Designate a New Effective Date for a Post-effective Amendment Previously Filed Pursuant to Rule 485(a) (485bxt)
24 9월 2013 - 3:18AM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on September 23, 2013
File Nos. 333-129005
811-21823
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X]
Pre-Effective Amendment No. ___ [ ]
Post-Effective Amendment No. 17 [X]
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and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 18 [X]
(Check appropriate box or boxes)
PIONEER SERIES TRUST V
(Exact Name of Registrant as Specified in Charter)
60 State Street, Boston, Massachusetts 02109
(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code: (617) 742-7825
Terrence J. Cullen, Pioneer Investment Management, Inc.
60 State Street, Boston, Massachusetts 02109
(Name and Address of Agent for Service)
It is proposed that this filing will become effective (check appropriate box):
[ ] immediately upon filing pursuant to paragraph (b)
[X] on October 23, 2013 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.
This filing relates solely to Pioneer Long/Short Global Bond Fund and Pioneer
Opportunistic Long/Short Credit Fund, each a series of the Registrant.
STATEMENT OF INCORPORATION BY REFERENCE
Part A (the Prospectus) and Part B (the Statement of Additional Information)
filed by the Registrant in Post-Effective Amendment No. 16 to the Registration
Statement on Form N-1A under the Securities Act of 1933 (File No. 333-129005)
and Amendment No. 17 to the Registration Statement on Form N-1A under the
Investment Company Act of 1940 (File No. 811-21823) pursuant to Rule 485(a) on
August 9, 2013 (Accession Number 0000276776-13-000085) are herein incorporated
by reference. This filing is being made pursuant to Rule 485(b)(1)(iii) under
the Securities Act of 1933 to extend the effectiveness of the Registration
Statement until October 23, 2013.
PART C - OTHER INFORMATION
Item 28. Exhibits
(a)(1) Amended and Restated Agreement and Declaration of Trust (5)
(a)(2) Amendment to Amended and Restated Agreement and
Declaration of Trust (as of May 22, 2010) (6)
(a)(3) Schedule A to to Amended and Restated Agreement and
Declaration of Trust (July 9, 2013) (9)
(a)(4) Certificate of Trust (1)
(b) Amended and Restated By-Laws (5)
(c) Amended and Restated Declaration of Trust and Amended and
Restated By-Laws cited under Items 23(a)(1) and 23(b)
(d)(1) Amended and Restated Management Agreement (5)
(d)(2) Form of Management Agreement - Pioneer Long/Short
Global Bond Fund and Pioneer Opportunistic Long/Short
Credit Fund (July 9, 2013) (9)
(e)(1) Amended Underwriting Agreement (3)
(e)(2) Dealer Sales Agreement (4)
(f) None
(g)(1) Custodian Agreement (3)
(g)(2) Amended Appendix A to Custodian Agreement
(December 1, 2012) (9)
(h)(1) Master Investment Company Service Agreement (3)
(h)(2) Amendment No. 6 to Master Investment Company Service Agreement
(December 1, 2012) (9)
(h)(3) Amended and Restated Administration Agreement
(March 5, 2012) (8)
(h)(4) Appendix A to Administration Agreement
(December 1, 2012) (9)
(h)(5) Administrative Agency Agreement, dated as of March 5, 2012,
between Brown Brothers Harriman & Co. and Pioneer Investment
Management, Inc. (8)
(h)(6) Expense Limit Agreement (July 9, 2013) (9)
(i)(1) Opinion of Counsel with respect to legality of shares issued by
Pioneer Disciplined Value Fund (formerly known as Pioneer Select
Research Value Fund), Pioneer Disciplined Growth Fund (formerly
known as Pioneer Select Research Growth Fund), and Pioneer Global
Equity Fund (formerly known as Pioneer Global Select
Equity Fund) (2)
(i)(2) Opinion of Counsel with respect to legality of shares issued by
Pioneer High Income Municipal Fund (3)
(j) N/A
(k) None
(l)(1) Share Purchase Agreement - Pioneer Global Equity Fund (formerly
known as Pioneer Global Select Equity Fund), Pioneer Disciplined
Value Fund (formerly known as Pioneer Select Research
Value Fund), and Pioneer Disciplined Growth Fund (formerly
known as Pioneer Select Research Growth Fund) (2)
(l)(2) Share Purchase Agreement - Pioneer High Income Municipal Fund (3)
(m)(1) Pioneer Funds Distribution Plan (5)
(m)(2) Appendix A and Appendix B to Pioneer Funds Distribution Plan
(July 2013) (9)
(n)(1) Multiclass Plan Pursuant to Rule 18f-3 - Pioneer Disciplined
Value Fund (formerly known as Pioneer Select Research
Value Fund) (2)
(n)(2) Multiclass Plan Pursuant to Rule 18f-3 - Pioneer Disciplined
Growth Fund (formerly known as Pioneer Select Research
Growth Fund) (2)
(n)(3) Multiclass Plan Pursuant to Rule 18f-3 - Pioneer Global
Equity Fund (formerly known as Pioneer Global Select
Equity Fund) (2)
(n)(4) Multiclass Plan Pursuant to Rule 18f-3 - Pioneer High Income
Municipal Fund (3)
(n)(5) Multiclass Plan Pursuant to Rule 18f-3 - Pioneer Long/Short
Global Bond Fund (*)
(n)(6) Multiclass Plan Pursuant to Rule 18f-3 - Pioneer Opportunistic
Long/Short Credit Fund (*)
(o) Not applicable
(p) Code of Ethics of the Pioneer Funds, Pioneer Funds
Distributor, Inc., Pioneer Institutional Asset Managemet, Inc.,
and Pioneer Investment Management, Inc. (February 2010) (7)
N/A Power of Attorney (January 11, 2011) (8)
(1) Previously filed. Incorporated herein by reference from the exhibits filed
with the registrant's initial registration statement on Form N-1A (File
Nos. 333-129005 and 811-21823), as filed with the Securities and Exchange
Commission (the "SEC") on October 14, 2005 (Accession No. 0001341256-05-
000004).
(2) Previously filed. Incorporated herein by reference from the exhibits filed
with Pre-Effective Amendment No. 1 to the registrant's registration
statement on Form N-1A (File Nos. 333-129005 and 811-21823), as filed with
the SEC on December 14, 2005 (Accession No. 0001341256-05-000010).
(3) Previously filed. Incorporated herein by reference from the exhibits filed
with Post-Effective Amendment No. 4 to the registrant's registration
statement on Form N-1A (File Nos. 333-129005 and 811-21823), as filed with
the SEC on October 10, 2006 (Accession No. 0001341256-06-000015).
(4) Previously filed. Incorporated herein by reference from the exhibits filed
with Post-Effective Amendment No. 5 to the registrant's registration
statement on Form N-1A (File Nos. 333-129005 and 811-21823), as filed with
the SEC on December 27, 2007 (Accession No. 0001341256-07-000014).
(5) Previously filed. Incorporated herein by reference from the exhibits filed
with Post-Effective Amendment No. 7 to the registrant's registration
statement on Form N-1A (File Nos. 333-129005 and 811-21823), as filed with
the SEC on October 31, 2008 (Accession No. 0001341256-08-000032).
(6) Previously filed. Incorporated herein by reference from the exhibits filed
with Post-Effective Amendment No. 11 to the registrant's registration
statement on Form N-1A (File Nos. 333-129005 and 811-21823), as filed with
the SEC on December 23, 2010 (Accession No. 0001341256-10-000028).
(7) Previously filed. Incorporated herein by reference from the exhibits filed
with Post-Effective Amendment No. 12 to the registrant's registration
statement on Form N-1A (File Nos. 333-129005 and 811-21823), as filed with
the SEC on December 23, 2011 (Accession No. 0001341256-11-000011).
(8) Previously filed. Incorporated herein by reference from the exhibits filed
with Post-Effective Amendment No. 14 to the registrant's registration
statement on Form N-1A (File Nos. 333-129005 and 811-21823), as filed with
the SEC on December 21, 2012 (Accession No. 0001341256-12-000006).
(9) Previously filed. Incorporated herein by reference from the exhibits filed
with Post-Effective Amendment No. 16 to the registrant's registration
statement on Form N-1A (File Nos. 333-129005 and 811-21823), as filed with
the SEC on August 9, 2013 (Accession No. 0000276776-13-000085).
(*) To be filed by Amendment.
Item 29. Persons Controlled by or Under Common Control with the Trust
None.
Item 30. Indemnification
Except for the Trust's Amended and Restated Agreement and Declaration of
Trust (the "Declaration"), establishing the Trust as a stautory trust under
Delaware law, there is no contract, arrangement or statute under which any
Trustee, officer, underwriter or affiliated person of the Trust is insured or
indemnified. The Declaration provides that every person who is, or has been, a
Trustee or an officer, employee or agent of the Trust shall be indemnified by
the Trust or the appropriate Trust series to the fullest extent permitted by law
against liability and against all expenses reasonably incurred or paid by him 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 a
Trustee, officer, employee or agent and against amounts paid or incurred by him
in the settlement thereof.
Insofar as indemnification for liability arising under the Securities Act
of 1933, as amended (the "1933 Act"), may be available to Trustees, officers and
controlling persons of the Trust pursuant to the foregoing provisions, or
otherwise, the Trust has been advised that in the opinion of the SEC such
indemnification is against public policy as expressed in the 1933 Act and is,
therefore, unenforceable. In the event that a claim for indemnification against
such liabilities (other than the payment by the Trust of expenses incurred or
paid by a Trustee, officer or controlling person of the Trust in the successful
defense of any action, suit or proceeding) is asserted by such Trustee, officer
or controlling person in connection with the securities being registered, the
Trust will, unless in the opinion of its counsel the matter has been settled by
controlling precedent, submit to a court of appropriate jurisdiction the
question whether such indemnification by it is against public policy as
expressed in the 1933 Act and will be governed by the final adjudication of such
issue.
Item 31. Business and Other Connections of Investment Adviser
Pioneer Investment Management, Inc. ("Pioneer Investments") is a registered
investment adviser under the Investment Advisers Act of 1940, as amended, and is
an indirect, wholly owned subsidiary of UniCredit S.p.A. ("UniCredit"). Pioneer
Investments manages investment companies, pension and profit sharing plans,
trusts, estates or charitable organizations and other corporations or business
entities.
To the knowledge of the Trust, none of Pioneer Investments' directors or
executive officers is or has been during their employment with Pioneer
Investments engaged in any other business, profession, vocation or employment of
a substantial nature for the past two fiscal years, except as noted below.
Certain directors and officers, however, may hold or may have held various
positions with, and engage or have engaged in business for, the investment
companies that Pioneer Investments manages and/or other UniCredito subsidiaries.
OTHER BUSINESS, PROFESSION, VOCATION OR
EMPLOYMENT OF SUBSTANTIAL NATURE WITHIN LAST TWO
NAME OF DIRECTOR/OFFICER FISCAL YEARS
John F. Cogan, Jr. Of Counsel,
Wilmer Cutler Pickering Hale and Dorr LLP,
60 State Street, Boston, Massachusetts 02109
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ITEM 32. PRINCIPAL UNDERWRITERS
(a) Pioneer Funds Distributor, Inc. acts as principal
underwriter for the following investment companies:
Pioneer Bond Fund
Pioneer Emerging Markets Fund
Pioneer Equity Income Fund
Pioneer Equity Opportunity Fund
Pioneer Fund
Pioneer High Yield Fund
Pioneer Ibbotson Asset Allocation Series
Pioneer Mid Cap Growth Fund
Pioneer Mid Cap Value Fund
Pioneer Money Market Trust
Pioneer Real Estate Shares
Pioneer Series Trust I
Pioneer Series Trust II
Pioneer Series Trust III
Pioneer Series Trust IV
Pioneer Series Trust V
Pioneer Series Trust VI
Pioneer Series Trust VII
Pioneer Series Trust VIII
Pioneer Series Trust X
Pioneer Series Trust XI
Pioneer Series Trust XII
Pioneer Short Term Income Fund
Pioneer Strategic Income Fund
Pioneer Variable Contracts Trust
(b) Directors and executive officers of Pioneer Funds
Distributor, Inc.:
POSITIONS AND OFFICES POSITIONS AND OFFICES
NAME WITH UNDERWRITER WITH FUND
-------------------------- --------------------------------------------- -------------------------
Daniel K. Kingsbury Director Executive Vice President
and Trustee
Joseph D. Kringdon Director and President None
Mark D. Goodwin Executive Vice President and Chief None
Operating Officer
Gregg Dooling Chief Financial Officer None
Gerald H. Stanney, Jr. Vice President and Chief Compliance Officer None
Patrick D. Grecco Vice President and Controller None
The principal business address of each of these individuals is 60 State Street,
Boston, Massachusetts 02109-1820.
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(c) Not applicable.
ITEM 33. LOCATION OF ACCOUNTS AND RECORDS
The accounts and records are maintained at the Fund's office at 60 State
Street, Boston, Massachusetts 02109; contact the Treasurer.
Item 34. Management Services
Not applicable.
Item 35. Undertakings
Not applicable.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, and
the Investment Company Act of 1940, as amended, the Trust certifies that it
meets all of the requirements for effectiveness of this registration statement
under Rule 485(b) under the Securities Act of 1933 and has duly caused this
Post-Effective Amendment No. 17 to its registration statement to be signed on
its behalf by the undersigned, duly authorized, in the City of Boston, and the
Commonwealth of Massachusetts, on the 23rd day of September, 2013
PIONEER SERIES TRUST V
By: /s/ Daniel K. Kingsbury
----------------------------
Daniel K. Kingsbury
Executive Vice President
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Pursuant to the requirements of the Securities Act of 1933, this
registration statement has been signed below by the following persons in the
capacities indicated below on September 23, 2013:
Signature Title
John F. Cogan, Jr.* President (Principal Executive
John F. Cogan, Jr. Officer) and Trustee
Mark E. Bradley* Treasurer (Principal
Mark E. Bradley Financial and Accounting
Officer)
David R. Bock* Trustee
David R. Bock
Benjamin M. Friedman* Trustee
Benjamin M. Friedmam
Margaret B.W. Graham* Trustee
Margaret B.W. Graham
/s/Daniel K. Kingsbury Executive Vice President
----------------------- and Trustee
Daniel K. Kingsbury
Thomas J. Perna* Chairman of the Board and
Thomas J. Perna Trustee
Marguerite A. Piret* Trustee
Marguerite A. Piret
Stephen K. West* Trustee
Stephen K. West
*By: /s/Daniel K. Kingsbury Dated: September 23, 2013
-----------------------
Daniel K. Kingsbury
Attorney-in-Fact
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