Post-effective Amendment Filed Solely to Add Exhibits to a Registration Statement (pos Ex)
2022年11月18日 - 5:41AM
Edgar (US Regulatory)
0001548717falseNo 0001548717 2022-11-17 2022-11-17 0001548717 dei:BusinessContactMember 2022-11-17 2022-11-17
As filed with the Securities and Exchange Commission on November 17, 2022
1933 Act File
No. 333-181113
1940 Act File
No. 811-22707
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
REGISTRATION STATEMENT
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THE SECURITIES ACT OF 1933 |
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Pre-Effective Amendment No. |
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Post-Effective Amendment No. 1 |
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REGISTRATION STATEMENT
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THE INVESTMENT COMPANY ACT OF 1940 |
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Amendment No. 5 |
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COHEN & STEERS LIMITED DURATION PREFERRED AND INCOME FUND, INC.
Registrant Exact Name as Specified in Charter
280 Park Avenue
New York, New York 10017
(Address of Principal Executive Offices)
(Registrant’s Telephone Number, including Area Code)
Dana A. DeVivo, Esq.
Cohen & Steers Capital Management, Inc.
280 Park Avenue
New York, New York 10017
(Name and Address of Agent for Service)
Michael G. Doherty
Ropes & Gray LLP
1211 Avenue of the Americas
New York, New York 10036
Approximate Date of Commencement of Proposed Public Offering:
As soon as practicable after the effective date of this Registration Statement.
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Check box if the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans. |
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Check box if any securities being registered in this Form will be offered on a delayed or continuous basis in reliance on Rule 415 under the Securities Act of 1933 (“Securities Act”), other than securities offered in connection with a dividend reinvestment plan. |
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Check box if this Form is a registration statement pursuant to General Instruction A.2 or a post-effective amendment thereto. |
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Check box if this Form is a registration statement pursuant to General Instruction B or a post-effective amendment thereto that will become effective upon filing with the Commission pursuant to Rule 462(e) under the Securities Act. |
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Check box if this Form is a post-effective amendment to a registration statement filed pursuant to General Instruction B to register additional securities or additional classes of securities pursuant to Rule 413(b) under the Securities Act. |
Is it proposed that this filing will become effective (check appropriate box):
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when declared effective pursuant to Section 8(c) of the Securities Act |
The following boxes should only be included and completed if the registrant is making this filing in accordance with Rule 486 under the Securities Act.
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immediately upon filing pursuant to paragraph (b) |
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on (date) pursuant to paragraph (b) |
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60 days after filing pursuant to paragraph (a) |
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on (date) pursuant to paragraph (a) |
If appropriate, check the following box:
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This [post-effective] amendment designates a new effective date for a previously filed [post-effective amendment] [registration statement]. |
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This Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act and the Securities Act registration statement number of the earlier effective registration statement for the same offering is: . |
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This Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, and the Securities Act registration statement number of the earlier effective registration statement for the same offering is: . |
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This Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, and the Securities Act registration statement number of the earlier effective registration statement for the same offering is: 333-181113. |
Check each box that appropriately characterizes the Registrant:
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Registered Closed-End Fund (closed-end company that is registered under the Investment Company Act of 1940 (“Investment Company Act”)). |
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Business Development Company (closed-end company that intends or has elected to be regulated as a business development company under the Investment Company Act). |
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Interval Fund (Registered Closed-End Fund or a Business Development Company that makes periodic repurchase offers under Rule 23c-3 under the Investment Company Act). |
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A.2 Qualified (qualified to register securities pursuant to General Instruction A.2 of this Form). |
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Well-Known Seasoned Issuer (as defined by Rule 405 under the Securities Act). |
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Emerging Growth Company (as defined by Rule 12b-2 under the Securities Exchange Act of 1934 (“Exchange Act”). |
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If an Emerging Growth Company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards pursuant to Section 7(a)(2)(B) of Securities Act. |
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New Registrant (registered or regulated under the Investment Company Act for less than 12 calendar months preceding this filing). |
EXPLANATORY NOTE
This Post-Effective Amendment No. 1 to the Registrant’s Registration Statement on Form N-2 (File Nos. 333-181113 and 811-22707) is being filed pursuant to Rule 462(d) under the Securities Act of 1933, as amended (the “Securities Act”), solely for the purpose of filing exhibits to the Registration Statement. Accordingly, this Post-Effective Amendment No. 1 consists only of a facing page, this explanatory note and Part C of the Registration Statement setting forth the exhibits to the Registration Statement. This Post-Effective Amendment No. 1 does not modify any other part of the Registration Statement. Pursuant to Rule 462(d) under the Securities Act, this Post-Effective Amendment No. 1 shall become effective immediately upon filing with the Securities and Exchange Commission. The contents of the Registration Statement are hereby incorporated by reference.
PART C
OTHER INFORMATION
Item 26. |
Marketing Arrangements |
See the Form of Underwriting Agreement, the Form of Master Agreement Among Underwriters, the Form of Master Selected Dealers Agreement, filed as Exhibit 2(h)(i), Exhibit 2(h)(ii), and Exhibit 2(h)(iii).
Item 27. |
Other Expenses of Issuance and Distribution |
The following table sets forth the expenses to be incurred in connection with the offer described in this Registration Statement:
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Costs of Printing and Engraving |
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1,500 |
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Legal Fees and Expenses |
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1,000 |
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Total |
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$ |
2,500 |
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Item 28. |
Persons Controlled by or under Common Control with Registrant |
None.
Item 29. |
Number of Holders of Securities |
Set forth below is the number of record holders as of June 30, 2022, of each class of securities of the Registrant:
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Title of Class |
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Number of Record Holders |
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Common Shares of Beneficial interest, par value $0.001 per share |
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19,826 |
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It is the Registrant’s policy to indemnify its directors and officers to the maximum extent permitted by Section 2-418 of the General Corporation Law of the State of Maryland as set forth in Article NINTH of Registrant’s Articles of Incorporation, and Article VIII of the Registrant’s By-Laws. The liability of the Registrant’s directors and officers is dealt with in Article NINTH of Registrant’s Articles of Incorporation. The liability of Cohen & Steers Capital Management, Inc., the Registrant’s investment manager (the “Investment Manager”), for any loss suffered by the Registrant or its shareholders is set forth in Section 5 of the Investment Management Agreement.
The Registrant has agreed to indemnify the Underwriters of the Registrant’s common stock to the extent set forth in Exhibit 2(h).
Insofar as indemnification for liabilities under the Securities Act of 1933, as amended (the “Securities Act”), may be permitted to the directors and officers, the Registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Securities Act and is therefore unenforceable. If a claim for indemnification against such liabilities under the Securities Act (other than for expenses incurred in a successful defense) is asserted against the Registrant by the directors or officers in connection with the shares, the Registrant 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 of whether such indemnification by it is against public policy as expressed in such Act and will be governed by the final adjudication of such issue.
Item 31. |
Business and other Connections of Investment Adviser |
This information, with respect to the Investment Manager, is set forth under the caption “Management of the Fund” in the Prospectus and in the Statement of Additional Information, constituting Parts A and B, respectively, of this Registration Statement.
The following is a list of the directors and officers of the Investment Manager. Unless otherwise indicated, none of the persons listed below has had other business connections of a substantial nature during the past two fiscal years other than as stated in the Prospectus forming Part A of this Registration Statement.
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Name |
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Title |
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Other Business/Position Held/Dates |
Joseph M. Harvey |
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Chief Executive Officer, President and Director |
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* |
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Adam M. Derechin |
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Executive Vice President and Chief Operating Officer |
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* |
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Matthew S. Stadler |
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Executive Vice President and Chief Financial Officer |
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* |
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Francis C. Poli |
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Executive Vice President, General Counsel and Secretary |
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* |
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Jon Cheigh |
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Executive Vice President and Chief Investment Officer |
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* |
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Robert Steers |
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Executive Chairman |
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* |
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Gerios Rovers |
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Executive Director |
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* |
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Alicia Dee |
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Executive Vice President and Chief Human Resources Officer |
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* |
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Douglas R. Bond |
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Executive Vice President |
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* |
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William F. Scapell |
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Executive Vice President |
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* |
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James Giallanza |
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Executive Vice President |
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* |
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Benjamin Morton |
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Executive Vice President |
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* |
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Matthew Pace |
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Executive Vice President |
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* |
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Daniel Charles |
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Executive Vice President |
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* |
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Daniel Longmuir |
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Executive Vice President |
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* |
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Greg Bottjer |
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Executive Vice President |
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* |
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James Corl |
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Executive Vice President |
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* |
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Christopher Parliman |
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Executive Vice President and Chief Operating Officer of Investments |
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* |
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Jeffrey Sharon |
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Executive Vice President |
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* |
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Jason Yablon |
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Executive Vice President |
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* |
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Paul Zettl |
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Executive Vice President |
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* |
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Brian Heller |
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Senior Vice President and Corporate Counsel |
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* |
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Elena Dulik |
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Senior Vice President and Chief Accounting Officer |
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William Alstrin |
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Senior Vice President |
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* |
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Christopher Barrett |
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Senior Vice President |
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* |
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Neil Bloom |
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Senior Vice President |
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* |
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Brandon Brown |
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Senior Vice President |
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* |
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Michelle Butler |
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Senior Vice President |
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* |
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Brian Carlisle |
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Senior Vice President |
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* |
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Wai Ming Chan |
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Senior Vice President |
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* |
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Vincent Childers |
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Senior Vice President |
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* |
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Name |
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Title |
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Other Business/Position Held/Dates |
Kristen Choi |
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Senior Vice President |
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* |
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Colleen Cleary |
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Senior Vice President |
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* |
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Adam Collins |
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Senior Vice President |
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* |
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Emily Conte |
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Senior Vice President |
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* |
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David Conway |
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Senior Vice President |
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* |
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Brian Cordes |
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Senior Vice President |
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* |
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Anthony Corriggio |
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Senior Vice President |
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* |
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Gavin Daly |
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Senior Vice President |
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* |
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Edward Delk |
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Senior Vice President and Global Chief Compliance Officer |
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* |
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Dana A. DeVivo |
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Senior Vice President and Associate General Counsel |
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Jerry Dorost |
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Senior Vice President |
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* |
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Amy Duling |
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Senior Vice President |
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Austin Fagen |
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Senior Vice President |
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* |
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Dane Garrood |
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Senior Vice President |
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* |
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Leonard Geiger |
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Senior Vice President |
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* |
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Marcia Glass |
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Senior Vice President |
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* |
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Michael Graveline |
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Senior Vice President |
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* |
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Khushbu Gupta |
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Senior Vice President |
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* |
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Daniel Hafford |
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Senior Vice President |
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* |
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Marc Haynes |
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Senior Vice President |
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* |
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Daniel Hemberger |
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Senior Vice President |
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* |
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Andrew Humble |
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Senior Vice President |
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* |
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Khalid Husain |
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Senior Vice President |
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* |
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Melissa Iorio |
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Senior Vice President |
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* |
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Takeshi Itai |
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Senior Vice President |
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* |
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Yigal Jhirad |
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Senior Vice President |
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* |
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Jason Johnson |
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Senior Vice President |
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* |
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Matthew Karcic |
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Senior Vice President |
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* |
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Damon Karras |
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Senior Vice President |
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* |
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Louisa Kasper |
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Senior Vice President |
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* |
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Stephen Kenneally |
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Senior Vice President |
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* |
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Mathew Kirschner |
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Senior Vice President |
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* |
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Nicholas Koutsoftas |
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Senior Vice President |
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* |
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Albert Laskaj |
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Senior Vice President |
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* |
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Wai Lim Leung |
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Senior Vice President |
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* |
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Mary Liftin |
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Senior Vice President |
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* |
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Michael Loftus |
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Senior Vice President |
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* |
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Kevin Lotti |
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Senior Vice President |
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* |
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James McAdams |
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Senior Vice President and Controller |
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* |
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Brian Meta |
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Senior Vice President |
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* |
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Sharanya Mitchell |
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Senior Vice President |
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* |
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Name |
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Title |
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Other Business/Position Held/Dates |
Stephen Murphy |
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Senior Vice President and Deputy Chief Compliance Officer |
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* |
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Mary Ruth Newman |
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Senior Vice President |
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* |
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Michael Nolan |
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Senior Vice President |
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* |
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Diana Noto |
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Senior Vice President |
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* |
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Pretash Nuculaj |
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Senior Vice President |
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* |
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Jeffrey Palma |
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Senior Vice President |
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* |
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Ronald Pucillo |
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Senior Vice President |
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* |
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Rogier Quirijns |
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Senior Vice President |
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* |
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Kevin Rochefort |
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Senior Vice President |
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* |
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Tyler Rosenlicht |
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Senior Vice President |
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* |
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Benjamin Ross |
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Senior Vice President |
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* |
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Christian Rusu |
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Senior Vice President |
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* |
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Evan Serton |
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Senior Vice President |
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* |
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Janine Seto-Moy |
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Senior Vice President |
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* |
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Alexander Shafran |
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Senior Vice President |
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* |
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James Shields |
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Senior Vice President |
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* |
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Rodirgo Soto |
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Senior Vice President |
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* |
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Kim Spellman |
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Senior Vice President |
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* |
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Hamid Tabib |
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Senior Vice President |
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* |
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Michael Hart |
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Senior Vice President |
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* |
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Ted Valenti |
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Senior Vice President |
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* |
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Pascal Van Garderen |
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Senior Vice President |
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* |
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Jason Vinikoor |
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Senior Vice President |
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* |
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Charles Wenzel |
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Senior Vice President |
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* |
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Michiru Wisely |
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Senior Vice President |
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* |
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Elaine Zaharis-Nikas |
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Senior Vice President |
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* |
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Christopher Balisky |
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Vice President |
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* |
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Jonathan Beshel |
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Vice President |
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* |
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Christopher Boland |
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Vice President |
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* |
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Ryan Bolton |
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Vice President |
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* |
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Jillian Boyer |
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Vice President |
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* |
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Jonathan Brailey |
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Vice President |
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* |
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Gabriel Buerkle |
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Vice President |
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* |
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Andrew Burd |
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Vice President |
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* |
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Peter Burnside |
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Vice President |
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* |
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Brian Casey |
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Vice President |
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* |
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Thomas Cassidy |
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Vice President |
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* |
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Keith Caswell |
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Vice President |
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* |
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William Cheng |
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Vice President |
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* |
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Catherine Cheng |
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Vice President |
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* |
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Name |
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Title |
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Other Business/Position Held/Dates |
William Cheng |
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Vice President |
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* |
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Sean Cooney |
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Vice President |
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* |
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Alan Cooper |
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Vice President |
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* |
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Gregory Crawford |
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Vice President |
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* |
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Thuy Quynh Dang |
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Vice President |
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* |
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Matthew Darwin |
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Vice President |
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* |
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Christopher NeNunzio |
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Vice President |
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* |
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Yan Lin Ding |
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Vice President |
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* |
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Siyu Dong |
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Vice President |
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* |
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David Driscoll |
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Vice President |
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* |
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Jessen Fahey |
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Vice President |
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* |
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Mary Kathleen Flores |
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Vice President |
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* |
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William Formosa |
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Vice President |
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* |
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Steven Frank |
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Vice President |
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* |
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Celine Fung |
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Vice President |
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* |
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Kristin Garbarino |
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Vice President |
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* |
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Christopher Gasta |
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Vice President |
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* |
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John Geoghan |
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Vice President |
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* |
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Ryan Grealy |
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Vice President |
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* |
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Steven Grise |
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Vice President |
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* |
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Joseph Handelman |
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Vice President |
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* |
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Michael Hart |
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Vice President |
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* |
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Natalie Hedlund |
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Vice President |
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* |
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Elizabeth Deisler |
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Vice President |
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* |
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Christopher Jerejian |
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Vice President |
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* |
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Ryan Johann |
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Vice President |
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* |
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Robert Kastoff |
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Vice President |
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* |
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Colin Keane |
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Vice President |
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* |
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Charlotte Keenan |
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Vice President |
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* |
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Roberty Kennedy |
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Vice President |
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* |
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Michael King |
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Vice President |
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* |
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Stefanny Kisiel |
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Vice President |
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* |
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Harrison Klein |
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Vice President |
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* |
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Chi Yeung Ko |
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Vice President |
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* |
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Eric Kristenson |
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Vice President |
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* |
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Shirley Lam |
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Vice President |
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* |
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Kelly Lam |
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Vice President |
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* |
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Hin Fai Lam |
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Vice President |
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* |
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Alexander Laskey |
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Vice President |
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* |
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Celine Fung |
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Vice President |
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* |
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Alexander Laskey |
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Vice President |
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* |
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Name |
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Title |
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Other Business/Position Held/Dates |
Joseph Lee |
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Vice President |
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* |
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Wincheng Lin |
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Vice President |
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* |
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Sean Magrath |
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Vice President |
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* |
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Kristine Manzi |
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Vice President |
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* |
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Matthew McAvoy |
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Vice President |
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* |
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Jamaal McDell |
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Vice President |
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* |
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Michael McGarry |
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Vice President |
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* |
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Raquel McLean |
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Vice President |
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* |
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Humberto Medina |
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Vice President |
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* |
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Ryan Medlock |
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Vice President |
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* |
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Bennett Meier |
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Vice President |
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* |
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Myra Mercado |
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Vice President |
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* |
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Michele Meyer |
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Vice President |
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* |
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Marcel Miu |
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Vice President |
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* |
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Taylor Mizzi |
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Vice President |
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* |
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Margaret Mo |
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Vice President |
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* |
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David Moonasar |
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Vice President |
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* |
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John Muth |
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Vice President |
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* |
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|
Christopher Nelson |
|
Vice President |
|
* |
|
|
|
Natalie Okorie |
|
Vice President |
|
* |
|
|
|
Alex Overby |
|
Vice President |
|
* |
|
|
|
Saagar Parikh |
|
Vice President |
|
* |
|
|
|
Jimmy Parsard |
|
Vice President |
|
* |
|
|
|
Shruti Patel |
|
Vice President |
|
* |
|
|
|
Christopher Pietretti |
|
Vice President |
|
* |
|
|
|
Jeffrey Pike |
|
Vice President |
|
* |
|
|
|
Damien Porras |
|
Vice President |
|
* |
|
|
|
Anthony Puma |
|
Vice President |
|
* |
|
|
|
Stephen Quan |
|
Vice President |
|
* |
|
|
|
Allie Quine |
|
Vice President |
|
* |
|
|
|
Brian Quinn |
|
Vice President |
|
* |
|
|
|
Eldar Radovici |
|
Vice President |
|
* |
|
|
|
Danielle Rizzaro |
|
Vice President |
|
* |
|
|
|
Bobbi Lynn Roberts |
|
Vice President |
|
* |
|
|
|
Boris Royzen |
|
Vice President |
|
* |
|
|
|
Hideya Sakai |
|
Vice President |
|
* |
|
|
|
Zarna Sanghvi |
|
Vice President |
|
* |
|
|
|
Michael Schell |
|
Vice President |
|
* |
|
|
|
Arun Sharma |
|
Vice President |
|
* |
|
|
|
Joshua Silverman |
|
Vice President |
|
* |
|
|
|
Dany Smith |
|
Vice President |
|
* |
|
|
|
|
|
Name |
|
Title |
|
Other Business/Position Held/Dates |
Kevin Sutccliffe |
|
Vice President |
|
* |
|
|
|
Faezeh Taghvaee |
|
Vice President |
|
* |
|
|
|
Lorraine Tutovic |
|
Vice President |
|
* |
|
|
|
Daniel Tyshovnytsky |
|
Vice President |
|
* |
|
|
|
Regina Vaitzman |
|
Vice President |
|
* |
|
|
|
Jan Willem Van Kranenburg |
|
Vice President |
|
* |
|
|
|
Brendan Walters |
|
Vice President |
|
* |
|
|
|
Kryshna Wright |
|
Vice President |
|
* |
|
|
|
Yue Zhang |
|
Vice President |
|
* |
|
|
|
Jiyang Zhang |
|
Vice President |
|
* |
Item 32. |
Location of Accounts and Records |
The majority of the accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940, as amended, and the rules thereunder will be maintained as follows: journals, ledgers, securities records and other original records will be maintained principally at the offices of the Registrant’s Sub-Administrator and Custodian, State Street Bank and Trust Company. All other records so required to be maintained will be maintained at the offices of Cohen & Steers Capital Management, Inc., 280 Park Avenue, New York, New York 10017.
Item 33. |
Management Services |
Not applicable.
(1) Registrant undertakes to suspend the offering of shares until the prospectus is amended if, subsequent to the effective date of this Registration Statement, its net asset value declines more than ten percent from its net asset value as of the effective date of the Registration Statement or its net asset value increases to an amount greater than its net proceeds as stated in the prospectus.
(2) Not applicable.
(3) Not applicable.
(4) Not applicable.
(5) Registrant hereby undertakes that:
(a) for the purposes of determining any liability under the Securities Act, the information omitted from the form of prospectus filed as part of the Registration Statement in reliance on Rule 430A and contained in the form of prospectus filed by Registrant under Rule 497(h) under the Securities Act shall be deemed to be part of the Registration Statement as of the time it was declared effective; and
(b) for the purpose of determining any liability under the Securities Act, each post-effective amendment that contains a form of prospectus shall be deemed to be a new Registration Statement relating to the securities offered therein, and the offering of the securities at that time shall be deemed to be the initial bona fide offering thereof.
(6) Registrant undertakes to send by first-class mail or other means designed to ensure equally prompt delivery, within two business days of receipt of a written or oral request, any Statement of Additional Information.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, and the Investment Company Act of 1940, as amended, Registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the city of New York, State of New York, on the 17th day of November, 2022.
|
|
|
COHEN & STEERS LIMITED DURATION PREFERRED AND INCOME FUND, INC. |
|
|
By: |
|
/s/ James Giallanza |
|
|
James Giallanza |
|
|
President and Chief Executive Officer |
Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
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|
|
|
|
SIGNATURE |
|
TITLE |
|
DATE |
|
|
|
By: /S/ JAMES GIALLANZA |
|
President and Chief Executive Officer (Principal Executive Officer) |
|
November 17, 2022 |
(JAMES GIALLANZA) |
|
|
|
|
|
By: /S/ ALBERT LASKAJ |
|
Treasurer and Chief Financial Officer (Principal Financial Officer) |
|
November 17, 2022 |
(ALBERT LASKAJ) |
|
|
|
|
|
* |
|
Chairman and Director |
|
November 17, 2022 |
(JOSEPH M. HARVEY) |
|
|
|
|
|
* |
|
Director |
|
November 17, 2022 |
(ADAM M. DERECHIN) |
|
|
|
|
|
* |
|
Director |
|
November 17, 2022 |
(MICHAEL G. CLARK) |
|
|
|
|
|
* |
|
Director |
|
November 17, 2022 |
(DEAN A. JUNKANS) |
|
|
|
|
|
* |
|
Director |
|
November 17, 2022 |
(GEORGE GROSSMAN) |
|
|
|
|
|
* |
|
Director |
|
November 17, 2022 |
(GERALD J. MAGINNIS) |
|
|
|
|
|
* |
|
Director |
|
November 17, 2022 |
(JANE F. MAGPIONG) |
|
|
|
|
|
* |
|
Director |
|
November 17, 2022 |
(DAPHNE L. RICHARDS) |
|
|
|
|
|
* |
|
Director |
|
November 17, 2022 |
(RAMONA ROGERS-WINDSOR) |
|
|
|
|
|
* By: /S/ DANA A. DEVIVO |
|
|
|
November 17, 2022 |
Dana A. DeVivo ATTORNEY-IN-FACT |
|
|
Index of Exhibits
Cohen and Steers Limited... (NYSE:LDP)
過去 株価チャート
から 11 2024 まで 12 2024
Cohen and Steers Limited... (NYSE:LDP)
過去 株価チャート
から 12 2023 まで 12 2024