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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Fort Dearborn Income Securities
SEC Filings (Chronological Order)
本頁面提供了一個完整的、按時間順序排列的美國證券交易委員會（SEC）申報文件列表，不包括我們在其他地方提供的所有權申報。
| August 29, 2016 |
Fort Dearborn Income Securities ORDR UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No. 32230 / August 24, 2016 _ In the Matter of : : FORT DEARBORN INCOME SECURITIES, INC. : One North Wacker Drive : Chicago, Illinois 60606 : : (811-02319) : : ORDER UNDER SECTION 8(f) OF THE INVESTMENT COMPANY ACT O |
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| July 29, 2016 |
Fort Dearborn Income Securities NTC SECURITIES AND EXCHANGE COMMISSION Release No. IC-32198 Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 1940 July 29, 2016 The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of July 2016. A copy of each application may be obtained via the Commission’s website by searching |
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| July 22, 2016 |
exhibit.htm Exhibit 99.1 AGREEMENT AND PLAN OF REORGANIZATION THIS AGREEMENT AND PLAN OF REORGANIZATION (the ?Plan?) is made as of this 20 th day of May, 2016 by and between The UBS Funds (?UBS Trust?), a statutory trust created under the laws of the State of Delaware, on behalf of its series, UBS Total Return Bond Fund (the ?Acquiring Fund?), and Fort Dearborn Income Securities, Inc., a corporati |
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| July 22, 2016 |
Fort Dearborn Income Securities /A fdim8f062016.htm OMB APPROVAL OMB Number: 3235-0157 Expires: June 30, 2016 Estimated average burden hours per response????????.. 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F Application for Deregistration of Certain Registered Investment Companies. I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, s |
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| July 12, 2016 |
XFDIX / Fort Dearborn Income Securities / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) FORT DEARBORN INCOME SECS IN (Name of Issuer) Closed-End Fund (Title of Class of Securities) 347200107 (CUSIP Number) June 30, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| June 30, 2016 |
Fort Dearborn Income Securities OMB APPROVAL OMB Number: 3235-0157 Expires: June 30, 2016 Estimated average burden hours per response……………………. |
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| June 30, 2016 |
exhibit.htm Exhibit 99.1 AGREEMENT AND PLAN OF REORGANIZATION THIS AGREEMENT AND PLAN OF REORGANIZATION (the ?Plan?) is made as of this 20th day of May, 2016 by and between The UBS Funds (?UBS Trust?), a statutory trust created under the laws of the State of Delaware, on behalf of its series, UBS Total Return Bond Fund (the ?Acquiring Fund?), and Fort Dearborn Income Securities, Inc., a corporatio |
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| May 27, 2016 |
For period ending March 31, 2016 Exhibit 77Q2 File number 811-02319 The Fund is not aware of any outstanding report required to be filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 by any board member or officer. .. |
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| May 27, 2016 |
For period ending: March 31, 2016 Exhibit 77A File number: 811-02319 Exhibit 77C Item 77A and 77C: Registrant incorporates by reference Registrant's Proxy Statement dated October 30, 2015, filed October 30, 2015 (Accession No. |
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| May 18, 2016 |
Fort Dearborn Income Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 811-02319 Fort Dearborn Income Securities, Inc. Exchange: Chicago Stock Exchange (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed a |
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| May 18, 2016 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on May 31, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
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| February 29, 2016 |
Certifications Exhibit EX-99.CERT Certifications I, Mark E. Carver, President of Fort Dearborn Income Securities, Inc., certify that: 1. I have reviewed this report on Form N-Q of Fort Dearborn Income Securities, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of th |
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| February 29, 2016 |
N-Q 1 d119338dnq.htm FORT DEARBORN INCOME SECURITIES, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-02319 Fort Dearborn Income Securities, Inc. (Exact name of registrant as specified in charter) One North Wacker Drive, Chicago, IL 6060 |
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| February 16, 2016 |
SC 13G/A 1 fdi123115a2.htm 13G AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Fort Dearborn Income Securities, Inc. (Name of Issuer) Closed End Mutual Fund (Title of Class of Securities) 347200107 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check |
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| February 12, 2016 |
XFDIX / Fort Dearborn Income Securities / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3) Fort Dearborn Income Securities, Inc. (FDI) (Name of Issuer) Common Stock (Title of Class of Securities) 347200107 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| January 27, 2016 |
XFDIX / Fort Dearborn Income Securities / WELLS FARGO & COMPANY/MN Passive Investment SC 13G/A 1 wffortdearbo-347200107.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) FORT DEARBORN INCOME SECS IN (Name of Issuer) COM (Title of Class of Securities) 347200107 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
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| November 25, 2015 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of Fort Dearborn Income Securities, Inc. |
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| November 25, 2015 |
EX-99.77Q2 ITEM 405 4 fdi77q2.htm EX-99.77Q2 ITEM 405 For period ending September 30, 2015 Exhibit 77Q2 File number 811-02319 The Fund is not aware of any outstanding report required to be filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 by any board member or officer. . |
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| November 25, 2015 |
FORM 10f-3 Rule 144A Securities FUND: Fort Dearborn Income Securities Fund Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc. |
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| October 30, 2015 |
Fort Dearborn Income Securities DEF 14A DEF 14A 1 a15-204531def14a.htm DEF 14A Fort Dearborn Income Securities, Inc. Notice of annual meeting of shareholders December 4, 2015 To the shareholders: The annual meeting of shareholders of Fort Dearborn Income Securities, Inc. (the "Fund") will be held on Friday, December 4, 2015 at 1:00 p.m., Central Time, at One North Wacker Drive, Chicago, Illinois 60606 for the following purposes: (1) To |
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| October 19, 2015 |
POWER OF ATTORNEY The undersigned, being a person required to file a statement under Section 16(a) of the Securities Exchange Act of 1934 (the "1934 Act") and/or Section 30(h) of the Investment Company Act of 1940 (the "1940 Act") with respect to Fort Dearborn Income Securities, Inc. |
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| August 31, 2015 |
EX-99.CERT 2 d58462dex99cert.htm CERTIFICATIONS Exhibit EX-99.CERT Certifications I, Mark E. Carver, President of Fort Dearborn Income Securities, Inc., certify that: 1. I have reviewed this report on Form N-Q of Fort Dearborn Income Securities, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make th |
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| August 31, 2015 |
Fort Dearborn Income Securities, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-02319 Fort Dearborn Income Securities, Inc. (Exact name of registrant as specified in charter) One North Wacker Drive, Chicago, IL 60606-2807 (Address of pr |
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| May 29, 2015 |
EX-99.77C VOTES 2 a77c.htm EX-99.77C VOTES For period ending: March 31, 2015 Exhibit 77A File number: 811-02319 Exhibit 77C Item 77A and 77C: Registrant incorporates by reference Registrant's Proxy Statement dated October 31, 2014, filed October 31, 2014 (Accession No. 0001104659-14-075493). For period ending: March 31, 2015 Exhibit 77C File number: 811-02319 On December 5, 2014, the shareholders |
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| May 29, 2015 |
EX-99.77Q2 ITEM 405 3 a77q2.htm EX-99.77Q2 ITEM 405 For period ending March 31, 2015 Exhibit 77Q2 File number 811-02319 The Fund is not aware of any outstanding report required to be filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 by any board member or officer. . |
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| February 27, 2015 |
Fort Dearborn Income Securities Inc - FORT DEARBORN INCOME SECURITIES, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-02319 Fort Dearborn Income Securities, Inc. (Exact name of registrant as specified in charter) One North Wacker Drive, Chicago, IL 60606-2807 (Address of principal executive offices) (Zip code) |
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| February 27, 2015 |
Certifications Exhibit EX-99.CERT Certifications I, Mark E. Carver, President of Fort Dearborn Income Securities, Inc., certify that: 1. I have reviewed this report on Form N-Q of Fort Dearborn Income Securities, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of th |
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| February 17, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 13, 2015 |
XFDIX / Fort Dearborn Income Securities / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2) Fort Dearborn Income Securities, Inc. (FDI) (Name of Issuer) Common Stock (Title of Class of Securities) 347200107 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| February 5, 2015 |
XFDIX / Fort Dearborn Income Securities / WELLS FARGO & COMPANY/MN Passive Investment SC 13G/A 1 wffortdearbo-347200107.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) FORT DEARBORN INCOME SECS IN (Name of Issuer) COM (Title of Class of Securities) 347200107 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
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| January 13, 2015 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| January 13, 2015 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Fort Dearborn Income Securities, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 347200107 - (CUSIP Number) December 31, 2014 - (Date of Event Which Requires Filing of this Statement) Check the |
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| November 28, 2014 |
Report of Independent Registered Public Accounting Firm To The Board of Directors and Shareholders of Fort Dearborn Income Securities, Inc. |
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| November 28, 2014 |
For period ending September 30, 2014 Exhibit 77Q1 File number 811-02319 Exhibit 77O FORM 10f-3 Registered Domestic Securities and Government Securities FUND: Fort Dearborn Income Securities Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc. |
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| November 28, 2014 |
EX-99.77Q2 ITEM 405 4 a77q2.htm EX-99.77Q2 ITEM 405 For period ending September 30, 2014 Exhibit 77Q2 File number 811-02319 The Fund is not aware of any outstanding report required to be filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 by any board member or officer. |
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| October 31, 2014 |
FDI / Fort Dearborn Income Securities, Inc. DEF 14A - - DEF 14A DEF 14A 1 a14-219021def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as perm |
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| August 29, 2014 |
Certifications Exhibit EX-99.CERT Certifications I, Mark E. Carver, President of Fort Dearborn Income Securities, Inc., certify that: 1. I have reviewed this report on Form N-Q of Fort Dearborn Income Securities, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of th |
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| August 29, 2014 |
Fort Dearborn Income Secrities,Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-02319 Fort Dearborn Income Securities, Inc. (Exact name of registrant as specified in charter) One North Wacker Drive, Chicago, IL 60606-2807 (Address of prin |
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| July 10, 2014 |
XFDIX / Fort Dearborn Income Securities / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1) Fort Dearborn Income Securities, Inc. (FDI) (Name of Issuer) Common Stock (Title of Class of Securities) 347200107 (CUSIP Number) June 30, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| May 30, 2014 |
EX-99.77C VOTES 2 a77c.htm EX-99.77C VOTES For period ending: March 31, 2014 Exhibit 77C File number: 811-02319 On December 6, 2013, the shareholders of Fort Dearborn Income Securities, Inc. elected board members at an annual meeting of shareholders, to elect directors as well as to amend the fundamental investment policy related to investment grade bond, to amend the fundamental investment policy |
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| May 30, 2014 |
For period ending: March 31, 2014 Exhibit 77A File number: 811-02319 Exhibit 77C Item 77A and 77C: Registrant incorporates by reference Registrant's Proxy Statement dated October 25, 2013, filed October 28, 2013 (Accession No. 0001104659-13-078276). .. |
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| May 30, 2014 |
For period ending March 31, 2014 Exhibit 77Q2 File number 811-02319 The Fund is not aware of any outstanding report required to be filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 by any board member or officer. .. |
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| May 30, 2014 |
For period ending: March 31, 2014 Exhibit 77D File number: 811-02319 Effective December 31, 2013: the Board approved the following (1) permitting the Fund to purchase non-US dollar-denominated securities; (2) allowing the Fund to invest up to 10% of its assets in collateralized loan obligation; and (3) clarifying that the Fund may invest up to 25% of its total assets in a combination of (a) below investment grade privately placed debt securities; (b) preferred stock; (c) convertible securities or debt issued with warrants to purchase common stock, provided the market value of all warrants does not exceed 2% of the net asset value of the Fund; and (d) below investment grade obligations of foreign governments or foreign corporations. |
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| February 28, 2014 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-02319 Fort Dearborn Income Securities, Inc. (Exact name of registrant as specified in charter) One North Wacker Drive, Chicago, IL 60606-2807 (Address of principal executive offices) (Zip code) |
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| February 28, 2014 |
Exhibit EX-99.CERT Certifications I, Mark E. Carver, President of Fort Dearborn Income Securities, Inc., certify that: 1. I have reviewed this report on Form N-Q of Fort Dearborn Income Securities, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances |
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| February 14, 2014 |
XFDIX / Fort Dearborn Income Securities / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Fort Dearborn Income Securities, Inc. (FDI) (Name of Issuer) Common Stock (Title of Class of Securities) 347200107 (CUSIP Number) December 31, 2013 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| February 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Fort Dearborn Income Securities, Inc. |
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| January 27, 2014 |
XFDIX / Fort Dearborn Income Securities / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) FORT DEARBORN INCOME SECS IN (Name of Issuer) COM (Title of Class of Securities) 347200107 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| January 13, 2014 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| January 13, 2014 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Fort Dearborn Income Securities, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 347200107 - (CUSIP Number) December 31, 2013 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| November 27, 2013 |
For period ending September 30, 2013 77D/77Q1 File number 811-02319 On May 24, 2013, the Fund announced that, based upon a recommendation made by UBS Global Asset Management (Americas) Inc. |
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| November 27, 2013 |
For period ending September 30, 2013 Exhibit 77Q2 File number 811-02319 The Fund is not aware of any outstanding report required to be filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 by any board member or officer. .. |
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| November 27, 2013 |
For period ending September 30, 2013 Exhibit 77O File number 811-02319 FORM 10f-3 Registered Domestic Securities and Government Securities FUND: Fort Dearborn Income Securities Inc. |
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| November 27, 2013 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of Fort Dearborn Income Securities, Inc. |
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| November 13, 2013 |
DEFA14A 1 ftdearborndefa14a11132013.htm SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] D |
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| November 4, 2013 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant to Sec. |
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| October 28, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive |
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| October 18, 2013 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, Pennsylvania 19103-7098 (215) 564-8000 October 18, 2013 VIA EDGAR John Ganley, Esq. |
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| October 11, 2013 |
For period ending September 30, 2012 Exhibit 77Q1(b) File number 811-02319 Effective June 12, 2012 Fort Dearborn Income Securities, Inc. |
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| October 11, 2013 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of Fort Dearborn Income Securities, Inc. |
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| October 11, 2013 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of Fort Dearborn Income Securities, Inc. |
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| October 11, 2013 |
For period ending September 30, 2011 Exhibit 77Q2 File number 811-02319 The Fund is not aware of any outstanding report required to be filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 by any board member or officer. .. |
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| October 11, 2013 |
For period ending March 31, 2012 Exhibit 77Q2 File number 811-02319 The Fund is not aware of any outstanding report required to be filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 by any board member or officer. .. |
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| October 11, 2013 |
For period ending September 30, 2012 Exhibit 77Q1 File number 811-02319 FORM 10f-3 Registered Domestic Securities and Government Securities FUND: Fort Dearborn Income Securities Inc. |
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| October 11, 2013 |
For period ending September 30, 2012 Exhibit 77Q2 File number 811-02319 The Fund is not aware of any outstanding report required to be filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 by any board member or officer. .. |
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| October 11, 2013 |
For period ending March 31, 2012 File number 811-02319 Fort Dearborn Income Securities, Inc. |
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| October 7, 2013 |
EX-99.77O RULE 10F-3 4 a77q0.htm EX-99.77O RULE 10F-3 For period ending March 31, 2013 Exhibit 77O File number 811-02319 Exhibit 77Q1 FORM 10f-3 Registered Domestic Securities and Government Securities FUND: Fort Dearborn Income Securities, Inc. Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc. 1. Issuer: The Western Union Company 2.375% due 12/10/2015 2. Date of Purchase |
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| October 7, 2013 |
For period ending: March 31, 2013 Exhibit 77A File number: 811-02319 Exhibit 77C Item 77A and 77C: Registrant incorporates by reference Registrant's Proxy Statement dated November 2, 2012, filed November 2, 2012 (Accession No. |
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| October 7, 2013 |
EX-99.77Q2 ITEM 405 3 a77q2.htm EX-99.77Q2 ITEM 405 For period ending March 31, 2013 Exhibit 77Q2 File number 811-02319 The Fund is not aware of any outstanding report required to be filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 by any board member or officer. |
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| October 7, 2013 |
XFDIX / Fort Dearborn Income Securities / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Fort Dearborn Income Securities, Inc. (FDI) (Name of Issuer) Common Stock (Title of Class of Securities) 347200107 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsford, New York 14534 (585) 586-4 |
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| October 3, 2013 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Sec. |
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| October 3, 2013 |
Law Offices Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7081 (215) 564-8600 Direct Dial - (215) 564-8071 October 3, 2013 VIA EDGAR Filing Desk U. |
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| August 29, 2013 |
Exhibit EX-99.CERT Certifications I, Mark E. Carver, President of Fort Dearborn Income Securities, Inc., certify that: 1. I have reviewed this report on Form N-Q of Fort Dearborn Income Securities, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances |
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| August 29, 2013 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-02319 Fort Dearborn Income Securities, Inc. (Exact name of registrant as specified in charter) One North Wacker Drive, Chicago, IL 60606-2807 (Address of principal executive offices) (Zip code) |
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| May 30, 2013 |
For period ending March 31, 2013 Exhibit 77Q2 File number 811-02319 The Fund is not aware of any outstanding report required to be filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 by any board member or officer. |
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| May 30, 2013 |
For period ending March 31, 2013 Exhibit 77O File number 811-02319 Exhibit 77Q1 FORM 10f-3 Registered Domestic Securities and Government Securities FUND: Fort Dearborn Income Securities, Inc. |
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| May 30, 2013 |
For period ending: March 31, 2013 Exhibit 77A File number: 811-02319 Exhibit 77C Item 77A and 77C: Registrant incorporates by reference Registrant's Proxy Statement dated November 2, 2012, filed November 2, 2012 (Accession No. |
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| March 1, 2013 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-02319 Fort Dearborn Income Securities, Inc. (Exact name of registrant as specified in charter) One North Wacker Drive, Chicago, IL 60606-2807 (Address of principal executive offices) (Zip code) |
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| March 1, 2013 |
Exhibit EX-99.CERT Certifications I, Mark E. Carver, President of Fort Dearborn Income Securities, Inc., certify that: 1. I have reviewed this report on Form N-Q of Fort Dearborn Income Securities, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances |
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| January 15, 2013 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Fort Dearborn Income Securities, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 347200107 - (CUSIP Number) December 31, 2012 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| January 15, 2013 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| November 29, 2012 |
Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of Fort Dearborn Income Securities, Inc. |
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| November 29, 2012 |
EX-99.77Q2 ITEM 405 3 a77q2.htm EX-99.77Q2 ITEM 405 For period ending September 30, 2012 Exhibit 77Q2 File number 811-02319 The Fund is not aware of any outstanding report required to be filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 by any board member or officer. . |
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| November 29, 2012 |
For period ending September 30, 2012 Exhibit 77Q1(b) File number 811-02319 Effective June 12, 2012 Fort Dearborn Income Securities, Inc. |
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| November 29, 2012 |
For period ending September 30, 2012 Exhibit 77Q1 File number 811-02319 FORM 10f-3 Registered Domestic Securities and Government Securities FUND: Fort Dearborn Income Securities Inc. |
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| November 2, 2012 |
DEF 14A 1 a12-224661def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as perm |
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| August 29, 2012 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-02319 Fort Dearborn Income Securities, Inc. (Exact name of registrant as specified in charter) One North Wacker Drive, Chicago, IL 60606-2807 (Address of principal executive offices) (Zip code) |
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| August 29, 2012 |
Exhibit EX-99.CERT Certifications I, Mark E. Carver, President of Fort Dearborn Income Securities, Inc., certify that: 1. I have reviewed this report on Form N-Q of Fort Dearborn Income Securities, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances |
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| May 30, 2012 |
EX-99.77Q2 ITEM 405 3 a77q2.htm EX-99.77Q2 ITEM 405 For period ending March 31, 2012 Exhibit 77Q2 File number 811-02319 The Fund is not aware of any outstanding report required to be filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 by any board member or officer. . |
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| May 30, 2012 |
For period ending March 31, 2012 File number 811-02319 Fort Dearborn Income Securities, Inc. |
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| March 8, 2012 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| March 8, 2012 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Fort Dearborn Income Securities, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 347200107 - (CUSIP Number) February 29, 2012 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| February 29, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q 1 e84403.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-02319 Fort Dearborn Income Securities, Inc. (Exact name of registrant as specified in charter) One North Wacker Drive, Chicago, IL 60606-2807 (Address of principal executive off |
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| February 29, 2012 |
Exhibit EX-99.CERT Certifications I, Mark E. Carver, President of Fort Dearborn Income Securities, Inc., certify that: 1. I have reviewed this report on Form N-Q of Fort Dearborn Income Securities, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances |
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| January 30, 2012 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Fort Dearborn Income Securities, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 347200107 - (CUSIP Number) December 31, 2011 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| January 30, 2012 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
