LP
Fees: Management Fee calculated and payable quarterly in arrears at the annual rate of 2% of the Fund's average daily gross assets during such period.
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: $5,000 minimum initial investment, $500 minimum subsequent investment; Investors are required to have either: (i) a net worth - not including home, furnishings and personal automobiles - of at least $70,000 and an annual gross income of at least $70,000; or (ii) a net worth - not including home, furnishings and personal automobiles - of at least $250,000.
Filing Date: March 28, 2017
Effective Date: Pending
   
Fund Name: AllianzGI Convertible & Income 2024 Target Term Fund
Adviser: Allianz Global Investors U.S. LLC
Sub-Adviser(s): Not specified
Fees: Not specified
Open- or Closed-End: Closed-End (Exchange traded)
Investor Restrictions: Minimum investment of 100 common shares
Filing Date: March 24, 2017
Effective Date: Pending
   
Fund Name: Eaton Vance Floating-Rate 2024 Target Term Trust
Adviser: Eaton Vance Management
Sub-Adviser(s): Not specified
Fees: Not specified
Open- or Closed-End: Closed-End (Exchange traded)
Investor Restrictions: Minimum investment of 100 common shares
Filing Date: March 17, 2017
Effective Date: Pending
   
Fund Name: American Beacon Institutional Funds Trust
Adviser: American Beacon Advisors Inc.
Sub-Adviser(s): Aristotle Capital Management LLC; Barrow, Hanley, Mewhinney & Strauss LLC; Brandywine Global Investment Management LLC; Hotchkis & Wiley Capital Management LLC; Lazard Asset Management LLC; and Templeton Investment Counsel LLC.
Fees: Aggregate annualized management fee equal to 0.31% of the Fund's average daily net assets.
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: Accredited investor and qualified purchaser; $100,000 minimum initial investment
Filing Date: March 17, 2017
Effective Date: Pending
   
Fund Name: Morningstar Funds Trust
Adviser: Morningstar Investment Management LLC
Sub-Adviser(s): Not specified
Fees: Not specified
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: No initial or subsequent minimum purchase amounts.
Filing Date: March 6, 2017
Effective Date: Pending
   
Fund Name: THL Credit Senior Loan 2024 Term Fund
Adviser: Four Wood Capital Advisors LLC
Sub-Adviser(s): THL Credit Advisors LLC
Fees: Not specified
Open- or Closed-End: Closed-End (Exchange traded)
Investor Restrictions: Minimum investment of 100 common shares
Filing Date: Feb. 27, 2017
Effective Date: Pending
   
Fund Name: AlphaCentric Prime Meridian Income Fund
Adviser: Alphacentric Advisors LLC
Sub-Adviser(s): Prime Meridian Capital Management LLC
Fees: 1.5% Management Fee
Open- or Closed-End: Closed-End (Quarterly repurchase)
Investor Restrictions: $2,500 minimum initial investment for regular accounts, $1,000 for retirement plan accounts; $100 minimum subsequent investment if made through an automatic investment program, $1,000 for subsequent investments not made through an automatic investment program.
Filing Date: Feb. 13, 2017
Effective Date: Pending
   
Fund Name: Day Hagan Hedged Strategy Fund
Adviser: Donald L. Hagan LLC
Sub-Adviser(s): Pacini Hatfield Investments LLC
Fees: 1.75% Management Fee
Open- or Closed-End: Open-End (Mutual fund)
Investor Restrictions: $1,000 minimum initial investment for regular and IRA accounts, $100 for automatic investment plan accounts; $50 minimum subsequent investment (Class T)
Filing Date: Feb. 1, 2017
Effective Date: Pending

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