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Share Name | Share Symbol | Market | Type |
---|---|---|---|
OFS Capital Corporation | NASDAQ:OFS | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.01 | 0.11% | 8.85 | 8.70 | 9.52 | 8.87 | 8.80 | 8.80 | 20,401 | 01:00:00 |
1.
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a copy of the fidelity bond covering the Company, which includes a statement as to the period for which premiums have been paid; and
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2.
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a Certificate of the Chief Compliance Officer of the Company containing the resolutions of the Board of Directors approving the amount, type, form and coverage of the Fidelity Bond and a statement as to the period for which premiums have been paid.
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1.
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This certificate is being delivered to the Securities and Exchange Commission (the “SEC”) in connection with the filing of the Company’s fidelity bond (the “Bond”) pursuant to Rule 17g-1 of the Investment Company Act of 1940, as amended, and the SEC is entitled to rely on this certificate for purposes of the filing.
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2.
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The undersigned is the duly elected, qualified and acting Chief Compliance Officer of the Company, and has custody of the corporate records of the Company and is a proper officer to make this certification.
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3.
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Attached hereto as
Exhibit A
is a copy of the resolutions approved by the Board of Directors of the Company, including a majority of the Board of the Directors who are not “interested persons” of the Company, approving the amount, type, form and coverage of the Bond.
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4.
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Premiums have been paid for the period July 31, 2018 to March 1, 2020.
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Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
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CUSTOMER NUMBER
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DATE ISSUED
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237568
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7/22/2018
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POLICY NUMBER
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COVERAGE IS PROVIDED BY
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PRODUCER NO.
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425629029
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Continental Insurance Company
(herein called ‘Underwriter’)
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776961
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NAMED INSURED AND ADDRESS
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PRODUCER
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|||||
Item 1.
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OFS Capital Corporation
(herein called ‘Insured’)
10 S. Wacker
25th Floor
Chicago, IL 60606
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AON RISK SERVICES NORTHEAST, INC.
Robert Jesselli
199 WATER ST FL 8
NEW YORK, NY 10038
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Item 4.
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The liability of the Underwriter is also subject to the terms of the following endorsements executed simultaneously herewith:
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Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
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Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
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a.
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in an armored motor vehicle, including loading and unloading thereof,
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b.
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in the custody of a natural person acting as a messenger of the INSURED, or
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c.
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in the custody of a Transportation Company and being transported in a conveyance other than an armored motor vehicle provided, however, that covered Property transported in such manner is limited to the following:
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I.
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written records,
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II.
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securities issued in registered form which are not endorsed or are restrictively endorsed, or
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Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
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III.
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negotiable instruments not payable to bearer, which are not endorsed or are restrictively endorsed.
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4.
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FORGERY OR ALTERATION COVERAGE
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a.
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Forgery or fraudulent material alteration of, on or in any bills of exchange, checks, drafts, acceptances, certificates of deposits, promissory notes, due bills, money orders, orders upon public treasuries, letters of credit, other written promises, orders or directions to pay sums certain in money, or receipts for the withdrawal of Property, or
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b.
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transferring, paying or delivering any funds or other Property, or establishing any credit or giving any value in reliance on any written instructions, advices, or applications directed to the INSURED authorizing or acknowledging the transfer, payment, delivery or receipt of funds or other Property, which instructions, advices or applications purport to bear the handwritten signature of any customer of the INSURED, or shareholder or subscriber to shares of an Investment Company, or of any banking institution, stockbroker or Employee but which instructions or applications either bear a Forgery or a fraudulent material alteration without the knowledge and consent of such customer, shareholder, subscriber to shares, banking institution, stockbroker, or Employee;
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5.
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EXTENDED FORGERY COVERAGE
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a.
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acquired, accepted or received, sold or delivered, given value, extended credit, or assumed liability in reliance upon any original Securities, documents or other written instruments which prove:
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I.
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to bear a Forgery or fraudulent material alteration,
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II.
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to have been lost or stolen, or
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III.
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to be Counterfeit, or
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b.
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guaranteed in writing or witnessed any signatures upon any transfers, assignments, bills of sale, powers of attorney, guarantees, endorsements or other obligations upon or in connection with any Securities, documents or other written instruments which pass or purport to pass title to them.
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Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
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6.
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COUNTERFEIT CURRENCY COVERAGE
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7.
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THREATS TO PERSONS COVERAGE
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a.
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the Employee who receives the threat has made a reasonable effort to notify an officer of the INSURED who is not involved in such threat, and
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b.
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the INSURED has made a reasonable effort to notify the Federal Bureau of Investigation and local law enforcement authorities concerning such threat.
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8.
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COMPUTER SYSTEMS COVERAGE
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a.
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Property to be transferred, paid or delivered,
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b.
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an account of the INSURED, or of its customer, to be added, deleted, debited, or credited, or
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c.
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an unauthorized account or a fictitious account to be debited or credited.
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9.
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VOICE INITIATED TRANSACTION COVERAGE
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a.
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received at the INSURED'S offices by those Employees of the INSURED specifically authorized to receive the Voice Initiated Transaction,
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b.
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made by a person purporting to be a Customer, and
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c.
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made by said person for the purpose of causing the INSURED or Customer to sustain a loss or making an improper personal financial gain for such person or any other person.
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Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
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10
.
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UNCOLLECTIBLE ITEMS OF DEPOSIT COVERAGE
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a.
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redemption’s or withdrawals to be permitted,
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b.
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shares to be issued, or
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c.
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dividends to be paid,
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11.
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AUDIT EXPENSE COVERAGE
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1.
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EXCLUSIONS
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A.
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GENERAL EXCLUSIONS APPLICABLE TO ALL INSURING CLAUSES
|
(1)
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loss not reported to the UNDERWRITER in writing within thirty (30) days after termination of this bond as an entirety;
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(2)
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loss due to riot or civil commotion outside the United States of America and Canada, or any loss due to military, naval or usurped power, war or insurrection. However, this exclusion shall not apply to loss which occurs in transit in the circumstances recited in INSURING CLAUSE 3., provided that when such transit was initiated there was no knowledge on the part of any person acting for the INSURED of such riot, civil commotion, military, naval or usurped power, war or insurrection;
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Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
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(3)
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loss resulting from dishonest acts by any member of the Board of Directors or Board of Trustees of the INSURED who is not an Employee, acting alone or in collusion with others;
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(4)
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loss, or that part of any loss, resulting solely from any violation by the INSURED or by any Employee of any law, or rule, or regulation pursuant to any law regulating:
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a.
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the issuance, purchase or sale of securities,
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b.
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transactions on security or commodity exchanges or the over-the-counter markets,
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c.
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investment companies, or
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d.
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investment advisors;
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(5)
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loss of potential income including, but not limited to, interest and dividends not realized by the INSURED or by any customer of the INSURED;
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(6)
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loss resulting from indirect or consequential loss of any nature;
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(7)
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damages of any type for which the INSURED is legally liable, except compensatory damages (but not multiples thereof) arising from a loss covered under this bond;
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(8)
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loss resulting from the effects of nuclear fission or fusion or radioactivity;
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(9)
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loss resulting from the theft of confidential information, material or data;
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B.
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SPECIFIC EXCLUSIONS APPLICABLE TO ALL INSURING CLAUSES EXCEPT INSURING CLAUSE 1.
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(1)
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loss caused by an Employee, provided, however, this EXCLUSION shall not apply to loss covered under INSURING CLAUSE 2. or 3. which results directly from misplacement, mysterious unexplainable disappearance, or damage to or destruction of Property;
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(2)
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loss through the surrender of Property away from an office of the INSURED as a result of a threat:
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a.
|
to do bodily harm to any person, except loss of Property in transit in the custody of any person acting as messenger of the INSURED, provided that when such transit was initiated there was no knowledge by the INSURED of any such threat, and provided further that this EXCLUSION shall not apply to INSURING CLAUSE 7., or
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b.
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to do damage to the premises or property of the INSURED;
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(3)
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loss involving Items of Deposit which are not finally paid for any reason provided however, that this EXCLUSION shall not apply to INSURING CLAUSE 10.;
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Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
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(4)
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loss resulting from payments made or withdrawals from any account involving erroneous credits to such account;
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(5)
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loss of Property while in the mail:
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(6)
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loss of Property while in the custody of a Transportation Company, provided however, that this EXCLUSION shall not apply to INSURING CLAUSE 3.;
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(7)
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loss resulting from the failure for any reason of a financial or depository institution, its receiver or other liquidator to pay or deliver funds or other Property to the INSURED provided further that this EXCLUSION shall not apply to loss of Property resulting directly from robbery, burglary, hold-up, misplacement, mysterious unexplainable disappearance, damage, destruction or abstraction from the possession, custody or control of the INSURED.
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C.
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EXCLUSIONS APPLICABLE TO ALL INSURING CLAUSES EXCEPT INSURING CLAUSES 1., 4., 5.
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(1)
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loss resulting from forgery or any alteration;
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(2)
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loss resulting from the complete or partial non-payment of or default on any loan whether such loan was procured in good faith or through trick, artifice, fraud or false pretenses;
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(3)
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loss involving a counterfeit provided, however, this EXCLUSION shall not apply to INSURING CLAUSE 5. or 6.
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2.
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DISCOVERY
|
a.
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facts which may subsequently result in a loss of a type covered by this bond, or
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b.
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an actual or potential claim in which it is alleged that the INSURED is liable to a third party, regardless of when the act or acts causing or contributing to such loss occurred, even though the amount of loss does not exceed the applicable DEDUCTIBLE AMOUNT or the exact amount or details of loss may not then be known.
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3.
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NOTICE TO UNDERWRITER - PROOF - LEGAL PROCEEDINGS AGAINST UNDERWRITER
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a.
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At the earliest practicable moment, not to exceed thirty (30) days after discovery of loss, the INSURED shall give the UNDERWRITER notice thereof.
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b.
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Within six (6) months after such discovery, the INSURED shall furnish to the UNDERWRITER proof of loss, duly sworn to, with full particulars.
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c.
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Securities listed in a proof of loss shall be identified by certificate or bond numbers, if issued with them.
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d.
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Legal proceedings for the recovery of any loss under this bond shall not be brought prior to the expiration of sixty (60) days after the proof of loss is filed with the UNDERWRITER or after the expiration of twenty-four (24) months from the discovery of such loss.
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Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
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e.
|
This bond affords coverage only in favor of the INSURED. No claim, suit, action or legal proceedings shall be brought under this bond by anyone other than the INSURED.
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4.
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LIMIT OF LIABILITY/NON - REDUCTION AND NON-ACCUMULATION OF LIABILITY
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a.
|
any one act of burglary, robbery or hold-up, or attempt thereat, in which no Employee is concerned or implicated, or
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b.
|
any one unintentional or negligent act on the part of any one person resulting in damage to or destruction or misplacement of Property, or
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c.
|
all acts, other than those specified in a. above, of any one person, or
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d.
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any one casualty or event other than those specified in a., b., or c. above,
|
i.
|
directly or indirectly aid in any way wrongful acts of any other person or persons, or
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ii.
|
permit the continuation of wrongful acts of any other person or persons
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5.
|
DEDUCTIBLE
|
6.
|
COURT COSTS AND ATTORNEYS' FEES
|
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Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
|
|
a.
|
an Employee admits to being guilty of Larceny or Embezzlement,
|
b.
|
an Employee is adjudicated to be guilty of Larceny or Embezzlement, or
|
c.
|
in the absence of a. or b. above, an arbitration panel agrees, after a review of an agreed statement of facts between the UNDERWRITER and the INSURED, that an Employee would be found guilty of Larceny or Embezzlement if such Employee were prosecuted.
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7.
|
VALUATION OF PROPERTY
|
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Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
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8.
|
VALUATION OF PREMISES AND FURNISHINGS
|
9.
|
SECURITIES SETTLEMENT
|
a.
|
for securities having a value less than or equal to the applicable DEDUCTIBLE AMOUNT one hundred (100% percent);
|
b.
|
for securities having a value in excess of the DEDUCTIBLE AMOUNT but within the applicable LIMIT OF LIABILITY- the percentage that the DEDUCTIBLE AMOUNT bears to the value of the securities;
|
c.
|
for securities having a value greater than the applicable LIMIT OF LIABILITY the percentage that the DEDUCTIBLE AMOUNT and portion in excess of the applicable LIMIT OF LIABILITY bears to the value of the securities.
|
10.
|
SUBROGATION - ASSIGNMENT-RECOVERY
|
|
Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
|
|
11.
|
COOPERATION OF INSURED
|
12.
|
OTHER INSURANCE
|
13.
|
ADDITIONAL COMPANIES INCLUDED AS INSURED
|
a.
|
The total liability of the UNDERWRITER under this bond for loss or losses sustained by any one or more or all of them shall not exceed the limit for which the UNDERWRITER would be liable under this bond if all such losses were sustained by any one of them.
|
b.
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Only the first named INSURED shall be deemed to be the sole agent of the others for all purposes under this bond, including but not limited to the giving or receiving of any notice or proof required to be given and for the purpose of effecting or accepting any amendments to or termination of this bond. The UNDERWRITER shall furnish each Investment Company with a copy of the bond and with any amendment thereto, together with a copy of each formal filing of claim by any other named INSURED and notification of the terms of the settlement of each such claim prior to the execution of such settlement.
|
c.
|
The UNDERWRITER shall not be responsible for the proper application of any payment made hereunder to the first named INSURED.
|
d.
|
Knowledge possessed or discovery made by any partner, director, trustee, officer or supervisory employee of any INSURED shall constitute knowledge or discovery by all the INSUREDS for the purposes of this bond.
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e.
|
If the first named INSURED ceases for any reason to be covered under this bond, then the INSURED next named shall thereafter be considered as the first named INSURED for the purpose of this bond.
|
|
Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
|
|
14.
|
ADDITIONAL OFFICES OR EMPLOYEES - CONSOLIDATION, MERGER OR PURCHASE OR ACQUISITION OF ASSETS OR LIABILITIES - NOTICE TO UNDERWRITER
|
a.
|
has occurred or will occur in offices or on premises, or
|
b.
|
has been caused or will be caused by an employee or employees, or
|
c.
|
has arisen or will arise out of the assets or liabilities acquired
|
i.
|
gives the UNDERWRITER written notice of the proposed consolidation, merger or purchase or acquisition of assets or liabilities prior to the proposed effective date of such action, and
|
ii.
|
obtains the written consent of the UNDERWRITER to extend some or all of the coverage provided by this bond to such additional exposure, and
|
iii.
|
on obtaining such consent pays to the UNDERWRITER an additional premium.
|
15.
|
CHANGE OF CONTROL - NOTICE TO UNDERWRITER
|
a.
|
the names of the transferors and transferees (or the names of the beneficial owners if the voting securities are registered in another name),
|
b.
|
the total number of voting securities owned by the transferors and the transferees (or the beneficial owners), both immediately before and after the transfer, and
|
c.
|
the total number of outstanding voting securities.
|
16.
|
REPRESENTATIONS MADE BY INSURED
|
17.
|
TERMINATION - CANCELLATION
|
|
Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
|
|
a.
|
immediately on any partner, director, trustee, or officer or supervisory employee not acting in collusion with such Employee, learning of any dishonest act committed by such Employee at any time, whether in the employment of the INSURED or otherwise, whether or not such act is of the type covered under this bond, and whether against the INSURED or any other person or entity, or
|
b.
|
sixty (60) days after the receipt by each INSURED and by the Securities and Exchange Commission, Washington, D.C., of a written notice from the UNDERWRITER of its desire to terminate this bond as to such Employee.
|
18.
|
CHANGE OR MODIFICATION
|
|
Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
|
|
1.
|
computers, with related peripheral and storage components, wherever located,
|
2.
|
systems and applications software,
|
3.
|
terminal devices, and
|
4.
|
related communication networks by which data are electronically collected, transmitted, processed, stored, and retrieved.
|
1.
|
an officer of the INSURED,
|
2.
|
a natural person while in the regular service of the INSURED at any of the INSURED'S offices and compensated directly by the INSURED through its payroll system and subject to the United States Internal Revenue Service Form W-2 or equivalent income reporting plans of other countries, and whom the INSURED has the right to control and direct both as to the result to be accomplished and details and means by which such result is accomplished in the performance of such service,
|
3.
|
an attorney retained by the INSURED and an employee of such attorney while either is performing legal services for the INSURED,
|
4.
|
a person provided by an employment contractor to perform clerical, premises maintenance or security duties for the INSURED under the INSURED'S supervision at any of the INSURED'S offices or premises,
|
5.
|
an employee of an institution merged or consolidated with the INSURED prior to the effective date of this bond,
|
6.
|
a guest student pursuing studies or performing duties in any of the INSURED'S offices,
|
7.
|
each natural person, partnership or corporation authorized by written agreement with the INSURED to perform services as electronic data processor of checks or other accounting records related to such checks but only while such person, partnership or corporation is actually performing such services and not:
|
a.
|
creating, preparing, modifying or maintaining the INSURED'S computer software or programs, or
|
b.
|
acting as transfer agent or in any other agency capacity in issuing checks, drafts or securities for the INSURED,
|
8.
|
a director or trustee of the INSURED, but only while performing acts within the scope of the customary and usual duties of any officer or employee of the INSURED or while acting as a
|
|
Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
|
|
9.
|
any partner, officer or employee of an investment adviser, an underwriter (distributor), a transfer agent or shareholder accounting recordkeeper, or an administrator, for an Investment Company while performing acts coming within the scope of the customary and usual duties of an officer or employee of an Investment Company or acting as a member of any committee duly elected or appointed to examine, audit or have custody of or access to Property of an Investment Company.
|
a.
|
which is not an "affiliated person" (as defined in Section 2(a) of the Investment Company Act of 1940) of an Investment Company or of the investment adviser or underwriter (distributor) of such Investment Company, or
|
b.
|
which is a "bank" (as defined in Section 2(a) of the Investment Company Act of 1940).
|
|
Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
|
|
|
Declarations
INVESTMENT COMPANY FIDELITY BOND
|
For All the Commitments You Make
125 Broad Street, New York, NY 10004
|
|
1.
|
Any insured under this Policy, or any person or entity claiming the benefits of such insured, who is or becomes a Specially Designated National or Blocked Person or who is otherwise subject to U.S. economic or trade sanctions;
|
2.
|
Any claim or suit that is brought in a Sanctioned Country or by a Sanctioned Country Government, where any action in connection with such claim or suit is prohibited by U.S. economic or trade sanctions;
|
3.
|
Any claim or suit that is brought by any Specially Designated National or Blocked Person or any person or entity who is otherwise subject to U.S. economic or trade sanctions;
|
4.
|
Property that is located in a Sanctioned Country or that is owned by, rented to or in the care, custody or control of a Sanctioned Country Government, where any activities related to such property are prohibited by U.S. economic or trade sanctions; or
|
5.
|
Property that is owned by, rented to or in the care, custody or control of a Specially Designated National or Blocked Person, or any person or entity who is otherwise subject to U.S. economic or trade sanctions.
|
|
1.
|
The following is added as an additional Insuring Agreement:
|
(a)
|
compliance or failure to comply with any notice to stop payment; or
|
(b)
|
refusal to pay; or
|
(c)
|
failure to give proper notice of dishonor; and
|
2.
|
In lieu of the exclusions in the attached bond, the following exclusions are applicable to this Insuring Agreement:
|
(a)
|
liability assumed by the Insured under any agreement to be responsible for loss;
|
(b)
|
liability arising out of dishonest or fraudulent acts of officers or employees of the Insured.
|
3.
|
The Aggregate Limit of Liability for the coverage provided by this rider shall be $25,000 it being understood, however, that such liability shall be a part of and not in addition to the Limit of Liability stated in Item 3 of the Declarations of the attached bond subject to that Aggregate Limit.
|
4.
|
The Underwriter shall be liable hereunder only for the amount by which any single Loss exceeds the Single Loss Deductible amount stated above, but not in excess of the remaining Limit of Liability.
|
5.
|
The Underwriter at its sole discretion and upon request of the Insured, may reinstate the Aggregate Limit of Liability up to the amount stated above after it has been reduced by the payment of loss by the Underwriter. The reinstated limit shall only apply to those stop payment notices received and presentments made after the effective date of reinstatement. The consideration for reinstatement of the Aggregate Limit of Liability shall be:
|
(a)
|
payment by the Insured to the Underwriter of an additional premium; and
|
(b)
|
a representation by the Insured to the Underwriter that the Insured has given notice to the Underwriter of each loss discovered by the Insured prior to the effective date of the reinstatement, whether or not each loss so discovered exceeds the Deductible Amount applicable to this Insuring Agreement.
|
FIG4126A (6-99)
|
Policy No:
|
425629029
|
Page 1
|
Endorsement No:
|
2
|
Continental Insurance Company
|
Effective Date:
|
7/31/2018
|
Insured Name: OFS Capital Corporation
|
||
© CNA All Rights Reserved.
|
|
6.
|
The Aggregate Limit of Liability stated above shall not be increased or reinstated by a recovery of Property made by either the Insured or Underwriter
|
7.
|
If any loss is covered under this Insuring Agreement and any other Insuring Agreement or Coverage, the maximum amount payable for such loss shall not exceed the largest amount available under any one Insuring Agreement or Coverage.
|
8.
|
Coverage under this Insuring Agreement shall terminate upon termination or cancellation of the bond. Coverage under this Insuring Agreement may also be terminated or canceled, without canceling the bond as an entirety.
|
(a)
|
60 days after receipt by the Insured of written notice from the Underwriter of its desire to terminate or cancel coverage under this rider;
|
(b)
|
immediately upon receipt by the Underwriter of a written request for the Insured to terminate or cancel Coverage under this policy.
|
9.
|
All other terms and conditions of the bond other than Section 2. Exclusions, apply to this Insuring Agreement.
|
This rider, which forms a part of and is for attachment to the Bond issued by the designated Insurers, takes effect on the effective date of said Bond at the hour stated in said Bond, unless another effective date is shown below, and expires concurrently with said Bond.
|
FIG4126A (6-99)
|
Policy No:
|
425629029
|
Page 2
|
Endorsement No:
|
2
|
Continental Insurance Company
|
Effective Date:
|
7/31/2018
|
Insured Name: OFS Capital Corporation
|
||
© CNA All Rights Reserved.
|
|
This endorsement, which forms a part of and is for attachment to the Policy issued by the designated Insurers, takes effect on the effective date of said Policy at the hour stated in said Policy, unless another effective date is shown below, and expires concurrently with said Policy.
|
CNA68791XX (7-12)
|
Policy No:
|
425629029
|
Page 1
|
Endorsement No:
|
3
|
Continental Insurance Company
|
Effective Date:
|
7/31/2018
|
Insured Name: OFS Capital Corporation
|
||
© CNA All Rights Reserved.
|
|
I.
|
The section entitled
Insuring Agreements
the Insuring Agreement entitled Employee Dishonesty is amended by the addition of the following:
|
I.
|
The section entitled
EXCLUSIONS,
exclusion 4.c. is deleted in its entirety and replaced with the following:
|
c.
|
Payment of costs, fees or other expenses an
ABC Corp. Insured
incurs in establishing either the existence or the amount of loss under this insurance, except as may be provided:
|
i.
|
under Insuring Agreement 8; and
|
ii.
|
the Insuring Agreement entitled Employee Dishonesty.
|
This endorsement, which forms a part of and is for attachment to the Policy issued by the designated Insurers, takes effect on the effective date of said Policy at the hour stated in said Policy, unless another effective date is shown below, and expires concurrently with said Policy.
|
CNA88653XX (4-17)
|
Policy No:
|
425629029
|
Page 1
|
Endorsement No:
|
4
|
Continental Insurance Company
|
Effective Date:
|
7/31/2018
|
Insured Name: OFS Capital Corporation
|
||
© CNA All Rights Reserved.
|
|
1.
|
The following is added to the
INSURING AGREEMENT
section:
|
1.
|
Loss resulting by reason of the Insured having accepted, paid or cashed any check or withdrawal order or draft, made or drawn on a customer’s account which bears the signature or endorsement of one other than a person whose name and signature is on the application on file with the Insured as a signatory on such account.
|
2.
|
It shall be a condition precedent to the Insured’s right of recovery under this rider that the Insured shall have on file signatures of all persons who are authorized signatories on such account.
|
2.
|
The following is added to Section 4.
LIMIT OF LIABILITY:
|
This endorsement, which forms a part of and is for attachment to the Policy issued by the designated Insurers, takes effect on the effective date of said Policy at the hour stated in said Policy and expires concurrently with said Policy unless another effective date is shown below.
By Authorized Representative ________________________________________________________________________
(No signature is required if issued with the Policy or if it is effective on the Policy Effective Date)
|
GSL5304XX (12-04)
|
Policy No:
|
425629029
|
Page 1
|
Endorsement No:
|
5
|
Continental Insurance Company
|
Effective Date:
|
7/31/2018
|
|
1.
|
The attached bond is amended by adding an Insuring Clause as follows:
|
(1)
|
purports and reasonably appears to have originated from
|
(a)
|
a Customer of the INSURED,
|
(b)
|
another financial institution, or
|
(c)
|
another office of the INSURED
|
(2)
|
contains a valid test code which proves to have been used by a person who was not authorized to make use of it and,
|
(3)
|
contains the name of a person authorized to initiate such transfer,
|
2.
|
In addition to the Conditions and Limitations in the bond and Insuring Clause 8. Computer Systems Coverage, the following provisions are applicable to the Telefacsimile Transfer Fraud Insuring Clause :
|
GSL8007XX (2-06)
|
Policy No:
|
425629029
|
Page 1
|
Endorsement No:
|
6
|
Continental Insurance Company
|
Effective Date:
|
7/31/2018
|
Insured Name: OFS Capital Corporation
|
||
© CNA All Rights Reserved.
|
|
This endorsement, which forms a part of and is for attachment to the Policy issued by the designated Insurers, takes effect on the effective date of said Policy at the hour stated in said Policy and expires concurrently with said Policy unless another effective date is shown below.
By Authorized Representative ________________________________________________________________________
(No signature is required if issued with the Policy or if it is effective on the Policy Effective Date)
|
GSL8007XX (2-06)
|
Policy No:
|
425629029
|
Page 2
|
Endorsement No:
|
6
|
Continental Insurance Company
|
Effective Date:
|
7/31/2018
|
Insured Name: OFS Capital Corporation
|
||
© CNA All Rights Reserved.
|
|
Must be Completed
|
|
Complete Only When This Endorsement Is Not Prepared with the Policy
or
is Not to be Effective with the Policy
|
||
ENDT. NO.
7
|
POLICY NO.
425629029
|
|
ISSUED TO
|
EFFECTIVE DATE OF
THIS ENDORSEMENT
|
|
|
Must be Completed
|
|
Complete Only When This Endorsement Is Not Prepared with the Policy
or
is Not to be Effective with the Policy
|
||
ENDT. NO.
8
|
POLICY NO.
425629029
|
|
ISSUED TO
|
EFFECTIVE DATE OF
THIS ENDORSEMENT
|
|
Must be Completed
|
|
Complete Only When This Endorsement Is Not Prepared with the Policy
or
is Not to be Effective with the Policy
|
||
ENDT. NO.
8
|
POLICY NO.
425629029
|
|
ISSUED TO
|
EFFECTIVE DATE OF
THIS ENDORSEMENT
|
|
1.
|
The attached bond is amended by adding an Insuring Agreement as follows:
|
(1)
|
an officer, director, partner or employee of a Customer of the Insured who was authorized by the Customer to instruct the Insured to make such transfer,
|
(2)
|
an individual person who is a Customer of the Insured, or
|
(3)
|
an Employee of the Insured in another office of the Insured who was authorized by the Insured to instruct other Employees of the Insured to transfer Funds, and was received by an Employee of the Insured specifically desig-nated to receive and act upon such instructions,
|
(i)
|
such voice instruction was electronically recorded by the Insured and required password(s) or code word(s) given; and
|
(ii)
|
if the transfer was in excess of $50,000, the voice instruction was verified by a call-back according to a prearranged procedure.
|
(A)
|
Customer means an entity or individual which has a written agreement with the Insured authorizing the Insured to rely on voice instructions to make transfers and which has provided the Insured with the names of persons authorized to initiate such transfers and with which the Insured has established an instruction verification mechanism.
|
(B)
|
Funds means Money on deposit in an account.
|
Must be Completed
|
|
Complete only when this rider/endorsement is not prepared with the
bond/policy or is not to be effective with the bond/policy
|
||
Rider/Endorsement No.
9
|
POLICY NO.
425629029
|
|
Issued to:
|
EFFECTIVE DATE OF
THIS ENDORSEMENT
|
|
2.
|
In addition to the Conditions and Limitations in the bond and Computer Systems Fraud Insuring Agreement rider, the following provisions are applicable to the Voice Initiated Transfer Fraud Insuring Agreement:
|
VOICE INITIATED TRANSFER FRAUD INSURING AGREEMENT
FOR USE WITH FINANCIAL INSTITUTION BOND, STANDARD FORM 24.
REVISED DECEMBER, 1993.
|
Must Be Completed
|
|
Complete only when this rider/endorsement is not prepared with the
bond/policy or is not to be effective with the bond/policy
|
||
Rider/Endorsement No.
9
|
Policy No.
425629029
|
|
Issued to:
|
Effective date of
this rider/endorsement
|
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