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Share Name | Share Symbol | Market | Type |
---|---|---|---|
TS&W/Claymore Tax-Advantaged Balanced Fund Common Stock | NYSE:TYW | NYSE | Ordinary Share |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 11.70 | 0.00 | 01:00:00 |
1.
|
Reason fund is applying to deregister (check
only one;
for descriptions,
see
Instruction 1 above):
|
6.
|
Name, address and telephone number of individual the Commission staff should contact with any questions regarding this form:
|
7.
|
Name, address and telephone number of individual or entity responsible for maintenance and preservation of fund records in accordance with rules 31a-1 and 31a-2 under the Act [17 CFR 270.31a-1, .31a-2]:
|
|
[ ]
|
Open-end
|
[
X
]
|
Closed-end
|
11.
|
Provide the name and address of each investment adviser of the fund (including sub-advisers) during the last five years, even if the fund's contracts with those advisers have been terminated:
|
|
and
|
|
and
|
12.
|
Provide the name and address of each principal underwriter of the fund during the last five years, even if the fund's contracts with those underwriters have been terminated:
|
14.
|
Is there a UIT registered under the Act that served as a vehicle for investment in the fund (e.g., an insurance company separate account)?
|
|
[ ]
|
Yes
|
[
X
]
|
No
|
15. (a)
|
Did the fund obtain approval from the board of directors concerning the decision to engage in a Merger, Liquidation or Abandonment of Registration?
|
|
(b)
|
Did the fund obtain approval from the shareholders concerning the decision to engage in a Merger, Liquidation or Abandonment or Registration?
|
16.
|
Has the fund distributed any assets to its shareholders in connection with the Merger or Liquidation?
|
|
[
X
]
|
Yes
|
[ ]
|
No
|
(a)
|
If Yes, list the date(s) on which the fund made those distributions:
|
(b)
|
Were the distributions made on the basis of net assets?
|
|
[
X
]
|
Yes
|
[ ]
|
No
|
(c)
|
Were the distributions made
pro rata
based on the share of ownership?
|
|
[
X
]
|
Yes
|
[ ]
|
No
|
|
(d)
|
If No to (b) or (c) above, describe the method of distribution to shareholders. For Mergers, provide the exchange ratio(s) used and explain how it was calculated:
|
(e)
|
Liquidations only:
|
|
[ ]
|
Yes
|
[ ]
|
No
|
|
[
X
]
|
Yes
|
[
]
|
No
|
|
[
X
]
|
Yes
|
[
]
|
No
|
19.
|
Are there any shareholders who have not yet received distributions in complete liquidation of their interests?
|
|
[ ]
|
Yes
|
[
X
]
|
No
|
|
If Yes, describe briefly the plans (if any) for distributing to, or preserving the interests of, those shareholders:
|
|
[ ]
|
Yes
|
[
X
]
|
No
|
(c)
|
Will the remaining assets be invested in securities?
|
|
[ ]
|
Yes
|
[ ]
|
No
|
21.
|
Does the fund have any outstanding debts (other than face-amount certificates if the fund is a face-amount certificate company) or any other liabilities?
|
|
[ ]
|
Yes
|
[
X
]
|
No
|
22.
|
(a)
|
List the expenses incurred in connection with the Merger or Liquidation:
|
Mailing expenses:
|
$ 23,000
|
|
Printing expenses:
|
$ 15,000
|
|
Insurance:
|
$110,000
|
|
Transfer Agent:
|
$ 36,000
|
|
Other:
|
$ 25,000
|
23.
|
Has the fund previously filed an application for an order of the Commission regarding the Merger or Liquidation?
|
|
[ ]
|
Yes
|
[ X ] |
No
|
|
[ ]
|
Yes
|
[
X
]
|
No
|
25.
|
Is the fund now engaged, or intending to engage, in any business activities other than those necessary for winding up its affairs?
|
|
[ ]
|
Yes
|
[
X
]
|
No
|
26.
|
(a)
|
State the name of the fund surviving the Merger:
|
|
Guggenheim Municipal Income Fund (formerly Rydex│SGI Municipal Fund), a series of Security Income Fund
|
|
(b)
|
State the Investment Company Act file number of the fund surviving the Merger:
|
|
811-02120 (Series Identifier: S000034466)
|
|
(c)
|
If the merger or reorganization agreement has been filed with the Commission, state the file number(s), form type used and date the agreement was filed:
|
|
Exhibit 4 to Form N-14 (File No. 333-176853) of Security Income Fund filed on September 15, 2011, and amended on September 29, 2011, and October 24, 2011
|
|
(d)
|
If the merger or reorganization agreement has
not
been filed with the Commission, provide a copy of the agreement as an exhibit to this form.
|
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