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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Nuveen North Carolina Dividend Advantage Municipal Fund 3 IT IS A Newly Organized, Non-Diversified, Closed-End Management Invest | AMEX:NII | AMEX | Ordinary Share |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.00 | - |
Portfolio of Investments (Unaudited) | ||||
Nuveen North Carolina Dividend Advantage Municipal Fund 3 (NII) | ||||
February 28, 2010 | ||||
Principal | Optional Call | |||
Amount (000) | Description (1) | Provisions (2) | Ratings (3) | Value |
Consumer Staples 3.0% (1.9% of Total Investments) | ||||
$ 2,000 | Puerto Rico, The Childrens Trust Fund, Tobacco Settlement Asset-Backed Refunding Bonds, | 5/12 at 100.00 | BBB | $ 1,725,620 |
Series 2002, 5.500%, 5/15/39 | ||||
Education and Civic Organizations 3.9% (2.4% of Total Investments) | ||||
North Carolina Capital Facilities Financing Agency, Revenue Bonds, Duke University, | ||||
Series 2001A: | ||||
330 | 5.125%, 10/01/26 | 10/11 at 100.00 | AA+ | 337,970 |
95 | 5.125%, 10/01/41 | 10/11 at 100.00 | AA+ | 96,087 |
1,290 | University of North Carolina System, Pooled Revenue Refunding Bonds, Series 2002A, 5.000%, | 10/12 at 100.00 | A+ | 1,308,434 |
4/01/27 AMBAC Insured | ||||
500 | University of North Carolina Wilmington, Certificates of Participation, Student Housing | 6/16 at 100.00 | A | 534,460 |
Project Revenue Bonds, Series 2006, 5.000%, 6/01/21 FGIC Insured | ||||
2,215 | Total Education and Civic Organizations | 2,276,951 | ||
Health Care 12.4% (7.8% of Total Investments) | ||||
695 | Albemarle Hospital Authority, North Carolina, Health Care Facilities Revenue Bonds, Series | 10/17 at 100.00 | N/R | 628,280 |
2007, 5.250%, 10/01/27 | ||||
580 | Charlotte-Mecklenburg Hospital Authority, North Carolina, Healthcare System Revenue Bonds, | 1/11 at 101.00 | AA | 582,970 |
Carolinas Healthcare System, Series 2001A, 5.000%, 1/15/31 | ||||
500 | Johnston Memorial Hospital Authority, North Carolina, Mortgage Revenue Bonds, Johnston | 4/18 at 100.00 | AAA | 510,550 |
Memorial Hospital Project, Series 2008A, 5.250%, 10/01/36 AGM Insured | ||||
180 | New Hanover County, North Carolina, Hospital Revenue Bonds, New Hanover Regional Medical | 10/19 at 100.00 | AAA | 184,588 |
Center, Series 2006B, 5.125%, 10/01/31 AGM Insured | ||||
545 | North Carolina Medical Care Commission Health Care Facilities Revenue Bonds (WakeMed), Series | 10/14 at 100.00 | AAA | 561,061 |
2009A, 5.625%, 10/01/38 AGC Insured | ||||
2,000 | North Carolina Medical Care Commission, Healthcare Facilities Revenue Bonds, Novant Health | 11/13 at 100.00 | A+ | 2,100,540 |
Obligated Group, Series 2003A, 5.000%, 11/01/18 | ||||
1,000 | North Carolina Medical Care Commission, Hospital Revenue Bonds, Wilson Medical Center, Series | 11/17 at 100.00 | A | 970,230 |
2007, 5.000%, 11/01/27 | ||||
300 | North Carolina Medical Care Commission, Revenue Bonds, Blue Ridge Healthcare System, Series | 1/15 at 100.00 | A+ | 296,757 |
2005, 5.000%, 1/01/33 FGIC Insured | ||||
150 | Northern Hospital District of Surry County, North Carolina, Health Care Facilities Revenue | 4/18 at 100.00 | BBB | 151,697 |
Bonds, Series 2008, 6.250%, 10/01/38 | ||||
1,200 | The Charlotte-Mecklenberg Hospital Authority, North Carolina, Doing Business as Carolinas | 1/18 at 100.00 | AA | 1,205,364 |
HealthCare System, Health Care Refunding Revenue Bonds, Series 2008A, 5.000%, 1/15/47 | ||||
7,150 | Total Health Care | 7,192,037 | ||
Housing/Multifamily 1.8% (1.1% of Total Investments) | ||||
1,000 | Mecklenburg County, North Carolina, FNMA Multifamily Housing Revenue Bonds, Little Rock | 7/13 at 105.00 | AAA | 1,048,300 |
Apartments, Series 2003, 5.150%, 1/01/22 (Alternative Minimum Tax) | ||||
Housing/Single Family 2.7% (1.7% of Total Investments) | ||||
615 | North Carolina Housing Finance Agency, Home Ownership Revenue Bonds, 1998 Trust Agreement, | 7/10 at 100.00 | AA | 615,277 |
Series 5A, 5.625%, 7/01/30 (Alternative Minimum Tax) | ||||
500 | North Carolina Housing Finance Agency, Home Ownership Revenue Bonds, Series 2007-29A, 4.800%, | 1/17 at 100.00 | AA | 482,940 |
7/01/33 (Alternative Minimum Tax) | ||||
505 | North Carolina Housing Finance Agency, Home Ownership Revenue Bonds, Series 25-A, 4.900%, | 7/16 at 100.00 | AA | 487,992 |
7/01/37 (Alternative Minimum Tax) | ||||
1,620 | Total Housing/Single Family | 1,586,209 | ||
Long-Term Care 1.7% (1.0% of Total Investments) | ||||
North Carolina Medical Care Commission, Healthcare Facilities Revenue Bonds, Presbyterian | ||||
Homes, Series 2006: | ||||
250 | 5.400%, 10/01/27 | 10/16 at 100.00 | N/R | 237,463 |
600 | 5.500%, 10/01/31 | 10/16 at 100.00 | N/R | 550,338 |
190 | North Carolina Medical Care Commission, Revenue Bonds, Pines at Davidson, Series 2006A, | 1/16 at 100.00 | N/R | 173,787 |
5.000%, 1/01/36 | ||||
1,040 | Total Long-Term Care | 961,588 | ||
Materials 0.3% (0.2% of Total Investments) | ||||
200 | Columbus County Industrial Facilities and Pollution Control Financing Authority, North | 3/17 at 100.00 | BBB | 167,356 |
Carolina, Environmental Improvement Revenue Bonds, International Paper Company Project, | ||||
Series 2007A, 4.625%, 3/01/27 | ||||
Tax Obligation/General 15.1% (9.4% of Total Investments) | ||||
3,900 | Cary, North Carolina, General Obligation Water and Sewer Bonds, Series 2001, 5.000%, 3/01/20 | 3/11 at 102.00 | AAA | 4,165,629 |
Lincoln County, North Carolina, General Obligation Bonds, Series 2002A: | ||||
850 | 5.000%, 6/01/19 FGIC Insured | 6/12 at 101.00 | AA | 903,618 |
900 | 5.000%, 6/01/20 FGIC Insured | 6/12 at 101.00 | AA | 951,615 |
1,050 | 5.000%, 6/01/21 FGIC Insured | 6/12 at 101.00 | AA | 1,120,875 |
500 | North Carolina, General Obligation Bonds, Series 2004A, 5.000%, 3/01/22 | 3/14 at 100.00 | AAA | 547,055 |
400 | Raleigh, North Carolina, General Obligation Bonds, Series 2002, 5.000%, 6/01/21 | 6/12 at 100.00 | AAA | 438,636 |
550 | Wake County, North Carolina, Limited Obligation Bonds, Series 2010, 5.000%, 1/01/37 | 1/20 at 100.00 | AA+ | 577,231 |
8,150 | Total Tax Obligation/General | 8,704,659 | ||
Tax Obligation/Limited 34.9% (21.7% of Total Investments) | ||||
1,800 | Catawba County, North Carolina, Certificates of Participation, Series 2004, 5.250%, 6/01/22 | 6/14 at 100.00 | Aa3 | 1,898,550 |
NPFG Insured | ||||
2,750 | Charlotte, North Carolina, Certificates of Participation, Governmental Facilities Projects, | 6/13 at 100.00 | AA+ | 2,815,863 |
Series 2003G, 5.000%, 6/01/33 | ||||
600 | Charlotte, North Carolina, Certificates of Participation, Nascar Hall of Fame, Series 2009C, | 6/19 at 100.00 | AA+ | 620,184 |
5.000%, 6/01/39 | ||||
575 | Charlotte, North Carolina, Certificates of Participation, Transit Projects Phase 2, Series | 6/18 at 100.00 | AA+ | 594,217 |
2008A, 5.000%, 6/01/33 | ||||
800 | Craven County, North Carolina, Certificates of Participation, Series 2007, 5.000%, 6/01/27 | 6/17 at 100.00 | AA | 833,552 |
NPFG Insured | ||||
3,000 | Dare County, North Carolina, Certificates of Participation, Series 2002, 5.000%, 6/01/23 | 12/12 at 100.00 | AA | 3,036,030 |
AMBAC Insured | ||||
200 | Harnett County, North Carolina, Certificates of Participation, Series 2009, 5.000%, 6/01/28 | 6/19 at 100.00 | AAA | 211,062 |
AGC Insured | ||||
500 | Lee County, North Carolina, Certificates of Participation, Public Schools and Community | 4/14 at 100.00 | AAA | 535,835 |
College, Series 2004, 5.250%, 4/01/20 AGM Insured | ||||
200 | Mecklenburg County, North Carolina, Certificates of Participation, Series 2009A, | No Opt. Call | AA+ | 215,512 |
5.000%, 2/01/27 | ||||
1,000 | North Carolina, Certificates of Participation, Repair and Renovation Project, Series 2004B, | 6/14 at 100.00 | AA+ | 1,069,890 |
5.000%, 6/01/20 | ||||
2,625 | Puerto Rico Sales Tax Financing Corporation, Sales Tax Revenue Bonds, First Subordinate Series | No Opt. Call | A+ | 501,008 |
2010A, 0.000%, 8/01/35 | ||||
565 | Raleigh, North Carolina, Certificates of Participation, Series 2007, 5.000%, 2/01/27 | 2/17 at 100.00 | AA+ | 600,296 |
2,000 | Rutherford County, North Carolina, Certificates of Participation, Series 2002, 5.000%, | 9/12 at 101.00 | A | 2,094,200 |
9/01/21 AMBAC Insured | ||||
1,000 | Rutherford County, North Carolina, Certificates of Participation, Series 2007, 5.000%, | 12/17 at 100.00 | AAA | 1,058,590 |
12/01/27 AGM Insured | ||||
1,200 | Sampson County, North Carolina, Certificates of Participation, Series 2006, 5.000%, 6/01/34 | 6/17 at 100.00 | AAA | 1,223,328 |
AGM Insured (UB) | ||||
1,785 | Union County, North Carolina, Certificates of Participation, Series 2003, 5.000%, 6/01/20 | 6/13 at 101.00 | AA | 1,901,614 |
AMBAC Insured | ||||
500 | Wilmington, North Carolina, Certificates of Participation, Series 2008A, 5.000%, 6/01/29 | 6/18 at 100.00 | AA | 528,370 |
400 | Wilson County, North Carolina, Certificates of Participation, School Facilities Project, | 4/17 at 100.00 | A2 | 415,468 |
Series 2007, 5.000%, 4/01/25 AMBAC Insured | ||||
21,500 | Total Tax Obligation/Limited | 20,153,569 | ||
Transportation 12.6% (7.9% of Total Investments) | ||||
500 | Charlotte, North Carolina, Airport Revenue Bonds, Series 2010A, 5.000%, 7/01/39 | 7/20 at 100.00 | A+ | 503,180 |
660 | North Carolina State Ports Authority, Port Facilities Revenue Bonds, Senior Lien Series 2010A, | 2/20 at 100.00 | A3 | 663,986 |
5.250%, 2/01/40 (WI/DD, Settling 3/11/10) | ||||
North Carolina Turnpike Authority, Triangle Expressway System Senior Lien Revenue Bonds, | ||||
Series 2009A: | ||||
50 | 5.500%, 1/01/29 AGC Insured | 1/19 at 100.00 | AAA | 53,689 |
400 | 5.750%, 1/01/39 AGC Insured | 1/19 at 100.00 | AAA | 426,212 |
North Carolina Turnpike Authority, Triangle Expressway System Senior Lien Revenue Bonds, | ||||
Series 2009B: | ||||
2,195 | 0.000%, 1/01/35 AGC Insured | No Opt. Call | AAA | 528,951 |
100 | 0.000%, 1/01/37 AGC Insured | No Opt. Call | AAA | 21,156 |
300 | 0.000%, 1/01/38 AGC Insured | No Opt. Call | AAA | 59,577 |
Raleigh Durham Airport Authority, North Carolina, Airport Revenue Bonds, Series 2001A: | ||||
1,780 | 5.250%, 11/01/15 FGIC Insured | 5/11 at 101.00 | Aa3 | 1,856,433 |
3,100 | 5.000%, 11/01/20 FGIC Insured | 5/11 at 101.00 | Aa3 | 3,173,749 |
9,085 | Total Transportation | 7,286,933 | ||
U.S. Guaranteed 17.2% (10.7% of Total Investments) (4) | ||||
500 | Broad River Water Authority, North Carolina, Water System Revenue Bonds, Series 2000, 5.375%, | 6/10 at 101.00 | Baa1 (4) | 511,745 |
6/01/26 (Pre-refunded 6/01/10) MBIA Insured | ||||
170 | Charlotte-Mecklenburg Hospital Authority, North Carolina, Healthcare System Revenue Bonds, | 1/11 at 101.00 | Aa3 (4) | 178,821 |
Carolinas Healthcare System, Series 2001A, 5.000%, 1/15/31 (Pre-refunded 1/15/11) | ||||
200 | Charlotte-Mecklenburg Hospital Authority, North Carolina, Healthcare System Revenue Bonds, DBA | 1/15 at 100.00 | AAA | 233,516 |
Carolinas Healthcare System, Series 2005A, 5.000%, 1/15/45 (Pre-refunded 1/15/15) | ||||
Forsyth County, North Carolina, Certificates of Participation, Public Facilities and Equipment | ||||
Project, Series 2002: | ||||
1,325 | 5.125%, 1/01/16 (Pre-refunded 1/01/13) | 1/13 at 101.00 | AA+ (4) | 1,490,705 |
770 | 5.250%, 1/01/19 (Pre-refunded 1/01/13) | 1/13 at 101.00 | AA+ (4) | 868,991 |
North Carolina Capital Facilities Financing Agency, Revenue Bonds, Duke University, | ||||
Series 2001A: | ||||
920 | 5.125%, 10/01/26 (Pre-refunded 10/01/11) | 10/11 at 100.00 | AAA | 988,135 |
405 | 5.125%, 10/01/41 (Pre-refunded 10/01/11) | 10/11 at 100.00 | AAA | 434,994 |
1,600 | North Carolina Capital Facilities Financing Agency, Revenue Bonds, Duke University, Series | 10/12 at 100.00 | AAA | 1,779,920 |
2002A, 5.125%, 7/01/42 (Pre-refunded 10/01/12) | ||||
500 | North Carolina Medical Care Commission, Health System Revenue Bonds, Mission St. Josephs | 10/11 at 101.00 | AA (4) | 542,735 |
Health System, Series 2001, 5.250%, 10/01/31 (Pre-refunded 10/01/11) | ||||
500 | North Carolina Medical Care Commission, Revenue Bonds, Northeast Medical Center, Series 2004, | 11/14 at 100.00 | Aa3 (4) | 583,440 |
5.000%, 11/01/24 (Pre-refunded 11/01/14) | ||||
610 | University of North Carolina System, Pooled Revenue Refunding Bonds, Series 2002A, 5.000%, | 10/12 at 100.00 | N/R (4) | 676,636 |
4/01/27 (Pre-refunded 10/01/12) AMBAC Insured | ||||
1,500 | Winston-Salem, North Carolina, Water and Sewerage System Revenue Bonds, Series 2002A, 5.000%, | 6/12 at 100.00 | AAA | 1,643,460 |
6/01/19 (Pre-refunded 6/01/12) | ||||
9,000 | Total U.S. Guaranteed | 9,933,098 | ||
Utilities 19.4% (12.1% of Total Investments) | ||||
150 | North Carolina Eastern Municipal Power Agency, Power System Revenue Bonds, Series 2003F, | 1/13 at 100.00 | A | 161,859 |
5.500%, 1/01/16 | ||||
500 | North Carolina Eastern Municipal Power Agency, Power System Revenue Bonds, Series 2005, | 1/16 at 100.00 | A | 532,005 |
5.250%, 1/01/20 AMBAC Insured | ||||
1,400 | North Carolina Eastern Municipal Power Agency, Power System Revenue Bonds, Series 2009B, | 1/19 at 100.00 | A | 1,452,612 |
5.000%, 1/01/26 | ||||
4,060 | North Carolina Eastern Municipal Power Agency, Power System Revenue Refunding Bonds, Series | 7/10 at 100.00 | Baa1 | 4,066,699 |
1993B, 5.500%, 1/01/17 FGIC Insured | ||||
275 | North Carolina Municipal Power Agency 1, Catawba Electric Revenue Bonds, Refunding Series | 1/19 at 100.00 | A | 281,699 |
2009A, 5.000%, 1/01/30 | ||||
2,665 | North Carolina Municipal Power Agency 1, Catawba Electric Revenue Bonds, Series 2003A, 5.250%, | 1/13 at 100.00 | A | 2,936,990 |
1/01/15 AMBAC Insured | ||||
250 | North Carolina Municipal Power Agency 1, Catawba Electric Revenue Bonds, Series 2008A, | 1/18 at 100.00 | A | 277,068 |
5.250%, 1/01/20 | ||||
1,400 | Wake County Industrial Facilities and Pollution Control Financing Authority, North Carolina, | 2/12 at 101.00 | A1 | 1,493,954 |
Revenue Refunding Bonds, Carolina Power and Light Company, Series 2002, 5.375%, 2/01/17 | ||||
10,700 | Total Utilities | 11,202,886 | ||
Water and Sewer 35.4% (22.1% of Total Investments) | ||||
2,000 | Brunswick County, North Carolina, Enterprise System Revenue Bonds, Series 2008A, 5.000%, | 4/18 at 100.00 | AAA | 2,074,020 |
4/01/31 AGM Insured | ||||
425 | Cape Fear Public Utility Authority, North Carolina, Water & Sewer System Revenue Bonds, Series | 8/18 at 100.00 | AA | 460,369 |
2008, 5.000%, 8/01/28 | ||||
Charlotte, North Carolina, Water and Sewerage System Revenue Bonds, Series 2001: | ||||
750 | 5.125%, 6/01/26 | 6/11 at 101.00 | AAA | 780,150 |
1,780 | 5.125%, 6/01/26 FGIC Insured | 6/11 at 101.00 | Aa1 | 1,831,122 |
300 | Durham County, North Carolina, Enterprise System Revenue Bonds, Series 2002, 5.000%, 6/01/18 | 6/13 at 100.00 | AA | 323,835 |
NPFG Insured | ||||
2,500 | Kannapolis, North Carolina, Water and Sewerage System Revenue Bonds, Series 2001B, 5.250%, | 2/12 at 101.00 | AAA | 2,522,175 |
2/01/26 AGM Insured (Alternative Minimum Tax) | ||||
50 | Oak Island, North Carolina, Enterprise System Revenue Bonds, Series 2009A, 6.000%, 6/01/34 | 6/19 at 100.00 | AAA | 54,206 |
AGC Insured | ||||
500 | Onslow County, North Carolina, Combined Enterprise System Revenue Bonds, Series 2004B, 5.000%, | 6/14 at 100.00 | A | 521,104 |
6/01/23 SYNCORA GTY Insured | ||||
1,000 | Orange Water and Sewerage Authority, North Carolina, Water and Sewerage System Revenue Bonds, | 7/11 at 101.00 | AA+ | 1,027,530 |
Series 2001, 5.000%, 7/01/26 | ||||
Raleigh, North Carolina, Combined Enterprise System Revenue Bonds, Series 2006A: | ||||
4,950 | 5.000%, 3/01/31 (UB) | 3/16 at 100.00 | AAA | 5,240,713 |
3,000 | 5.000%, 3/01/36 (UB) | 3/16 at 100.00 | AAA | 3,136,920 |
5 | Raleigh, North Carolina, Combined Enterprise System Revenue Bonds, Series 2006A, Residuals | 3/16 at 100.00 | AAA | 5,684 |
Series II-R-645-2, 13.979%, 3/01/36 (IF) | ||||
2,375 | Winston-Salem, North Carolina, Water and Sewer System Revenue Bonds, Series 2007A, 5.000%, | 6/17 at 100.00 | AAA | 2,482,895 |
6/01/37 (UB) | ||||
19,635 | Total Water and Sewer | 20,460,723 | ||
$ 93,295 | Total Investments (cost $90,149,086) 160.4% | 92,699,929 | ||
Floating Rate Obligations (12.9)% | (7,480,000) | |||
MuniFund Term Preferred Shares, at Liquidation Value (49.7)% (5) | (28,725,000) | |||
Other Assets Less Liabilities 50.7% | 29,290,194 | |||
Auction Rate Preferred Shares, at Liquidation Value (48.5)% (5) | (28,000,000) | |||
Net Assets Applicable to Common Shares 100% | $ 57,785,123 |
Fair Value Measurements
In determining the value of the Funds investments, various inputs are used. These inputs are summarized in the three broad levels listed below:
Level 1 Quoted prices in active markets for identical securities.
Level 2 Other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risk, etc.).
Level 3 Significant unobservable inputs (including managements assumptions in determining the fair value of investments).
The inputs or methodology used for valuing securities are not an indication of the risk associated with investing in those securities. The following is a summary of the Funds fair value measurements as of February 28, 2010:
Level 1 | Level 2 | Level 3 | Total | |
Investments: | ||||
Municipal Bonds | $ | $92,699,929 | $ | $92,699,929 |
Income Tax Information
The following information is presented on an income tax basis. Differences between amounts for financial statement and federal income tax purposes are primarily due to timing differences in recognizing taxable market discount, timing differences in recognizing certain gains and losses on investment transactions and the treatment of investments in inverse floating rate securities reflected as financing transactions, if any. To the extent that differences arise that are permanent in nature, such amounts are reclassified within the capital accounts on the Statement of Assets and Liabilities presented in the annual report, based on their federal tax basis treatment; temporary differences do not require reclassification. Temporary and permanent differences do not impact the net asset value of the Fund.
At February 28, 2010, the cost of investments was $82,666,833.
Gross unrealized appreciation and gross unrealized depreciation of investments at February 28, 2010, were as follows:
Gross unrealized: | |
Appreciation | $3,055,877 |
Depreciation | (502,282) |
Net unrealized appreciation (depreciation) of investments | $2,553,595 |
(1) | All percentages shown in the Portfolio of Investments are based on net assets applicable to Common |
shares unless otherwise noted. | |
(2) | Optional Call Provisions: Dates (month and year) and prices of the earliest optional call or redemption. |
There may be other call provisions at varying prices at later dates. Certain mortgage-backed securities | |
may be subject to periodic principal paydowns. | |
(3) | Ratings: Using the higher of Standard & Poors Group (Standard & Poors) or Moodys Investor Service, |
Inc. (Moodys) rating. Ratings below BBB by Standard & Poors or Baa by Moodys are considered to be | |
below investment grade. | |
(4) | Backed by an escrow or trust containing sufficient U.S. Government or U.S. Government agency securities |
which ensure the timely payment of principal and interest. Such investments are normally considered to | |
be equivalent to AAA rated securities. | |
(5) | MuniFund Term Preferred Shares and Auction Rate Preferred Shares, at Liquidation Value as a percentage |
of Total Investments are 31.0% and 30.2%, respectively. | |
N/R | Not rated. |
WI/DD | Purchased on a when-issued or delayed delivery basis. |
(IF) | Inverse floating rate investment. |
(UB) | Underlying bond of an inverse floating rate trust reflected as a financing transaction. |
a.
|
The registrant's principal executive and principal financial officers, or persons performing similar functions, have concluded that the registrant's disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended (the "1940 Act") (17 CFR 270.30a-3(c))) are effective, as of a date within 90 days of the filing date of this report that includes the disclosure required by this paragraph, based on their evaluation of the controls and procedures required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rule 13a-15(b) or 15d-15(b) under the Securities Exchange Act of 1934 (17 CFR 240.13a-15(b) or 240.15d-15(b)).
|
b.
|
There were no changes in the registrant's internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act (17 CFR 270.30a-3(d)) that occurred during the registrant's last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the registrant's internal control over financial reporting.
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