- Application for deregistration (N-8F)
21 April 2009 - 11:29PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
N-8F
Application
for Deregistration of Certain Registered Investment Companies
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I.
General Identifying Information
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1.
Reason fund is applying to deregister (check
only one
; for descriptions,
see
Instruction 1
above):
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o
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Abandonment of
Registration
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(Note:
Abandonments of Registration answer
only
questions 1 through 15, 24 and 25 of this form and complete
verification at the end of the
form.)
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o
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Election
of status as a
Business
Development Company
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(Note:
Business Development Companies answer only questions 1 through
10
of
this form and complete verification at the end of the
form.)
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2. Name
of fund:
Ziegler
Exchange Traded Trust (the
"Trust")
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3. Securities
and Exchange Commission File No.:
811-
21827
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4. Is
this an initial Form N-8F or an amendment to a previously filed Form
N-8F?
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5. Address
of Principal Executive Office (include No. & Street, City, State, Zip
Code):
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200
South Wacker Drive
Suite
200
Chicago,
IL 60606
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6. Name,
address and telephone number of individual the Commission staff should
contact with any questions regarding this
form:
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Frederick
G. Lautz
Quarles
& Brady LLP
411
East Wisconsin Avenue
Suite
2040
Milwaukee, WI
53202-4497
414-277-5309
7.
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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]:
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NOTE:
Once deregistered, a fund is still
required to maintain and preserve the records
described
in rules 31a-1 and 31a-2 for the periods specified in those
rules.
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Ziegler
Capital Management, LLC
250
East Wisconsin Avenue, Suite 1900
Milwaukee,
Wisconsin 53202
B.C. Ziegler and
Company
250 east Wisconsin
Avenue, Suite 1900
Milwaukee, Wisconsin
53202
J.P. Morgan
Worldwide Security Services
One Beacon
Street
Boston, MA
02108
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8. Classification
of fund (check only one):
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o
Unit
investment trust; or
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o
Face-amount
certificate company.
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9. Subclassification
if the fund is a management company (check only
one):
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10.
State law under which the fund was organized or formed (e.g., Delaware,
Massachusetts):
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DELAWARE
11.
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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:
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Ziegler
Capital Management, LLC
250 east Wisconsin
Avenue, Suite 1900
Milwaukee, Wisconsin
53202
12.
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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:
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B.C.
Ziegler and Company
250
east Wisconsin Avenue, Suite 1900
Milwaukee,
Wisconsin 53202
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13. If
the fund is a unit investment trust (“UIT”)
provide:
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a Depositor’s
name(s) and address(es):
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b Trustee’s
name(s) and address(es):
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14.
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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)?
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If
Yes, for each UIT state:
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File
No.: 811- __________
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15.
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a
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Did
the fund obtain approval from the board of directors concerning the
decision to engage in a Merger, Liquidation or Abandonment of
Registration?
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If
Yes, state the date on which the board vote took place:
November 21,
2008
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(b)
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Did
the fund obtain approval from the shareholders concerning the decision to
engage in a Merger, Liquidation or Abandonment of
Registration?
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If
Yes, state the date on which the shareholder vote took
place:
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If
No, explain:
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Because a majority of the
Trustees of the Trust determined that the continuation of the Trust was
not in the best interest of the shareholders as a result of factors or
events adversely affecting the ability of the Trust to conduct its
business and operations in an economically viable manner, and because the
Trust’s governing documents, including its Amended and Restated Agreement
and Declaration of Trust dated December 15, 2006, did not require
shareholder approval of liquidation of the Trust in the event such a
determination was made by the Trustees, shareholder approval to liquidate
the Trust was not obtained.
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II.
Distributions to Shareholders
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16.
Has the fund distributed any assets to its shareholders in connection with
the Merger or Liquidation?
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(a) If
Yes, list the date(s) on which the fund made those
distributions:
December
26, 2008
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b Were
the distributions made on the basis of net
assets?
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c Were
the distributions made
pro rata
based on share ownership?
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d
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If
No to (b) or (c) above, describe the method of distributions to
shareholders. For Mergers, provide the exchange ratio(s) used and explain
how it was calculated:
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Were
any distributions to shareholders made in
kind?
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If
Yes, indicate the percentage of fund shares owned by affiliates, or any
other affiliation of shareholders:
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17.
Closed-end funds
only:
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Has
the fund issued senior securities?
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If
Yes, describe the method of calculating payments to senior securityholders
and distributions to other
shareholders:
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18. Has
the fund distributed
all
of its assets to the fund’s
shareholders?
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(a) How
many shareholders does the fund have as of the date this form is
filed?
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(b) Describe
the relationship of each remaining shareholder to the
fund:
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19.
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Are
there any shareholders who have not yet received distributions in complete
liquidation of their interests?
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If
Yes, describe briefly the plans (if any) for distributing to, or
preserving the interests of, those
shareholders:
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III.
Assets and Liabilities
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20.
Does the fund have any assets as of the date this form is
filed?
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a Describe
the type and amount of each asset retained by the fund as of the date this form
is filed:
b Why
has the fund retained the remaining assets?
c Will
the remaining assets be invested in securities?
21.
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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?
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a Describe
the type and amount of each debt or other liability:
b How
does the fund intend to pay these outstanding debts or other
liabilities?
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IV.
Information About Event(s) Leading to Request For
Deregistration
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22.
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a
List the expenses incurred in connection with the Merger or
Liquidation:
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i
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Legal
expenses:
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$
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15,319
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ii
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Accounting
expenses:
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$
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18,750
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iii
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Other
expenses (list and identify separately):
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$
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2,942
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iv
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Total
expenses (sum of lines (i)-(iii) above):
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$
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b How
were those expenses allocated?
Ziegler Capital Management, LLC, the
Trust's investment advisor, paid all expenses.
c Who
paid those expenses?
Ziegler
Capital management, LLC the Trust's investment advisor.
d How
did the fund pay for unamortized expenses (if any)?
There were no
unamortized expenses.
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23.
Has the fund previously filed an application for an order of the
Commission regarding the Merger or
Liquidation?
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If
Yes, cite the release numbers of the Commission’s notice and order or, if
no notice or order has been issued, the file number and date the
application was filed:
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V. Conclusion
of Fund Business
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24.
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Is
the fund a party to any litigation or administrative
proceeding?
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If
Yes, describe the nature of any litigation or proceeding and the position
taken by the fund in that
litigation:
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25.
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Is
the fund now engaged, or intending to engage, in any business activities
other than those necessary for winding up its
affairs?
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If
Yes, describe the nature and extent of those
activities:
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26.
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a
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State the name of
the fund surviving the
Merger:
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b
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State
the Investment Company Act file number of the fund surviving the
Merger:
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c
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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:
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d
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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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VERIFICATION
The
undersigned states that (i) he or she has executed this Form N-8F application
for an order under section 8(f) of the Investment Company Act of 1940 on behalf
of Cadre Institutional Investors Trust, (ii) he or she is the Treasurer of Cadre
Institutional Investors Trust, and (iii) all actions by shareholders, directors,
and any other body necessary to authorize the undersigned to execute and file
this Form N-8F application have been taken. The undersigned also
states that the facts set forth in this Form N-8F application are true to the
best of his or her knowledge,
information,
and belief.
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(Signature)
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/s/ Elizabeth A. Watkins
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Elizabeth
A. Watkins
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Interim
President
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