Основная статистика
| CIK | 1062978 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Brookfield High Income Fund Inc.
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| March 7, 2017 |
Brookfield High Income Fund N-8F N-8F 1 a17-46794n8f.htm N-8F UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0157 Washington, D.C. 20549 Expires: August 31, 2019 Form N-8F Estimated average burden hours per response.....……... 3 Application for Deregistration of Certain Registered Investment Companies I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for de |
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| March 1, 2017 |
Litigation In connection with the reorganizations of certain predecessor Closed-End Funds,1 the Fund assumed all rights, defenses, potential liabilities and/or claims associated with the Opt-Out Actions (defined below), including any potential claims by the Closed-End Funds for indemnification and/or contribution or any similar claims against any released defendant parties related to any Opt-Out Actions related to the Class Action (defined below). |
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| December 6, 2016 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on December 19, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
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| November 29, 2016 |
EX-99.77B ACCT LTTR 2 hhyitem77b.htm EX-99.77B ACCT LTTR REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors and Stockholders of Brookfield High Income Fund Inc. In planning and performing our audit of the financial statements of the Brookfield High Income Fund Inc. (the "Fund") as of September 30, 2016 and for the year then ended, in accordance with the standards of |
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| November 29, 2016 |
At a Special Meeting of Stockholders of the Fund held on September 1, 2016, stockholders of the Fund voted on an Agreement and Plan of Reorganization of the Fund into Brookfield Real Assets Income Fund Inc. |
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| November 29, 2016 |
Pending Litigation In connection with the reorganization of each of Helios Advantage Income Fund, Inc. |
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| September 16, 2016 |
Brookfield High Income Fund 425 (Prospectus) 425 1 a16-1858510425.htm 425 Filed by Brookfield Real Assets Income Fund Inc. (File No. 811-23157) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 For immediate release Friday, September 16, 2016 Brookfield Investment Manageme |
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| September 16, 2016 |
Brookfield High Income Fund 425 (Prospectus) 425 1 a16-185857425.htm 425 Filed by Brookfield High Income Fund Inc. (File No. 811-08795) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 For immediate release Friday, September 16, 2016 Brookfield Investment Management Inc. |
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| September 1, 2016 |
Brookfield High Income Fund 425 (Prospectus) 425 1 a16-178526425.htm 425 Filed by Brookfield High Income Fund Inc. (File No. 811-08795) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 For immediate release Thursday, September 1, 2016 Brookfield Investment Management Inc. |
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| September 1, 2016 |
Brookfield High Income Fund 425 (Prospectus) 425 1 a16-178523425.htm 425 Filed by Brookfield Real Assets Income Fund Inc. (File No. 811-23157) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 For immediate release Thursday, September 1, 2016 Brookfield Investment Manageme |
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| August 25, 2016 |
I, Brian F. Hurley, certify that: CERTIFICATION I, Brian F. Hurley, certify that: 1. I have reviewed this report on Form N-Q of Brookfield High Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the p |
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| August 25, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-08795 Brookfield High Income Fund Inc. (Exact name of registrant as specified in charter) Brookfield Place, 250 Vesey Street, 15th Floor, New York, NY 10281-1023 (Address of principal executive o |
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| August 25, 2016 |
I, Brian F. Hurley, certify that: CERTIFICATION I, Brian F. Hurley, certify that: 1. I have reviewed this report on Form N-Q of Brookfield High Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the p |
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| August 25, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-08795 Brookfield High Income Fund Inc. (Exact name of registrant as specified in charter) Brookfield Place, 250 Vesey Street, 15th Floor, New York, NY 10281-1023 (Address of principal executive o |
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| August 18, 2016 |
Brookfield High Income Fund 425 (Prospectus) Filed by Brookfield High Income Fund Inc. (File No. 811-08795) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 Shareholder Services Shareholder Name Address 1 Address 2 Address 3 Address 4 Dear Shareholder: We have tried unsuc |
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| August 18, 2016 |
Brookfield High Income Fund 425 (Prospectus) Filed by Brookfield High Income Fund Inc. (File No. 811-08795) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 Shareholder Services Shareholder Name Address 1 Address 2 Address 3 Address 4 Dear Shareholder: We have tried unsuc |
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| August 18, 2016 |
Brookfield High Income Fund 425 (Prospectus) 425 1 a16-1565027425.htm 425 Filed by Brookfield Real Assets Income Fund Inc. (File No. 811-23157) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 Shareholder Services Shareholder Name Address 1 Address 2 Address 3 Address 4 D |
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| August 18, 2016 |
Brookfield High Income Fund 425 (Prospectus) 425 1 a16-1565027425.htm 425 Filed by Brookfield Real Assets Income Fund Inc. (File No. 811-23157) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 Shareholder Services Shareholder Name Address 1 Address 2 Address 3 Address 4 D |
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| August 18, 2016 |
Brookfield High Income Fund 425 (Prospectus) Filed by Brookfield High Income Fund Inc. (File No. 811-08795) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 IMPORTANT NOTICE REGARDING YOUR INVESTMENT BROOKFIELD HIGH INCOME FUND INC. Brookfield Place, 250 Vesey Street, 15t |
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| August 18, 2016 |
Brookfield High Income Fund 425 (Prospectus) Filed by Brookfield High Income Fund Inc. (File No. 811-08795) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 IMPORTANT NOTICE REGARDING YOUR INVESTMENT BROOKFIELD HIGH INCOME FUND INC. Brookfield Place, 250 Vesey Street, 15t |
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| August 18, 2016 |
Brookfield High Income Fund 425 (Prospectus) 425 1 a16-1565021425.htm 425 Filed by Brookfield Real Assets Income Fund Inc. (File No. 811-23157) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 IMPORTANT NOTICE REGARDING YOUR INVESTMENT BROOKFIELD HIGH INCOME FUND INC. Bro |
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| August 18, 2016 |
Brookfield High Income Fund 425 (Prospectus) 425 1 a16-1565021425.htm 425 Filed by Brookfield Real Assets Income Fund Inc. (File No. 811-23157) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 IMPORTANT NOTICE REGARDING YOUR INVESTMENT BROOKFIELD HIGH INCOME FUND INC. Bro |
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| August 12, 2016 |
Brookfield High Income Fund 425 (Prospectus) 425 1 a16-1565019425.htm 425 Filed by Brookfield Real Asset Income Fund Inc. (File No. 811-23157) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 For immediate release Thursday, August 11, 2016 Brookfield Investment Management |
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| August 12, 2016 |
Brookfield High Income Fund 425 (Prospectus) 425 1 a16-1565014425.htm 425 Filed by Brookfield High Income Fund Inc. (File No. 811-08795) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 For immediate release Thursday, August 11, 2016 Brookfield Investment Management Inc. |
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| August 5, 2016 |
Brookfield High Income Fund 425 (Prospectus) Filed by Brookfield High Income Fund Inc. (File No. 811-08795) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 IMPORTANT NOTICE REGARDING YOUR INVESTMENT BROOKFIELD HIGH INCOME FUND INC. Brookfield Place, 250 Vesey Street, 15t |
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| August 5, 2016 |
Brookfield High Income Fund 425 (Prospectus) 425 1 a16-156509425.htm 425 Filed by Brookfield Real Asset Income Fund Inc. (File No. 811-23157) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 IMPORTANT NOTICE REGARDING YOUR INVESTMENT BROOKFIELD HIGH INCOME FUND INC. Brook |
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| August 5, 2016 |
Brookfield High Income Fund 425 (Prospectus) 425 1 a16-156506425.htm 425 Filed by Brookfield High Income Fund Inc. (File No. 811-08795) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 Shareholder Services Shareholder Name Address 1 Address 2 Address 3 IMPORTANT NOTICE Re |
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| August 4, 2016 |
Brookfield High Income Fund 425 (Prospectus) 425 1 a16-156503425.htm 425 Filed by Brookfield Real Asset Income Fund Inc. (File No. 811-23157) Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Act of 1934, as amended Subject Companies: Brookfield High Income Fund Inc. File No. 811-08795 Shareholder Services Shareholder Name Address 1 Address 2 Address 3 IMPORTANT NOT |
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| May 27, 2016 |
Pending Litigation In connection with the reorganization of each of Helios Advantage Income Fund, Inc. |
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| May 27, 2016 |
At the Annual Meeting of Stockholders of the Fund held on February 24, 2016, the stockholders voted on a proposal to elect a Director Nominee or Class I Directors to the Board of Directors of the Fund. |
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| February 26, 2016 |
N-Q 1 brookfield-hghinnq.htm QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-08795 Brookfield High Income Fund Inc. (Exact name of registrant as specified in charter) Brookfield Place, 250 Vesey Street, 1 |
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| February 26, 2016 |
I, Brian F. Hurley, certify that: CERTIFICATION I, Brian F. Hurley, certify that: 1. I have reviewed this report on Form N-Q of Brookfield High Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the p |
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| January 20, 2016 |
Brookfield High Income Fund DEF 14A DEF 14A 1 a16-19121def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o |
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| November 27, 2015 |
Pending Litigation In connection with the reorganization of each of Helios Advantage Income Fund, Inc. |
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| November 27, 2015 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors and Stockholders of Brookfield High Income Fund Inc. |
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| August 27, 2015 |
N-Q 1 brkfld-highincomenq.htm QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-08795 Brookfield High Income Fund Inc. (Exact name of registrant as specified in charter) Brookfield Place, 250 Vesey Street, |
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| August 27, 2015 |
I, Brian F. Hurley, certify that: CERTIFICATION I, Brian F. Hurley, certify that: 1. I have reviewed this report on Form N-Q of Brookfield High Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the p |
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| May 29, 2015 |
At the Annual Meeting of Stockholders of the Fund held on February 25, 2015, the stockholders voted on a proposal to elect a Director Nominee or Class I Directors to the Board of Directors of the Fund. |
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| May 29, 2015 |
Pending Litigation In connection with the reorganization of each of Helios Advantage Income Fund, Inc. |
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| March 2, 2015 |
Brookfield High Income Fund Inc. - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS N-Q 1 hihnq.htm QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-08795 Brookfield High Income Fund Inc. (Exact name of registrant as specified in charter) Brookfield Place, 250 Vesey Street, 15th Floor, Ne |
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| March 2, 2015 |
I, Brian F. Hurley, certify that: CERTIFICATION I, Brian F. Hurley, certify that: 1. I have reviewed this report on Form N-Q of Brookfield High Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the p |
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| January 23, 2015 |
HHY / Brookfield High Income Fund Inc. DEF 14A - - DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confide |
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| November 28, 2014 |
At a Special Meeting of Stockholders of the Brookfield High Income Fund Inc. held on July 18, 2014, stockholders voted on the issuance of additional shares of common stock of Brookfield High Income Fund Inc. in connection with the Agreements and Plans of Reorganization between Helios Advantage Income Fund, Inc. ("HAV"), Helios High Income Fund, Inc. ("HIH"), Helios Multi-Sector High Income Fund, I |
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| November 28, 2014 |
Item 77-M - Mergers On February 27, 2014, the Boards of Directors of Helios Advantage Income Fund, Inc. |
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| November 28, 2014 |
Pending Litigation In connection with the reorganization of each of Helios Advantage Income Fund, Inc. |
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| November 28, 2014 |
EX-99.77B ACCT LTTR 2 item77binternalcontrol93014.htm EX-99.77B ACCT LTTR REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors and Stockholders of Brookfield High Income Fund Inc. In planning and performing our audit of the financial statements of the Brookfield High Income Fund Inc. (the "Fund") as of September 30, 2014 and for the three month period then ended, in ac |
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| October 21, 2014 |
HHY / Brookfield High Income Fund Inc. DEFA14A - - DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| October 17, 2014 |
HHY / Brookfield High Income Fund Inc. DEF 14A - - DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confide |
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| August 29, 2014 |
BROOKFIELD HIGH INCOME FUND INC. Pending Litigation June 30, 2014 - In connection with the reorganization of each of Helios Advantage Income Fund, Inc., Helios High Income Fund, Inc., Helios Multi-Sector High Income Fund, Inc. and Helios Strategic Income Fund, Inc. into the Fund, all rights, defenses, potential liabilities and/or claims associated with the Opt-Out Actions (defined below) were assu |
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| August 29, 2014 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors and Stockholders of Brookfield High Income Fund Inc. |
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| August 29, 2014 |
BROOKFIELD HIGH INCOME FUND INC. Proxy Results (Unaudited) June 30, 2014 - At a Special Meeting of Stockholders of the Brookfield High Income Fund Inc. held on July 18, 2014, stockholders voted on the issuance of additional shares of common stock of Brookfield High Income Fund Inc. in connection with the Agreements and Plans of Reorganization between Helios Advantage Income Fund, Inc. ("HAV"), Hel |
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| August 12, 2014 |
EX-99.(12)(D) 6 a14-187631ex99d12d.htm EX-99.(12)(D) Exhibit (12)(d) August 11, 2014 75302.00007 Helios Strategic Income Fund, Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Brookfield High Income Fund Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Re: Reorganization of the Helios Strategic Income Fund, Inc. into the Brookfield High Income Fund Inc. Ladi |
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| August 12, 2014 |
HHY / Brookfield High Income Fund Inc. POS EX - - POS EX As filed with the Securities and Exchange Commission on August 12, 2014 Securities Act File No. |
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| August 12, 2014 |
EX-99.(12)(C) 5 a14-187631ex99d12c.htm EX-99.(12)(C) Exhibit (12)(c) August 11, 2014 75302.00007 Helios Multi-Sector High Income Fund, Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Brookfield High Income Fund Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Re: Reorganization of the Helios Multi-Sector High Income Fund, Inc. into the Brookfield High Incom |
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| August 12, 2014 |
[LETTERHEAD OF VENABLE LLP] August 12, 2014 Exhibit (11)(c) [LETTERHEAD OF VENABLE LLP] August 12, 2014 Brookfield High Income Fund Inc. |
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| August 12, 2014 |
EX-99.(12)(B) 4 a14-187631ex99d12b.htm EX-99.(12)(B) Exhibit (12)(b) August 11, 2014 75302.00007 Helios High Income Fund, Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Brookfield High Income Fund Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Re: Reorganization of the Helios High Income Fund, Inc. into the Brookfield High Income Fund Inc. Ladies and Gen |
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| August 12, 2014 |
EX-99.(12)(A) 3 a14-187631ex99d12a.htm EX-99.(12)(A) Exhibit (12)(a) August 11, 2014 75302.00007 Helios Advantage Income Fund, Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Brookfield High Income Fund Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Re: Reorganization of the Helios Advantage Income Fund, Inc. into the Brookfield High Income Fund Inc. Ladi |
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| August 11, 2014 |
HHY / Brookfield High Income Fund Inc. N-14 8C/A - - N-14 8C/A As filed with the Securities and Exchange Commission on August 11, 2014 Securities Act File No. |
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| August 11, 2014 |
HHY / Brookfield High Income Fund Inc. CORRESP - - [Letterhead of Brookfield High Income Fund Inc.] August 11, 2014 Amy Miller U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 Re: Brookfield High Income Fund Inc. (the “Fund”) Registration Statement on Form N-14 (the “Registration Statement”) File Nos. 333-195128 and 811-08795 Dear Ms. Miller: On May 22, 2014, the Fund’s Registration |
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| August 11, 2014 |
HHY / Brookfield High Income Fund Inc. CORRESP - - August 11, 2014 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Brookfield High Income Fund Inc. (the “Fund”) (333-195128) Ladies and Gentlemen: On behalf of the Fund, transmitted herewith is a copy of the Fund’s Post-Effective Amendment No. 1 to the Registration Statement on Form N-14 (“Post-Effective Amendment”) for filing under the Securities Act of 1933, as amend |
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| July 7, 2014 |
HHY / Brookfield High Income Fund Inc. DEFA14A - - DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934, as amended Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidentia |
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| June 6, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934, as amended Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidentia |
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| May 30, 2014 |
I, Brian F. Hurley, certify that: CERTIFICATION I, Brian F. Hurley, certify that: 1. I have reviewed this report on Form N-Q of Brookfield High Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the p |
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| May 30, 2014 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on May 30, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 21, 2014 |
[Letterhead of Brookfield High Income Fund Inc.] May 21, 2014 Amy Miller U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 Re: Brookfield High Income Fund Inc. (the “Fund”) Registration Statement on Form N-14 (the “Registration Statement”) File Nos. 333-195128 and 811-08795 Dear Ms. Miller: On April 8, 2014, the Fund filed its Registr |
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| May 21, 2014 |
EVERY SHAREHOLDER’S VOTE IS IMPORTANT Exhibit (17)(o) EVERY SHAREHOLDER’S VOTE IS IMPORTANT EASY VOTING OPTIONS: VOTE ON THE INTERNET Log on to: www. |
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| May 21, 2014 |
Exhibit 11(a) CONSENT OF COUNSEL We consent to the reference to our Firm under the heading “Other Service Providers” in the Registration Statement on Form N-14 of Brookfield High Income Fund Inc. as filed with the Securities and Exchange Commission on or about May 21, 2014. /s/ Paul Hastings LLP PAUL HASTINGS LLP New York, New York May 21, 2014 |
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| May 21, 2014 |
As filed with the Securities and Exchange Commission on May 21, 2014 Securities Act File No. |
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| May 21, 2014 |
Exhibit (13)(c) TRANSFER AGENCY FEE AND SERVICE SCHEDULE between 40/86 STRATEGIC INCOME FUND and COMPUTERSHARE TRUST COMPANY, N. |
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| May 21, 2014 |
EVERY SHAREHOLDER’S VOTE IS IMPORTANT EX-99.(17)(M) 7 a14-77511ex99d17m.htm EX-99.(17)(M) Exhibit (17)(m) EVERY SHAREHOLDER’S VOTE IS IMPORTANT EASY VOTING OPTIONS: VOTE ON THE INTERNET Log on to: www.proxy-direct.com or scan the QR code Follow the on-screen instructions Available 24 hours VOTE BY PHONE Call 1-800-337-3503 Follow the recorded instructions available 24 hours VOTE BY MAIL Vote, sign and date this Proxy Card and return i |
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| May 21, 2014 |
EVERY SHAREHOLDER’S VOTE IS IMPORTANT Exhibit (17)(l) EVERY SHAREHOLDER’S VOTE IS IMPORTANT EASY VOTING OPTIONS: VOTE ON THE INTERNET Log on to: www. |
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| May 21, 2014 |
May 21, 2014 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Brookfield High Income Fund Inc. (the “Fund”) (333-195128) Pre-Effective Amendment No. 1 to the Registration Statement on Form N-14 Ladies and Gentlemen: Transmitted herewith for filing is a copy of the Fund’s Pre-Effective Amendment No. 1 to the Registration Statement on Form N-14. This Registration Statem |
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| May 21, 2014 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit (14) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Form N-14 of the Brookfield High Income Fund Inc. |
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| May 21, 2014 |
EVERY SHAREHOLDER’S VOTE IS IMPORTANT EX-99.(17)(N) 8 a14-77511ex99d17n.htm EX-99.(17)(N) Exhibit (17)(n) EVERY SHAREHOLDER’S VOTE IS IMPORTANT EASY VOTING OPTIONS: VOTE ON THE INTERNET Log on to: www.proxy-direct.com or scan the QR code Follow the on-screen instructions Available 24 hours VOTE BY PHONE Call 1-800-337-3503 Follow the recorded instructions available 24 hours VOTE BY MAIL Vote, sign and date this Proxy Card and return i |
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| May 21, 2014 |
EVERY SHAREHOLDER’S VOTE IS IMPORTANT Exhibit (17)(k) EVERY SHAREHOLDER’S VOTE IS IMPORTANT EASY VOTING OPTIONS: VOTE ON THE INTERNET Log on to: www. |
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| May 20, 2014 |
(212) 318-6275 [email protected] May 20, 2014 75302.00007 VIA EDGAR Ms. Amy Miller U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 Re: Brookfield High Income Fund Inc. (the “Registrant”) File No.: 333-195128 Dear Ms. Miller: This letter responds to your comments communicated to the undersigned with respect to the Regi |
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| April 22, 2014 |
8-K 1 a14-1088318k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 21, 2014 BROOKFIELD HIGH INCOME FUND INC. (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporatio |
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| April 8, 2014 |
As filed with the Securities and Exchange Commission on April 8, 2014 Securities Act File No. |
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| April 8, 2014 |
Exhibit (16) POWER OF ATTORNEY Each of the undersigned directors of Brookfield High Income Fund Inc. |
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| April 8, 2014 |
BROOKFIELD HIGH INCOME FUND INC. ARTICLES OF AMENDMENT AND RESTATEMENT Exhibit (1) BROOKFIELD HIGH INCOME FUND INC. ARTICLES OF AMENDMENT AND RESTATEMENT FIRST: Brookfield High Income Fund Inc., a Maryland corporation (the “Corporation”), desires to amend and restate its charter as currently in effect and as hereinafter amended. SECOND: The following provisions are all the provisions of the charter currently in effect and as hereinafter amended: ARTICLE I INCORPORATO |
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| April 8, 2014 |
Exhibit 11(a) CONSENT OF COUNSEL We consent to the reference to our Firm under the heading “Other Service Providers” in the Registration Statement on Form N-14 of Brookfield High Income Fund Inc. as filed with the Securities and Exchange Commission on or about April 8, 2014. /s/ Paul Hastings LLP PAUL HASTINGS LLP New York, New York April 8, 2014 |
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| April 8, 2014 |
Exhibit (6) INVESTMENT ADVISORY AGREEMENT AGREEMENT made as of February 28, 2014, by and between Brookfield Investment Management Inc. |
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| April 8, 2014 |
FUND ACCOUNTING SERVICING AGREEMENT Exhibit (13)(d) FUND ACCOUNTING SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of this 1st day of March, 2014, by and between BROOKFIELD HIGH INCOME FUND INC. |
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| April 8, 2014 |
[Letterhead of Venable LLP] April 8, 2014 Exhibit (11)(b) [Letterhead of Venable LLP] April 8, 2014 Brookfield High Income Fund Inc. |
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| April 8, 2014 |
BROOKFIELD HIGH INCOME FUND INC. AMENDED AND RESTATED BYLAWS ARTICLE I Exhibit (2) BROOKFIELD HIGH INCOME FUND INC. AMENDED AND RESTATED BYLAWS ARTICLE I OFFICES Section 1. PRINCIPAL OFFICE. The principal office of the Corporation in the State of Maryland shall be located at such place as the Board of Directors may designate. Section 2. ADDITIONAL OFFICES. The Corporation may have additional offices, including a principal executive office, at such places as the Board |
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| April 8, 2014 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit (14) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Form N-14 of the Brookfield High Income Fund Inc. |
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| April 8, 2014 |
Exhibit (13)(a) ADMINISTRATION AGREEMENT THIS AGREEMENT is made as of the 28th day of February, 2014, by and between Helios High Yield Fund Inc. |
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| April 8, 2014 |
Exhibit (9) CUSTODY AGREEMENT THIS AGREEMENT is made and entered into as of the 1st day of March, 2014, by and between BROOKFIELD HIGH INCOME FUND INC. |
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| April 8, 2014 |
BROOKFIELD INVESTMENT MANAGEMENT INC. FUND SUB-ADMINISTRATION SERVICING AGREEMENT Exhibit (13)(b) BROOKFIELD INVESTMENT MANAGEMENT INC. FUND SUB-ADMINISTRATION SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the 1st day of March, 2014, by and between BROOKFIELD INVESTMENT MANAGEMENT INC., (“BIM”) with respect to Brookfield High Income Fund Inc., a Maryland corporation (the “Fund”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USB |
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| April 8, 2014 |
April 8, 2014 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Brookfield High Income Fund Inc. (the “Fund”) (333-[ ]) Ladies and Gentlemen: Transmitted herewith for filing is a Registration Statement on Form N-14 for the above referenced Fund. This Registration Statement is being filed in connection with the proposed reorganization of each of Helios Advantage Income |
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| April 8, 2014 |
Exhibit (12)(a) [ ], 2014 - DRAFT 75302.00007 Helios Advantage Income Fund, Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Brookfield High Income Fund Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Re: Reorganization of the Helios Advantage Income Fund, Inc. into the Brookfield High Income Fund Inc. Ladies and Gentlemen: We have acted as counsel to the H |
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| April 8, 2014 |
Exhibit (12)(d) [ ], 2014 - DRAFT 75302.00007 Helios Strategic Income Fund, Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Brookfield High Income Fund Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Re: Reorganization of the Helios Strategic Income Fund, Inc. into the Brookfield High Income Fund Inc. Ladies and Gentlemen: We have acted as counsel to the H |
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| April 8, 2014 |
Exhibit (12)(b) [ ], 2014 - DRAFT 75302.00007 Helios High Income Fund, Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Brookfield High Income Fund Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Re: Reorganization of the Helios High Income Fund, Inc. into the Brookfield High Income Fund Inc. Ladies and Gentlemen: We have acted as counsel to the Helios High |
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| April 8, 2014 |
Exhibit (12)(c) [ ], 2014 - DRAFT 75302.00007 Helios Multi-Sector High Income Fund, Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Brookfield High Income Fund Inc. Brookfield Place 250 Vesey Street New York, New York 10281-1023 Re: Reorganization of the Helios Multi-Sector High Income Fund, Inc. into the Brookfield High Income Fund Inc. Ladies and Gentlemen: We have acted as |
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| February 28, 2014 |
The shareholders of the Helios High Yield Fund voted on the following proposals at a shareholder meeting on November 21, 2013. |
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| February 27, 2014 |
BROOKFIELD HIGH INCOME FUND INC. ARTICLES OF AMENDMENT AND RESTATEMENT Exhibit 1 BROOKFIELD HIGH INCOME FUND INC. ARTICLES OF AMENDMENT AND RESTATEMENT FIRST: Brookfield High Income Fund Inc., a Maryland corporation (the “Corporation”), desires to amend and restate its charter as currently in effect and as hereinafter amended. SECOND: The following provisions are all the provisions of the charter currently in effect and as hereinafter amended: ARTICLE I INCORPORATOR |
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| February 27, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A/A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Brookfield High Income Fund Inc. (Exact Name of Registrant as Specified in Its Charter) MARYLAND 52-2108996 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) Brookfiel |
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| February 27, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A ADOPTION OF AND AMENDMENT TO NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company, a Maryland corporation (the “Registrant”), hereby notifies the U.S. Securities and Exchange Commission that it is adopting as its own the registration of H |
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| February 27, 2014 |
BROOKFIELD HIGH INCOME FUND INC. AMENDED AND RESTATED BYLAWS ARTICLE I Exhibit 2 BROOKFIELD HIGH INCOME FUND INC. AMENDED AND RESTATED BYLAWS ARTICLE I OFFICES Section 1. PRINCIPAL OFFICE. The principal office of the Corporation in the State of Maryland shall be located at such place as the Board of Directors may designate. Section 2. ADDITIONAL OFFICES. The Corporation may have additional offices, including a principal executive office, at such places as the Board o |
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| January 24, 2014 |
1(212) 318-6275 [email protected] January 24, 2014 75302.00001 VIA EDGAR Mr. Chad Eskildsen United States Securities and Exchange Commission Division of Investment Management 100 “F” Street, N.E. Washington, D.C. 20549 Re: Helios Advantage Income Fund, Inc. (811-21631) Helios High Income Fund, Inc. (811-21332) Helios High Yield Fund (811-08795) Helios Multi-Sector High Income Fund, |
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| January 23, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934, as amended Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statem |
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| January 23, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934, as amended Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statem |
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| January 15, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934, as amended Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statem |
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| December 24, 2013 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 18, 2013 |
1(212) 318-6275 [email protected] December 18, 2013 75302.00014 VIA EDGAR Anu Dubey, Esq. U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 Re: Helios High Yield Fund File Nos.: 333-55809 and 811-08795 Dear Ms. Dubey: This letter responds to your comments communicated to the undersigned by telephone on December 6, 2013, |
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| November 26, 2013 |
1(212) 318-6275 [email protected] November 26, 2013 75302.00014 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Helios High Yield Fund (811-08795) Ladies and Gentlemen: On behalf of our client, Helios High Yield Fund (the “Fund”) and pursuant to Rule 14a-6 of the Securities Exchange Act of 1934 and Rule 20a-1 under the Investment Company Act |
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| November 26, 2013 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 24, 2013 |
Quarterly Schedule of Portfolio Holdings - HELIOS HIGH YIELD FUND Helios High Yield Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 24, 2013 |
Certifications CERTIFICATION I, Kim G. Redding, certify that: 1. I have reviewed this report on Form N-Q of Helios High Yield Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to t |
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| October 17, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confide |
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| September 20, 2013 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of Helios High Yield Fund In planning and performing our audit of the financial statements of the Helios High Yield Fund (the "Fund") as of and for the year ended June 30, 2013, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Fund's |
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| August 29, 2013 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of Helios High Yield Fund In planning and performing our audit of the financial statements of the Helios High Yield Fund (the "Fund") as of and for the year ended June 30, 2013, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Fund's |
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| May 22, 2013 |
I, Kim G. Redding, certify that: CERTIFICATION I, Kim G. Redding, certify that: 1. I have reviewed this report on Form N-Q of Helios High Yield Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cover |
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| May 22, 2013 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on May 22, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 16, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 11, 2013 HELIOS HIGH YIELD FUND (Exact name of registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 001-14317 (Commission File Nu |
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| February 28, 2013 |
SUB-ITEM 77C: Matters submitted to a vote of security holders During the six month period ended December 31, 2012, the shareholders of the Helios High Yield Fund voted on the following proposals at a shareholder meeting on November 15, 2012. |
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| November 19, 2012 |
I, Kim G. Redding, certify that: CERTIFICATION I, Kim G. Redding, certify that: 1. I have reviewed this report on Form N-Q of Helios High Yield Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cover |
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| November 19, 2012 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on November 19, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 25, 2012 |
Schedule 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities and Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 HELIOS HIGH YIELD FUND Payment of Filing Fee (Check the appropriate box:) x No fee required. |
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| August 29, 2012 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of Helios High Yield Fund In planning and performing our audit of the financial statements of the Helios High Yield Fund (the "Fund") as of and for the year ended June 30, 2012, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Fund’s |
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| May 30, 2012 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PUBLIC HOLDINGS As filed with the Securities and Exchange Commission on May 30, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 30, 2012 |
I, Kim G. Redding, certify that: CERTIFICATION I, Kim G. Redding, certify that: 1. I have reviewed this report on Form N-Q of Helios High Yield Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cover |
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| February 29, 2012 |
HELIOS HIGH YIELD FUND Proxy Results (Unaudited) December 31, 2011 At the Annual Meeting of Stockholders of the Helios High Yield Fund held on November 17, 2011, stockholders voted on a proposal to elect Trustee Nominees to the Board of Trustees of the Fund. |
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| July 9, 2009 |
K&L Gates LLP 1601 K Street NW Washington, DC 20006-1600 T 202.778.9000 www.klgates.com July 7, 2009 VIA EDGAR Mr. John Ganley Office of Disclosure and Review Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: 40|86 Strategic Income Fund (File No. 811-08795) Preliminary Proxy Statement on Schedule 14A Dear Mr. Ganley: Set forth below |
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| July 9, 2009 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| July 9, 2009 |
K&L Gates LLP 1601 K Street NW Washington, DC 20006-1600 T 202.778.9000 www.klgates.com Mitra Shakeri 202.778.9024 direct dial 202.778.9100 fax [email protected] July 9, 2009 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Definitive Proxy Statement for 40|86 Strategic Income Fund (File No. 811-08795) Ladies and Gentlemen: On behalf of 40|86 Stra |
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| June 25, 2009 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: ý Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| June 25, 2009 |
[Letterhead of K&L Gates LLP] (202) 778-9024 [email protected] June 24, 2009 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: 40/86 Strategic Income Fund Ladies and Gentlemen: On behalf of our client, 40/86 Strategic Income Fund (the "Fund"), and pursuant to Rule 14a-6 of the Securities Exchange Act of 1934 and Rule 20a-1 under the Investment Company |
