Fillable Form 1: NYSE Closed-end Management Investment Company Corporate (The New York Stock Exchange)

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Form 1: NYSE Closed-end Management Investment Company Corporate (The New York Stock Exchange)

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1
NYSE Closed-end Management Investment Company
Corporate Governance Affirmation
Issuer:
Symbol:
Type of Affirmation: Initial
1
Annual
Notice of Non-compliance: Yes
2
No
NOTE: This form is to be used by a closed-end investment company listed on the NYSE and, pursuant to Section
303A.00 is subject to the requirements of Sections 303A.06, 303A.07(a), 303A.07(b), and 303A.12 of the NYSE
Listed Company Manual (the “Manual”).
Part I.
INSTRUCTIONS: Please provide the following information for each director currently serving, or who will be serving
as of the day of listing, on the Issuer’s board of directors and audit committee. Please indicate each audit committee
member that has been deemed independent for purposes of Rule 10A-3(b)(1) of the Securities Exchange Act of
1934 (“Rule 10A-3(b)(1)”).
1
Issuers that are submitting an Initial Affirmation must be compliant in all areas, subject to applicable transition periods.
2
If this document is serving as a non-compliance notification to the Exchange it must be executed by the Issuer’s CEO.
3
Independent for purposes of Rule 10A-3(b)(1)
4
Serves on the Audit Committee
5
FL = Financially Literate; NFL = Not Financially Literate; FME = NYSE Accounting/Financial Management Expertise; ACFE = SEC Audit
Committee Financial Expert
DIRECTOR DETAILS:
Board
Class
Term
End
10A-3 Ind.
(Y/N)
3
AC
4
Financial
Literacy
5
1.
2.
3.
4.
5.
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7.
8.
9.
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2
Please provide the following information for each independent audit committee member identified in the chart above.
Alternatively, a reference to the location of the disclosure in the Issuer’s public U.S. Securities and Exchange
Commission (“SEC”) filings can be provided.
Brief biography.
Share ownership in the Issuer.
Brief description of any direct or indirect consulting, advisory, or other compensatory fee arrangement with
the Issuer or any of its subsidiaries as specified in Rule 10A-3(b)(1)(iii)(A).
Indication of whether the audit committee member is an “interested person” of the Issuer as specified in Rule
10A-3(b)(1)(iii)(B).
Part II.
INSTRUCTIONS: Issuers listed on the New York Stock Exchange (the “Exchange”) must comply with the corporate
governance requirements set forth in Section 303A of the Manual. In response to each item below, please check the
box beside the single affirmation that is most applicable to the Issuer. Please note that, depending on the affirmation
made, an item may require the Issuer to provide additional information or a link to the applicable document
referenced therein. Please also note that specific types of entities may avail themselves of exemptions to or transition
periods for compliance with certain of the requirements. If the Issuer is availing itself of any of these exemptions or
transition periods, it should select the corresponding affirmation for the applicable item.
1. Audit Committee: Section 303A.06 and 303A.07(a) of the Manual
For closed-end management investment companies only: I hereby certify that (i) the Issuer has an audit
committee that meets the requirements of Section 303A.07 of the Manual and that the composition of such
audit committee complies with (or is exempt therefrom) the independence requirements of Rule 10A-3(b)(1) of
the Exchange Act and (ii) such audit committee has a written charter that meets the requirements of Section
303A.07 of the Manual.
The Issuer is unable to make the affirmation set forth in this Item 1 and is therefore non-compliant for the
following reason:
3
2. Audit Committee Exemption: Section 303A.06 of the Manual for Rule 10A-3 of the Exchange Act
I hereby certify that the Issuer’s audit committee is relying on an exemption from Rule 10A-3. Please state
below which Rule 10A-3 exemption(s) the Issuer or any individual member is relying on and briefly describe the
basis for such exemption below.
3. Other Non-Compliance: Section 303A of the Manual
Apart from any non-compliance specific to the preceding sections, the Issuer is non-compliant with Section
303A of the Manual for the following reason(s):
I am an authorized officer of the Issuer and have the legal authority to provide the information and make the
affirmations contained herein. I hereby certify that all information contained herein is true and correct to the best of
my knowledge as of the date hereof.
Name of the Issuer:
By:
Title:
Date submitted:
Telephone number:
E-mail address:
Signature: /s/
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Form 1: NYSE Closed-end Management Investment Company Corporate (The New York Stock Exchange)

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Completed 26 March 2021

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