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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 | |
---|---|---|---|---|---|---|---|---|
0.05 | 0.63% | 8.01 | 8.00 | 7.96 | 7.96 | 82,669 | 21:15:07 |
Item 25.
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Financial Statements and Exhibits
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The agreements included or incorporated by reference as exhibits to this Registration Statement contain representations and warranties by each of
the parties to the applicable agreement. These representations and warranties were made solely for the benefit of the other parties to the applicable agreement and (i) were not intended to be treated as categorical statements of fact, but
rather as a way of allocating the risk to one of the parties if those statements prove to be inaccurate; (ii) may have been qualified in such agreement by disclosures that were made to the other party in connection with the negotiation of the
applicable agreement; (iii) may apply contract standards of “materiality” that are different from “materiality” under the applicable securities laws; and (iv) were made only as of the date of the applicable agreement or such other date or
dates as may be specified in the agreement.
The Registrant acknowledges that, notwithstanding the inclusion of the foregoing cautionary statements, it is responsible for considering whether
additional specific disclosures of material information regarding material contractual provisions are required to make the statements in this Registration Statement not misleading.
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(1)
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Financial Statements
Included in Part A:
Registrant’s Financial Highlights for the fiscal years ended October 31, 2021, 2020, 2019, 2018, 2017, 2016, 2015,
2014, 2013 and 2012 are incorporated in Part A by reference to the Funds’ Annual Report on Form N-CSR for the fiscal year ended October 31, 2016 and Annual Report on Form N-CSR for the fiscal year ended October 31, 2021 as filed with the U.S. Securities and Exchange Commission (the “SEC”) via EDGAR Accession No. 0000898432-16-001803 on January 8, 2017 and Accession No.
0000898432-22-000023 on January 5, 2022, 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, 2021 as filed with the SEC via EDGAR Accession No. 0000898432-22-000023 on January 5, 2022.
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(2)
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Exhibits
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(a)
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(i)
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(ii)
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(iii)
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(iv)
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||
(v)
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||
(b)
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(i)
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(c)
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Not applicable.
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(d)
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(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.
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(ii)
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Articles II, VI and X of the Amended and Restated Bylaws. Incorporated by reference to Item 2(b)(i) above.
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(iii)
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||
(iv)
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(e)
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(f)
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Not applicable.
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(g)
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(i)
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(ii)
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||
(h)
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(i)
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(i)
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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)
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(iii)
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(iv)
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(v)
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(l)
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(i)
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(ii) |
Opinion and Consent of K&L Gates LLP as to the legality of the rights and
shares. (Filed herewith.) |
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(m)
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Not applicable.
|
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(n)
|
||
(o)
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Not applicable.
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(p)
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Not applicable.
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(q)
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Not applicable.
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(r)
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(i)
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(s)
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(t)
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(i)
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(ii) |
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(iii) |
Item 26.
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Marketing Arrangements
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Item 27.
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Other Expenses of Issuance and Distribution
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Registration and Filing Fees
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$
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13,921.40
|
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FINRA Fees
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12,000
|
||
Legal Fees and Expenses
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350,000
|
||
Accounting Fees and Expenses
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7,800
|
||
Miscellaneous Expenses
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114,120
|
||
Total
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$
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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
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Item 29.
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Number of Holders of Securities
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Title of Class
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Number of
Record
Holders
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Shares of Common Stock, par value $0.0001 per share
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15
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Preferred Stock (MRPS Series C)
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3
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Item 30.
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Indemnification
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Item 31.
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Business and Other Connections of Investment Adviser
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NAME
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BUSINESS AND OTHER CONNECTIONS
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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; Trustee/Director, eleven registered investment companies for which NBIA acts as investment manager and/or administrator; Chief Executive Officer and President, eleven registered investment companies
for which NBIA acts as investment manager and/or administrator; Portfolio Manager.
|
Thanos Bardas
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
Ashok Bhatia
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; Associate 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-two 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.
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David M. Brown
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Chad Bruso
Senior Vice President, NBIA |
Senior Vice President, NB BD LLC; Portfolio Manager.
|
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
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Managing Director, NB BD LLC; Portfolio Manager.
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NAME
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BUSINESS AND OTHER CONNECTIONS
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Brad E. Cetron
Chief Compliance Officer,
Head of Compliance and
Managing Director of
Compliance, NBIA
|
Chief Compliance Officer and Managing Director, NB BD LLC.
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Elias Cohen
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
|
William R. Covode
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Timothy Creedon
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Kai Cui
Senior Vice President
|
Portfolio Manager.
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Robert W. D’Alelio
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Derek Devens
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
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Daniel Doyle
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
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Ingrid Dyott
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Steven Eisman
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
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Rory Ewing
Senior Vice President, NBIA
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Senior Vice President, 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
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Chief Compliance Officer, thirty-two registered investment companies for which NBIA acts as investment manager and/or administrator.
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Michael Foster
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
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NAME
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BUSINESS AND OTHER CONNECTIONS
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Jacob Gamerman
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Rand W. Gesing
Senior Vice President, NBIA
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Senior Vice President, NB BD LLC; Portfolio Manager.
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Jennifer Gorgoll
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
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Michael C. Greene
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Jeffrey Hunn
Senior Vice President, NBIA
|
Senior Vice President, NB BD LLC; Portfolio Manager.
|
William Hunter
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Fred Ingham
Managing Director, NBIA
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Portfolio Manager.
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James L. Iselin
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Corey A. Issing
General Counsel – Mutual
Funds and
Managing Director, NBIA
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Chief Legal Officer (only for purposes of sections 307 and 406 of the Sarbanes-Oxley Act of 2002), thirty-two registered investment companies for which NBIA acts as investment manager
and/or administrator.
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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.
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Tokufumi Kato
Managing Director, NBIA
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Portfolio Manager.
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Hakan Kaya
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Brian Kerrane
Chief Operating Officer –
Mutual Funds and Managing
Director, NBIA
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Managing Director, NB BD LLC; Chief Operating Officer, and Vice President, thirty-two registered investment companies for which NBIA acts as investment manager and/or
administrator.
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NAME
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BUSINESS AND OTHER CONNECTIONS
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Eric Knutzen
Managing Director, NBIA
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Managing Director, NB BD LLC; Multi-Asset Class Chief Investment Officer, Neuberger Berman Group LLC; Portfolio Manager.
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Christopher Kocinski
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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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.
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Sajjad S. Ladiwala
Managing Director, NBIA |
Managing Director, NB BD LLC; Associate Portfolio Manager; Portfolio Manager.
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David Levine
Senior Vice President, NBIA |
Senior Vice President, NB BD LLC; Portfolio Manager.
|
Richard S. Levine
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Joseph Lind
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Brian Lord
Chief Compliance Officer –
Fixed Income and Senior Vice
President, NBIA
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Senior Vice President, NB BD LLC.
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James Lyman
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
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Joseph P. Lynch
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Jeffrey Majit
Managing Director, NBIA |
Managing Director, NB BD LLC; Managing Director, NBAIM; Portfolio Manager.
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Jared Mann,
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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James F. McAree
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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NAME
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BUSINESS AND OTHER CONNECTIONS
|
Kevin McCarthy
Senior Vice President, NBIA
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Senior Vice President, NB BD LLC; Portfolio Manager.
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Matthew McGinnis
Senior Vice President, NBIA
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Senior Vice President, NB BD LLC; Portfolio Manager.
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S. Blake Miller
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Norman Milner
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Trevor Moreno
Vice President, NBIA |
Senior Vice President, NB BD LLC; Portfolio Manager.
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Richard S. Nackenson
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Benjamin H. Nahum
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Eric J. Pelio
Senior Vice President, NBIA
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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
|
Portfolio Manager.
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Marc Regenbaum
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Brett S. Reiner
Managing Director, NBIA |
Managing Director, NB BD LLC; Associate Portfolio Manager.
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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.
|
NAME
|
BUSINESS AND OTHER CONNECTIONS
|
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.
|
Benjamin E. Segal
Managing Director, NBIA |
Managing Director, 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.
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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.
|
Brian 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.
|
Brad Tank
President - Fixed Income and
Chief Investment Officer -
Fixed Income, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
Jason Tauber
Managing Director, NBIA
|
Managing Director, NB BD LLC; Portfolio Manager.
|
NAME
|
BUSINESS AND OTHER CONNECTIONS
|
Shawn Trudeau
|
Senior Vice President, NB BD LLC; Portfolio Manager.
|
Kenneth J. Turek
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; Portfolio Manager.
|
Niketh Velamoor
Senior Vice President, and
Associate General Counsel,
NBIA
|
Senior Anti-Corruption and Anti-Money Laundering Officer and Senior Vice President, NB BD LLC; Anti-Money Laundering Compliance Officer, four registered investment companies for which
NBIA acts as investment manager and/or administrator.
|
Leo Anthony Viola
Treasurer and Managing
Director, NBIA
|
Treasurer 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
|
April 19, 2022
|
Joseph V. Amato
|
||
/s/ John M. McGovern
|
Treasurer and Principal Financial and
Accounting Officer
|
April 19, 2022
|
John M. McGovern
|
||
/s/ Michael J. Cosgrove
|
Director
|
April 19, 2022
|
Michael J. Cosgrove*
/s/ Marc Gary
|
Director
|
April 19, 2022
|
Marc Gary*
|
||
/s/ Martha C. Goss
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Director
|
April 19, 2022
|
Martha C. Goss*
|
||
/s/ Michael M. Knetter
|
Director
|
April 19, 2022
|
Michael M. Knetter*
|
||
/s/ Deborah C. McLean
|
Director
|
April 19, 2022
|
Deborah C. McLean*
|
/s/ George W. Morriss
|
Director
|
April 19, 2022
|
George W. Morriss*
|
||
/s/ Tom D. Seip
|
Chairman of the Board and Director
|
April 19, 2022
|
Tom D. Seip*
|
||
/s/ James G. Stavridis
|
Director
|
April 19, 2022
|
James G. Stavridis*
|
(d)(iii)
|
|
(d)(iv)
|
|
(h)
|
|
(k)(iv)
|
|
(k)(v)
|
|
(l)(ii) |
Opinion and Consent of K&L Gates LLP as to the legality of the rights and the
shares. |
(t)(i)
|
1 Year Neuberger Berman High Yi... Chart |
1 Month Neuberger Berman High Yi... Chart |
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