RIDER NO. 13
INSURED BOND NUMBER
Seligman Data Corp. 87167106B
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
October 3, 2006 July 24, 2006 to July 24, 2007 /S/ Catherine Dalton
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that Item 1 of the Declarations, Name of Insured, shall include the
following:
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Seligman TargetHorizon ETF Portfolios, Inc.
o Seligman TargETFund 2045
o Seligman TargETFund 2035
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
ICI MUTUAL INSURANCE COMPANY
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 14
--------------------------------------------------------------------------------
INSURED BOND NUMBER
Seligman Data Corp. 87167106B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
December 29, 2006 July 24, 2006 to July 24, 2007 /S/ Catherine Dalton
================================================================================
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In consideration of the premium charged for this Bond, it is hereby understood
and agreed that Item 1 of the Declarations, Name of Insured, shall include the
following:
o LaSalle Global Real Estate Fund, a series of Seligman LaSalle
Real Estate Fund Series, Inc.
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
ICI MUTUAL INSURANCE COMPANY
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 15
--------------------------------------------------------------------------------
INSURED BOND NUMBER
Seligman Data Corp. 87167106B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
May 25, 2007 July 24, 2006 to July 24, 2007 /S/ Catherine Dalton
================================================================================
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In consideration of the premium charged for this Bond, it is hereby understood
and agreed that Item 1 of the Declarations, Name of Insured, shall include the
following:
Seligman LaSalle International Real Estate Fund, Inc.
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
1
SELIGMAN CAPITAL FUND, INC.
SELIGMAN CASH MANAGEMENT FUND, INC.
SELIGMAN COMMON STOCK FUND, INC.
SELIGMAN COMMUNICATIONS AND INFORMATION FUND, INC.
SELIGMAN CORE FIXED INCOME FUND, INC.
SELIGMAN FRONTIER FUND, INC.
SELIGMAN GLOBAL FUND SERIES, INC.
SELIGMAN GROWTH FUND, INC.
SELIGMAN HIGH INCOME FUND SERIES
SELIGMAN INCOME AND GROWTH FUND, INC.
SELIGMAN LASALLE REAL ESTATE FUND SERIES, INC.
SELIGMAN LASALLE INTERNATIONAL REAL ESTATE FUND, INC.
SELIGMAN MUNICIPAL FUND SERIES, INC.
SELIGMAN MUNICIPAL SERIES TRUST
SELIGMAN NEW JERSEY MUNICIPAL FUND, INC.
SELIGMAN NEW TECHNOLOGIES FUND, INC.
SELIGMAN NEW TECHNOLOGIES FUND II, INC.
SELIGMAN TARGETHORIZON ETF PORTFOLIOS, INC.
SELIGMAN PENNSYLVANIA MUNICIPAL FUND SERIES
SELIGMAN PORTFOLIOS, INC.
SELIGMAN SELECT MUNICIPAL FUND, INC.
SELIGMAN TIME HORIZON/HARVESTER SERIES, INC.
SELIGMAN VALUE FUND SERIES, INC.
TRI-CONTINENTAL CORPORATION
(collectively, the "Funds")
Secretary's Certificate
The undersigned certifies that he is the Secretary of each of the Funds,
and that, as such, he is authorized to execute this certificate on behalf of
each Fund and further certifies on behalf of each Fund that following are a true
and complete copy of resolutions duly adopted by the Board of Directors/Trustees
of each Fund on May 17, 2007, relating to the Funds' Joint Fidelity Bond (the
"Bond") as set forth below and such resolutions have not been rescinded or
amended and remain in full force and effect on the date hereof:
1. The Board of Directors of Seligman LaSalle International Real Estate Fund,
Inc. (the "Real Estate Fund") adopted the following resolutions:
RESOLVED, that it is determined that the Joint Fidelity Bond
(the "Bond") coverage in the aggregate amount of $24 million for
larceny and embezzlement under the agreement jointly insuring the
Real Estate Fund, the other investment companies in the Seligman
Group, Seligman Advisors, Inc., J. & W. Seligman & Co. Incorporated
Matched Accumulation Plan, Seligman Data Corp. ("SDC") and SDC
Employees
Thrift Plan as primary assureds, is reasonable and is approved as to
amount, type, form and coverage;
FURTHER RESOLVED, that the portion of the premium to be paid
for the Bond by the Real Estate Fund, as presented to this meeting
is fair and reasonable and be, and hereby is, approved;
FURTHER RESOLVED, that the agreement among the Insured
Entities governing the recovery to be made by such Insured Entities
in respect of any covered loss, as provided by Rule 17g-1(f) under
the Investment Company Act of 1940, as amended (the "1940 Act") be,
and hereby is, approved with respect to the Real Estate Fund;
FURTHER RESOLVED, that each of the Vice Presidents, the
Treasurer, the Secretary and Assistant Secretaries of the Real
Estate Fund, is designated as an officer who shall make the filings
and give the notices required by paragraph (g) of Rule 17g-1 under
Section 17(g) of the 1940 Act; and
FURTHER RESOLVED, that the proper officers of the Real Estate
Fund be, and each of them hereby is, authorized, directed and
empowered, in the name and on behalf of the Real Estate Fund, to
execute, file and record any agreements, certificates and all such
other documents, and to take any and all such other actions as they
or any of them may deem necessary or desirable to effectuate fully
the purposes of the foregoing resolutions and the transactions
contemplated thereby.
2. The Board of Directors/Trustees of each of the other Funds (the "Seligman
Funds") adopted the following resolutions:
RESOLVED, that the portion of the premium to be paid for the
Bond by each Seligman Fund, as presented to this meeting, is fair
and reasonable, and be, and hereby is, approved; and
FURTHER RESOLVED, that the proper officers of each Seligman
Fund be, and each of them hereby is authorized, directed and
empowered, in the name and on behalf of each such Seligman Fund, to
file and record any agreements, certificates and all such other
documents, and to take any and all such other actions as they or any
of them may deem necessary or desirable to effectuate fully the
purposes of the foregoing resolutions and the transactions
contemplated thereby.
IN WITNESS WHEREOF, I have set my hand, on behalf of each Fund, this 17th
day of April 2008.
/s/Frank J. Nasta
-----------------
Frank J. Nasta
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2
EXHIBIT C
AGREEMENT
ICI MUTUAL INSURANCE COMPANY
INVESTMENT COMPANY BLANKET BOND
AMONG
SELIGMAN CAPITAL FUND, INC.
SELIGMAN CASH MANAGEMENT FUND, INC.
SELIGMAN COMMON STOCK FUND, INC.
SELIGMAN COMMUNICATIONS AND INFORMATION FUND, INC.
SELIGMAN FRONTIER FUND, INC.
SELIGMAN GROWTH FUND, INC.
SELIGMAN GLOBAL FUND SERIES, INC.
SELIGMAN HIGH INCOME FUND SERIES
SELIGMAN INCOME AND GROWTH FUND, INC.
SELIGMAN CORE FIXED INCOME FUND, INC.
SELIGMAN LASALLE INTERNATIONAL REAL ESTATE FUND, INC.
SELIGMAN LASALLE REAL ESTATE FUND SERIES, INC.
SELIGMAN MUNICIPAL FUND SERIES, INC.
SELIGMAN MUNICIPAL SERIES TRUST
SELIGMAN NEW JERSEY MUNICIPAL FUND, INC.
SELIGMAN NEW TECHNOLOGIES FUND, INC.
SELIGMAN NEW TECHNOLOGIES FUND II, INC.
SELIGMAN PENNSYLVANIA MUNICIPAL FUND SERIES
SELIGMAN PORTFOLIOS, INC.
SELIGMAN SELECT MUNICIPAL FUND, INC.
SELIGMAN TARGETHORIZON ETF PORTFOLIOS, INC.
SELIGMAN TIME HORIZON/HARVESTER SERIES, INC.
SELIGMAN VALUE FUND SERIES, INC.
TRI-CONTINENTAL CORPORATION
SELIGMAN DATA CORP.
SELIGMAN DATA CORP. EMPLOYEES' THRIFT PLAN
SELIGMAN ADVISORS, INC.
J. & W. SELIGMAN & CO. INCORPORATED MATCHED ACCUMULATION PLAN
May 17, 2007
Agreement, dated as of May 17, 2007 by and among Seligman Capital
Fund, Inc., Seligman Cash Management Fund, Inc., Seligman Common Stock
Fund, Inc., Seligman Communications and Information Fund, Inc., Seligman
Frontier Fund, Inc., Seligman Growth Fund, Inc., Seligman Global Fund
Series, Inc., Seligman High Income Fund Series, Seligman Income and Growth
Fund, Inc., Seligman Core Fixed Income Fund, Inc., Seligman LaSalle
International Real Estate Fund, Inc., Seligman LaSalle Real Estate Fund
Series, Inc., Seligman Municipal Fund Series, Inc., Seligman Municipal
Series Trust, Seligman New Jersey Municipal Fund, Inc., Seligman New
Technologies Fund, Inc., Seligman New Technologies Fund II, Inc., Seligman
Pennsylvania Municipal Fund Series, Seligman Portfolios, Inc., Seligman
Select Municipal Fund, Inc., Seligman TargetHorizon ETF Portfolios, Inc.,
Seligman Time Horizon/Harvester Series, Inc., Seligman Value Fund Series,
Inc., Tri-Continental Corporation (hereinafter collectively called the
"Investment Companies"), Seligman Data Corp. ("SDC"), SDC Employees'
Thrift Plan, Seligman Advisors, Inc., and J. & W. Seligman & Co.
Incorporated Matched Accumulation Plan.
Pursuant to an Agreement, dated September 15, 2005, SDC presently carries
an Investment Company Blanket Bond in the amount of $24,000,000 insuring against
losses from larceny and embezzlement, on a joint basis, for the protection of
itself and the parties thereto (as amended by specific riders to the bond). The
parties thereto desire to amend as of May 17, 2007, the Agreement dated
September 15, 2005, as a result of their intention to permit Seligman LaSalle
International Real Estate Fund, Inc. to participate in the existing Blanket Bond
effective on the date upon which its registration statement becomes effective
(expected to be on or about May 25, 2007).
NOW, THEREFORE, in consideration of the promises and the mutual covenants
and agreements hereinafter contained, the parties hereto agree as follows:
(1) SDC will arrange for the continuation of the Blanket Bond, by the ICI
Mutual Insurance Company authorized to do business in the place where the bond
was issued, for the protection of itself, the Investment Companies, SDC
Employees' Thrift Plan, Seligman Advisors, Inc. and J. & W. Seligman & Co.
Incorporated Matched Accumulation Plan, collectively referred to as the
Insureds, in the amount indicated:
The Blanket Bond is in the aggregate amount of $24,000,000 and, inclusive
of any riders thereto, provides that:
(a) The bond shall not be cancelled, terminated or modified except
after written notice shall have been given by the acting party to the
affected party, and by the underwriter to all registered management
investment companies named as Insureds, and to the Securities and Exchange
Commission, Washington, D. C., not less than sixty days prior to the
effective date of such cancellation, termination or modification; and,
(b) The Underwriter shall furnish each registered management
investment company named as an Insured with (1) a copy of the bond and any
amendment thereto, promptly after the execution thereof, (2) a copy of
each formal filing of a claim under the bond by any other named Insured
promptly after receipt thereof, and (3) notification of the terms of the
settlement of each such claim prior to the execution of the settlement.
- 2 -
(2) The premiums payable in respect of the joint policy shall be paid by
SDC which may then charge each Insured for its pro rata share of such premium.
(3) The Insureds shall have the right to receive insurance proceeds paid
in respect of any loss or losses covered by the joint policy, as follows:
(a) In the event that such proceeds are paid in respect of a loss or
losses suffered by only one of the Insureds, all said proceeds shall be
paid to it.
(b) In the event that such proceeds are paid in respect of losses
suffered by two or more of the Insureds, which losses shall constitute but
a "single loss" under the provisions of the joint policy and the total of
which losses shall not exceed the amount of such proceeds paid in respect
thereof, each of said Insureds shall share in such proceeds to the extent
of its individual loss.
(c) In the event that such proceeds are paid in respect of losses
suffered by two or more of the Insureds, which losses shall constitute but
a "single loss" under the provisions of the joint policy and the total of
which losses shall exceed the amount of such proceeds paid in respect
thereof, each of said Insureds shall share in such proceeds in the
proportion which its individual loss bears to the total of the individual
losses of said Insureds, provided, that such proceeds, in the case of a
loss suffered by one of the Investment Companies, shall be at least equal
to the amount which it would have received had it provided and maintained
a single insured bond with the minimum coverage required by Rule 17g-1, as
amended; and provided further, that such proceeds in the case of a loss
suffered by the SDC Employees' Thrift Plan and/or by the J. & W. Seligman
& Co. Incorporated Matched Accumulation Plan shall be, after giving
consideration to the preceding clause, at least equal to the amount which
each would have received had each plan provided and maintained a separate
bond with the minimum coverage required by Section 412 of the Employee
Retirement Income Security Act of 1974.
(4) This Agreement shall not be construed as imposing upon any of the
parties hereto any obligations to indemnify any other party against any loss or
losses suffered by such party.
(5) The aforementioned Agreement of September 15, 2005 between the parties
hereto is cancelled and superseded in its entirety by the provisions of this
Agreement.
(6) This Agreement shall be construed in accordance with the laws of the
State of New York.
IN WITNESS WHEREOF, each of the parties hereto has caused this Agreement
to be signed in various counterparts and corporate seals where appropriate to be
hereto duly affixed by its proper officers thereunto duly authorized, all of the
day and year first above written.
SELIGMAN CAPITAL FUND, INC.
SELIGMAN CASH MANAGEMENT FUND, INC.
SELIGMAN COMMON STOCK FUND, INC.
SELIGMAN COMMUNICATIONS AND INFORMATION FUND, INC.
SELIGMAN FRONTIER FUND, INC.
SELIGMAN GROWTH FUND, INC.
SELIGMAN GLOBAL FUND SERIES, INC.
SELIGMAN HIGH INCOME FUND SERIES
SELIGMAN INCOME AND GROWTH FUND, INC.
SELIGMAN CORE FIXED INCOME FUND, INC.
SELIGMAN LASALLE INTERNATIONAL REAL ESTATE FUND, INC.
SELIGMAN LASALLE REAL ESTATE FUND SERIES, INC.
SELIGMAN MUNICIPAL FUND SERIES, INC.
SELIGMAN MUNICIPAL SERIES TRUST
SELIGMAN NEW JERSEY MUNICIPAL FUND, INC.
SELIGMAN NEW TECHNOLOGIES FUND, INC.
SELIGMAN NEW TECHNOLOGIES FUND II, INC.
SELIGMAN PENNSYLVANIA MUNICIPAL FUND SERIES
SELIGMAN PORTFOLIOS, INC.
SELIGMAN SELECT MUNICIPAL FUND, INC.
SELIGMAN TARGETHORIZON ETF PORTFOLIOS, INC.
SELIGMAN TIME HORIZON/HARVESTER SERIES, INC.
SELIGMAN VALUE FUND SERIES, INC.
TRI-CONTINENTAL CORPORATION
Attest:
/s/ Frank Nasta By /s/ Thomas G. Rose
--------------- ------------------
Secretary Vice President
SELIGMAN DATA CORP.
Attest:
/s/ Frank Nasta By /s/ John H. Clark
--------------- -----------------
Secretary President
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SELIGMAN DATA CORP.
EMPLOYEES' THRIFT PLAN
By /s/ Thomas G. Rose
------------------
Committee Member
Attest:
/s/ Frank Nasta By /s/ John H. Clark
--------------- -----------------
Witness Committee Member
J. & W. SELIGMAN & CO. INCORPORATED
MATCHED ACCUMULATION PLAN
By /s/ Thomas G. Rose
------------------
Committee Member
Attest:
/s/ Frank Nasta By /s/ John H. Clark
--------------- -----------------
Witness Committee Member
SELIGMAN ADVISORS, INC.
Attest:
/s/ Frank Nasta By /s/ Charles W. Kadlec
--------------- ---------------------
Secretary President
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3
EXHIBIT A
SCHEDULE OF REQUIRED AMOUNT
FOR JOINT FIDELITY BOND
GROSS ASSETS MINIMUM AMOUNT
6/30/2006 OF BOND UNDER
FUND/ENTITY (000 OMITTED) RULE 17g-1
----------------------------------------------------------- ------------- --------------
Seligman Capital Fund, Inc. $ 500,996 $ 900,000
Seligman Cash Management Fund, Inc. 183,479 600,000
Seligman Common Stock Fund, Inc. 235,997 600,000
Seligman Communications & Information Fund, Inc. 3,472,887 2,100,000
Seligman Frontier Fund, Inc. 78,815 450,000
Seligman Growth Fund, Inc. 447,072 750,000
Seligman Global Fund Series, Inc.:
Emerging Markets Fund 95,774
Global Growth Fund 49,726
Global Smaller Companies Fund 200,914
Global Technology Fund 363,362
International Growth Fund 87,544
-------------
797,320 1,000,000
Seligman High Income Fund Series:
High-Yield Fund 378,749
U.S. Government Securities Fund 70,761
-------------
449,510 750,000
Seligman Income & Growth Fund, Inc. 86,714 450,000
Seligman Core Fixed Income Fund, Inc. 29,399 300,000
Seligman LaSalle International Real Estate Fund, Inc. (4) 300,000 750,000
Seligman LaSalle Real Estate Fund Series, Inc.
Seligman LaSalle Monthly Dividend Real Estate Fund 87,370
Seligman LaSalle Global Real Estate Fund (3) 15,000
-------------
102,370 525,000
Seligman Municipal Fund Series, Inc.:
National Series 69,590
Colorado Series 33,213
Georgia Series 29,535
Louisiana Series 32,075
Maryland Series 37,116
Massachusetts Series 69,269
Michigan Series 95,034
Minnesota Series 79,551
Missouri Series 29,404
New York Series 71,056
Ohio Series 102,703
Oregon Series 54,578
South Carolina Series 77,403
-------------
780,527 1,000,000
Seligman Municipal Series Trust:
California High-Yield Series 35,708
California Quality Series 45,968
Florida Series 30,953
North Carolina Series 16,982
-------------
129,611 525,000
Seligman New Jersey Municipal Fund, Inc. 37,371 350,000
Seligman New Technologies Fund, Inc. 36,278 350,000
Seligman New Technologies Fund II, Inc. 75,169 450,000
Seligman Pennsylvania Municipal Fund Series 17,903 225,000
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EXHIBIT A (cont'd)
GROSS ASSETS MINIMUM AMOUNT
6/30/2006 OF BOND UNDER
FUND/ENTITY (000 OMITTED) RULE 17g-1
----------------------------------------------------------- ------------- --------------
Seligman Portfolios, Inc.:
Investment Grade Fixed Income Portfolio 2,361
Capital Portfolio 12,011
Cash Management Portfolio 13,177
Common Stock Portfolio 7,287
Communications & Information Portfolio 55,728
International Growth Portfolio 4,437
Global Technology Portfolio 8,673
Large-Cap Value Portfolio 4,728
Smaller-Cap Value Portfolio 223,349
-------------
331,751 750,000
Seligman Quality Municipal Fund, Inc. 97,999 450,000
Seligman Select Municipal Fund, Inc. 224,064 600,000
Seligman TargetHorizon ETF Portfolios, Inc.
Seligman Targ ETFund 2045 (2) 15,000
Seligman Targ ETFund 2035 (2) 15,000
Seligman Targ ETFund 2025 16,720
Seligman Targ ETFund 2015 18,541
Seligman Targ ETFund Core 32,544
-------------
97,805 450,000
Seligman Time Horizon/Harvester Series, Inc.
Time Horizon 30 Fund 15,770
Time Horizon 20 Fund 27,442
Time Horizon 10 Fund 34,750
Harvester Fund 16,632
-------------
94,594 450,000
Seligman Value Fund Series, Inc.:
Large-Cap Value Fund 252,498
Smaller-Cap Value Fund 326,895
-------------
579,393 900,000
Tri-Continental Corporation 2,410,459 1,700,000
------------- --------------
Total Investment Companies 11,597,483 17,375,000
J. & W. Seligman & Co. Inc. Matched Accumulation Plan 43,009 500,000 (1)
Seligman Data Corp. Employees' Thrift Plan 13,161 500,000 (1)
------------- --------------
$ 11,653,653 $ 18,375,000
============= ==============
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(1) Section 142 of ERISA requires fidelity bonding of not less than 10% of
funds handled each year, subject to a maximum bond of $500,000.
(2) Fund commenced operations on October 2, 2006.
(3) Fund commenced operations on December 29, 2006.
(4) Fund anticipated launch date is May 25, 2007.
Seligman Select Muni (NYSE:SEL)
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