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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Neuberger Berman High Yield Strategies Fund | AMEX:NHS | AMEX | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.02 | 0.26% | 7.76 | 7.78 | 7.705 | 7.78 | 117,042 | 00:59:58 |
Item 25.
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Financial Statements and Exhibits
|
(1) |
Financial Statements
Included in Part A:
Registrant’s Financial Highlights for the fiscal years ended October 31, 2023, 2022, 2021, 2020, 2019, 2018, 2017, 2016, 2015 and 2014 are incorporated in
Part A by reference to the Funds’ Annual Report on Form N-CSR for the fiscal year ended October 31, 2018
and Annual Report on Form N-CSR for the fiscal year ended October 31, 2023 as filed with the U.S.
Securities and Exchange Commission (the “SEC”) via EDGAR Accession No. 0000898432-19-000029 on January 7, 2019 and Accession No. 0000898432-24-000025 on January 5, 2024, respectively.
Included in Part B:
Registrant’s Financial Statements are incorporated in Part B by reference to the Fund’s Annual Report on Form N-CSR for the fiscal year ended October 31, 2023 as filed with the SEC via EDGAR Accession
No. 0000898432-24-000025 on January 5, 2024.
|
|
(2) |
Exhibits | |
(a)
|
(i)
|
|
(ii)
|
(iii)
|
||
(iv)
|
||
(v)
|
||
(vi)
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||
(vii)
|
||
(b)
|
(i)
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(c)
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Not applicable.
|
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(d)
|
(i)
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Articles Sixth, Ninth, Tenth, Eleventh and Thirteenth of the Articles of Incorporation. Incorporated by Reference to Item 2(a) above.
|
(ii)
|
Articles II, VI and X of the Amended and Restated Bylaws. Incorporated by reference to Item 2(b)(i) above.
|
|
(e)
|
||
(f)
|
Not applicable.
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|
(g)
|
(i)
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(ii)
|
||
(h)
|
(i)
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|
(ii)
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||
(i)
|
Not applicable.
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|
(j)
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(i)
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(ii)
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||
(k)
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(i)
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(ii)
|
||
(iii)
|
||
(iv)
|
||
(v)
|
||
(vi)
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||
(vii)
|
||
(l)
|
(i)
|
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(ii)
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Opinion and Consent of K&L Gates LLP. (Filed herewith).
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(m)
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Not applicable.
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(n)
|
||
(o)
|
Not applicable.
|
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(p)
|
Not applicable.
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|
(q)
|
Not applicable.
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(r)
|
(i)
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(s)
|
||
(t)
|
(i)
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(ii)
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Item 26.
|
Marketing Arrangements
|
Item 27.
|
Other Expenses of Issuance and Distribution
|
||||
Registration and Filing Fees
|
$
|
13,921.40
|
|||
FINRA Fees
|
12,000
|
||||
Legal Fees and Expenses
|
350,000
|
||||
Accounting Fees and Expenses
|
7,800
|
||||
Miscellaneous Expenses
|
114,120
|
||||
Total
|
$
|
497,841.40(1)
|
(1) |
Estimate is based on the aggregate estimated expenses to be incurred during a three-year shelf offering period.
|
Item 28.
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Persons Controlled by or Under Common Control
|
Item 29.
|
Number of Holders of Securities
|
Title of Class
|
Number of
Record Holders
|
Shares of Common Stock, par value $0.0001 per share
|
16
|
Preferred Stock (MRPS Series D)
|
1
|
Item 30.
|
Indemnification
|
Item 31.
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Business and Other Connections of Investment Adviser
|
NAME
|
BUSINESS AND OTHER CONNECTIONS
|
|
Joseph V. Amato
President – Equities and Chief Investment Officer – Equities, NBIA
|
Chief Executive Officer and President, Neuberger Berman Holdings LLC (including its predecessor, Neuberger Berman Inc.); President and Director of Neuberger Berman Group LLC; Chief Executive Officer and
President, NB BD LLC; Director/Trustee, twelve registered investment companies for which NBIA acts as investment manager and/or administrator; Chief Executive Officer and President, twelve registered investment companies for which NBIA
acts as investment manager and/or administrator.
|
|
Thanos Bardas
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Ashok Bhatia
Co-Chief Investment Officer - Fixed Income and Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
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Jennifer Blachford
Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC; Portfolio Manager.
|
|
James Bowden
Managing Director, NBIA
|
Managing Director, NB BD LLC; Managing Director, NB Alternatives Advisers LLC (“NBAA”).
|
|
Claudia A. Brandon
Senior Vice President, NBIA |
Senior Vice President, NB BD LLC; Executive Vice President and Secretary, thirty-three registered investment companies for which NBIA acts as investment manager and/or administrator.
|
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Richard N. Bradt
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
David M. Brown
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
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Chad Bruso
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
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John Buser
Managing Director, NBIA
|
Managing Director, NB BD LLC; President and Managing Director, NBAA.
|
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Stephen J. Casey
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
NAME | BUSINESS AND OTHER CONNECTIONS | |
Brad E. Cetron
Chief Compliance Officer, Head of Compliance and Managing Director, NBIA
|
Chief Compliance Officer and Managing Director, NB BD LLC.
|
|
Elias Cohen
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Timothy Creedon
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Kai Cui
Managing Director, NBIA
|
Portfolio Manager.
|
|
Robert W. D’Alelio
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Derek Devens
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Agnes Diaz
Senior Vice President, NBIA |
Senior Vice President, NB BD LLC; Vice President, twelve registered investment companies for which NBIA acts as investment manager and/or administrator.
|
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Anthony DiBernardo
Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC; Assistant Treasurer, twelve registered investment companies for which NBIA acts as investment manager and/or administrator.
|
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Steven Eisman
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
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Rory Ewing
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
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Savonne L. Ferguson
Chief Compliance Officer – Mutual Funds, Associate General Counsel, and Senior Vice President, NBIA
|
Chief Compliance Officer, thirty-three registered investment companies for which NBIA acts as investment manager and/or administrator.
|
|
Michael Foster
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
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Jacob Gamerman
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
NAME | BUSINESS AND OTHER CONNECTIONS | |
Rand W. Gesing
Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC; Portfolio Manager.
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Jennifer Gorgoll
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Michael C. Greene
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
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Daniel P. Hanson
Managing Director, NBIA
|
Portfolio Manager.
|
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Jeffrey Hunn
Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC; Portfolio Manager.
|
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William Hunter
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Fred Ingham
Managing Director, NBIA
|
Portfolio Manager.
|
|
James L. Iselin
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Corey A. Issing
General Counsel – Mutual Funds and
Managing Director, NBIA
|
Chief Legal Officer (only for purposes of sections 307 and 406 of the Sarbanes-Oxley Act of 2002), thirty-three registered investment companies for which NBIA acts as investment manager and/or administrator.
|
|
Sheila James
Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC, Assistant Secretary, thirty-three registered investment companies for which NBIA acts as investment manager and/or administrator.
|
|
Brian C. Jones
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Charles Kantor
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Tokufumi Kato
Managing Director, NBIA
|
Portfolio Manager.
|
NAME | BUSINESS AND OTHER CONNECTIONS | |
Brian Kerrane
Chief Operating Officer – Mutual Funds and Managing Director, NBIA
|
Managing Director, NB BD LLC; Chief Operating Officer, and Vice President, thirty-three registered investment companies for which NBIA acts as investment manager and/or administrator.
|
|
Erik Knutzen
Managing Director, NBIA
|
Managing Director, NB BD LLC; Multi-Asset Class Chief Investment Officer, Neuberger Berman Group LLC.
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Christopher Kocinski
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
David Kupperman
Managing Director, NBIA |
Managing Director, NB BD LLC; Managing Director, NBAIM; Portfolio Manager.
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Nathan Kush
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
David Levine
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Richard S. Levine
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Joseph Lind
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Brian Lord
Chief Compliance Officer – Fixed Income and Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC.
|
|
Joseph P. Lynch
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Jeffrey Majit
Managing Director, NBIA |
Managing Director, NB BD LLC; Managing Director, NBAIM; Portfolio Manager.
|
|
Anthony Maltese
Senior Vice President
|
Senior Vice President, NB BD LLC; Vice President, twelve registered investment companies for which NBIA acts as investment manager and/or administrator.
|
|
Jared Mann
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
NAME | BUSINESS AND OTHER CONNECTIONS | |
James F. McAree
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Kevin McCarthy
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Matthew McGinnis
Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC; Portfolio Manager.
|
|
John McGovern
Managing Director, NBIA
|
Managing Director, NB BD LLC; Treasurer and Principal Financial and Accounting Officer, twelve registered investment companies for which NBIA acts as investment manager and/or administrator.
|
|
S. Blake Miller
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Trevor Moreno
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Richard S. Nackenson
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Benjamin H. Nahum
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Olumide Owolabi
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Eric J. Pelio
Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC; Portfolio Manager.
|
|
Alexandra Pomeroy
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Douglas A. Rachlin
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Hari Ramanan
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Marc Regenbaum
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
NAME | BUSINESS AND OTHER CONNECTIONS | |
Brett S. Reiner
Managing Director, NBIA |
Managing Director, NB BD LLC; Associate Portfolio Manager.
|
|
Joana Rocha Schaff
Managing Director, NBIA
|
Managing Director, NB BD LLC; Managing Director, NBAA.
|
|
Conrad A. Saldanha
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Eli M. Salzmann
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
John San Marco
Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC; Portfolio Manager.
|
|
Linda Sharaby
Secretary and Managing Director, NBIA
|
Managing Director and Secretary, NB BD LLC; Managing Director and Secretary, Neuberger Berman Holdings LLC.
|
|
Steve Shigekawa
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Ronald B. Silvestri
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Jonathan Shofet
Managing Director, NBIA
|
Managing Director, NB BD LLC; Managing Director, NBAA.
|
|
Brien Smith
Managing Director, NBIA
|
Managing Director, NB BD LLC; Chief Operating Officer and Managing Director, NBAA.
|
|
Amit Solomon
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Gregory G. Spiegel
Managing Director, NBIA |
Managing Director, NB BD LLC; Associate Portfolio Manager.
|
|
David Stonberg
Managing Director, NBIA
|
Managing Director, NB BD LLC; Managing Director, NBAA.
|
|
Robert Surgent
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
NAME | BUSINESS AND OTHER CONNECTIONS | |
Brad Tank
Co-Chief Investment Officer - Fixed Income and Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Jason Tauber
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Daniel Tracer
Senior Vice President, NBIA
|
Senior Vice President and Head of Financial Regulation, NB BD LLC, Senior Anti-Money Laundering Compliance Officer, five registered investment companies for which NBIA acts as investment manager and/or
administrator.
|
|
Shawn Trudeau
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Anthony Tutrone
Managing Director, NBIA
|
Managing Director, NB BD LLC; Chief Executive Officer and Managing Director, NBAA.
|
|
James Tyre
Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC; Portfolio Manager.
|
|
Gorky Urquieta
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
|
Judith M. Vale
Managing Director, NBIA |
Managing Director, NB BD LLC.
|
|
Leo Anthony Viola
Controller and Managing Director, NBIA
|
Controller and Managing Director, NB BD LLC; Treasurer, NBAA.
|
|
Peter Von Lehe
Managing Director, NBIA
|
Managing Director, NB BD LLC; Managing Director, NBAA.
|
|
David Yi Wan
Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC; Portfolio Manager.
|
|
Eric Zhou
Senior Vice President, NBIA |
Senior Vice President, NB BD LLC; Portfolio Manager.
|
Item 32.
|
Location of Accounts and Records
|
Item 33.
|
Management Services
|
Item 34.
|
Undertakings
|
Neuberger Berman High Yield Strategies Fund Inc.
|
|||
By:
|
/s/ Joseph V. Amato | ||
Name:
|
Joseph V. Amato
|
||
Title:
|
President and Chief Executive Officer
|
Signature
|
Title
|
Date
|
/s/ Joseph V. Amato |
President, Chief Executive Officer
and Director
|
February 23, 2024
|
Joseph V. Amato
|
||
/s/ John M. McGovern |
Treasurer and Principal Financial and
Accounting Officer
|
February 23, 2024
|
John M. McGovern
|
||
/s/ Michael J. Cosgrove
|
Director
|
February 23, 2024
|
Michael J. Cosgrove*
/s/ Marc Gary
|
Director
|
February 23, 2024
|
Marc Gary*
|
||
/s/ Martha C. Goss
|
Director
|
February 23, 2024
|
Martha C. Goss*
|
||
/s/ Ami Kaplan
|
Director
|
February 23, 2024
|
Ami Kaplan**
|
||
/s/ Michael M. Knetter
|
Director
|
February 23, 2024
|
Michael M. Knetter*
|
||
/s/ Deborah C. McLean
|
Director
|
February 23, 2024
|
Deborah C. McLean*
|
||
/s/ George W. Morriss
|
Director
|
February 23, 2024
|
George W. Morriss*
|
||
/s/ Tom D. Seip |
Chairman of the Board and Director
|
February 23, 2024
|
Tom D. Seip*
|
||
/s/ Franklyn E. Smith
|
Director
|
February 23, 2024
|
Franklyn E. Smith**
|
||
/s/ James G. Stavridis
|
Director
|
February 23, 2024
|
James G. Stavridis*
|
(l)(ii)
|
Opinion and Consent |
K&L GATES LLP
1601 K STREET, N.W.
WASHINGTON, DC 20006
T +1 202 778 9000 F +1 202 778 9100 klgates.com
|
(i)
|
the Organizational Documents constitute the only governing documents of the Fund and shall have not been amended after the date hereof in a manner that would affect the validity of any of the opinions
rendered herein;
|
(ii)
|
the resolutions authorizing the Fund to register, offer, sell and issue the Shares shall not have been rescinded and shall be unchanged at all times during which the Shares are offered, sold or issued by
the Fund; and
|
(iii)
|
the Shares and any certificates representing the Shares have been, as applicable, duly authenticated, executed, countersigned, registered and delivered upon payment of the agreed-upon legal consideration
therefor and have been duly issued and sold in accordance with the Agreements in an amount that does not exceed the amount available under the Registration Statement and at a price that is not below either (1) the par value of the Shares;
or (b) the then-current net asset value per Share, exclusive of any distribution commission or discount, which net asset value shall be determined as of a time within forty-eight hours, excluding Sundays and holidays, next preceding the
time of such price determination.
|
|
Very truly yours,
/s/ K&L Gates LLP
|
N-2 |
Feb. 21, 2024 |
---|---|
Cover [Abstract] | |
Entity Central Index Key | 0001487610 |
Amendment Flag | false |
Document Type | POS EX |
Entity Registrant Name | Neuberger Berman High Yield Strategies Fund Inc. |
Entity Address, Address Line One | c/o Neuberger Berman Investment Advisers LLC |
Entity Address, Address Line Two | 1290 Avenue of the Americas |
Entity Address, City or Town | New York |
Entity Address, State or Province | NY |
Entity Address, Postal Zip Code | 10104-0002 |
City Area Code | 212 |
Local Phone Number | 476-8800 |
Contact Personnel Name | Joseph V. Amato |
No Substantive Changes, 462(c) | true |
Exhibits Only, 462(d) | true |
Entity Well-known Seasoned Issuer | No |
Entity Emerging Growth Company | false |
1 Year Neuberger Berman High Yi... Chart |
1 Month Neuberger Berman High Yi... Chart |
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