Form NSAR-A SELECT SECTOR SPDR TRUST For: Mar 31
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E-mailPAGE 1 000 A000000 03/31/2016 000 C000000 0001064641 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 THE SELECT SECTOR SPDR TRUST 001 B000000 811-08837 001 C000000 6176647037 002 A000000 ONE LINCOLN STREET 002 B000000 BOSTON 002 C000000 MA 002 D010000 02111 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 11 007 C010100 1 007 C020100 The Materials Select Sector SPDR Fund 007 C030100 N 007 C010200 2 007 C020200 The Health Care Select Sector SPDR Fund 007 C030200 N 007 C010300 3 007 C020300 The Cons Staples Select Sector SPDR Fund 007 C030300 N 007 C010400 4 007 C020400 The Cons Discreti Select Sector SPDR Fund 007 C030400 N 007 C010500 5 007 C020500 The Energy Select Sector SPDR Fund 007 C030500 N 007 C010600 6 007 C020600 The Financial Select Sector SPDR Fund 007 C030600 N 007 C010700 7 007 C020700 The Industrial Select Sector SPDR Fund 007 C030700 N 007 C010800 8 007 C020800 The Technology Select Sector SPDR Fund 007 C030800 N 007 C010900 9 007 C020900 The Utilities Select Sector SPDR Fund 007 C030900 N 007 C011000 10 007 C021000 The Financial Serv Select Sector SPDR Fund PAGE 2 007 C031000 N 007 C011100 11 007 C021100 The Real Estate Select Sector SPDR Fund 007 C031100 N 008 A00AA01 SSGA FUNDS MANAGEMENT, INC. 008 B00AA01 A 008 C00AA01 801-60103 008 D01AA01 BOSTON 008 D02AA01 MA 008 D03AA01 02111 010 A00AA01 SSGA FUNDS MANAGEMENT, INC. 010 B00AA01 801-60103 010 C01AA01 BOSTON 010 C02AA01 MA 010 C03AA01 02111 010 A00AA02 State Street Bank & Trust Co. 010 B00AA02 85-05003 010 C01AA02 Boston 010 C02AA02 MA 010 C03AA02 02111 011 A00AA01 ALPS Distributors, Inc. 011 B00AA01 8-34626 011 C01AA01 Denver 011 C02AA01 CO 011 C03AA01 80203 012 A00AA01 STATE STREET BANK AND TRUST CO. 012 B00AA01 85-05003 012 C01AA01 BOSTON 012 C02AA01 MA 012 C03AA01 02111 013 A00AA01 PRICEWATERHOUSECOOPERS LLP 013 B01AA01 BOSTON 013 B02AA01 MA 013 B03AA01 02210 015 A00AA01 State Street Bank & Trust Co. 015 B00AA01 C 015 C01AA01 Boston 015 C02AA01 MA 015 C03AA01 02111 015 E03AA01 X 018 00AA00 Y 019 A00AA00 N 019 B00AA00 0 020 A000001 Merrill Lynch & Co., Inc. 020 B000001 13-2740599 020 C000001 84 020 A000002 GOLDMAN SACHS & CO. 020 B000002 13-5108880 020 C000002 76 020 A000003 UBS Securities LLC 020 B000003 13-3873456 PAGE 3 020 C000003 70 020 A000004 Knight Clearing Services LLC 020 B000004 26-4219373 020 C000004 68 020 A000005 JPMorgan Chase & Co. 020 B000005 13-3224016 020 C000005 48 020 A000006 Credit Suisse Group 020 B000006 13-5659485 020 C000006 25 020 A000007 CITIGROUP GLOBAL MARKETS, INC. 020 B000007 11-2418191 020 C000007 20 020 A000008 DEUTSCHE BANK SECURITIES, INC. 020 B000008 13-2730828 020 C000008 15 020 A000009 Investment Technology 020 B000009 13-3757717 020 C000009 14 020 A000010 MORGAN STANLEY & CO. 020 B000010 13-2655990 020 C000010 2 021 000000 423 022 A000001 National Securities Corporation 022 B000001 91-0519466 022 C000001 52255605 022 D000001 49038192 022 A000002 GOLDMAN SACHS GROUP, INC 022 B000002 13-3175029 022 C000002 633320 022 D000002 958947 022 A000003 Merrill Lynch & Co., Inc. 022 B000003 13-2740599 022 C000003 825557 022 D000003 277924 022 A000004 DEUTSCHE BANK SECURITIES, INC. 022 B000004 13-2730828 022 C000004 54076 022 D000004 855586 022 A000005 UBS Securities LLC 022 B000005 13-3873456 022 C000005 247161 022 D000005 470181 022 A000006 JPMorgan Chase & Co. 022 B000006 13-3224016 022 C000006 549332 022 D000006 122528 022 A000007 CITIGROUP GLOBAL MARKETS, INC. 022 B000007 11-2418191 022 C000007 304330 022 D000007 179935 PAGE 4 022 A000008 CREDIT SUISSE FIRST BOSTON CORP 022 B000008 13-5659485 022 C000008 214074 022 D000008 210227 022 A000009 Knight Clearing Services LLC 022 B000009 26-4219373 022 C000009 194511 022 D000009 160836 022 A000010 MORGAN STANLEY & CO. 022 B000010 13-2655990 022 C000010 105490 022 D000010 0 023 C000000 55499349 023 D000000 51504851 024 000100 N 024 000200 N 024 000300 N 024 000400 N 024 000500 N 024 000600 Y 024 000700 N 024 000800 N 024 000900 N 024 001000 Y 024 001100 N 025 A000601 JPMorgan Chase & Co. 025 B000601 13-3224016 025 C000601 E 025 D000601 1236281 025 A000602 CITIGROUP GLOBAL MARKETS, INC. 025 B000602 11-2418191 025 C000602 E 025 D000602 700125 025 A000603 GOLDMAN SACHS GROUP, INC 025 B000603 13-3175029 025 C000603 E 025 D000603 350735 025 A000604 MORGAN STANLEY & CO. 025 B000604 13-2655990 025 C000604 E 025 D000604 217299 025 A001001 JPMorgan Chase & Co. 025 B001001 13-3224016 025 C001001 E 025 D001001 1224 025 A001002 CITIGROUP GLOBAL MARKETS, INC. 025 B001002 11-2418191 025 C001002 E 025 D001002 693 025 A001003 GOLDMAN SACHS GROUP, INC 025 B001003 13-3175029 PAGE 5 025 C001003 E 025 D001003 332 025 A001004 MORGAN STANLEY & CO. 025 B001004 13-2655990 025 C001004 E 025 D001004 216 026 A000000 N 026 B000000 N 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 028 A010100 450418 028 A020100 0 028 A030100 0 028 A040100 439947 028 B010100 518402 028 B020100 0 028 B030100 0 028 B040100 514143 028 C010100 482819 028 C020100 0 028 C030100 0 028 C040100 499998 028 D010100 505371 028 D020100 0 028 D030100 0 028 D040100 492226 028 E010100 525663 028 E020100 0 028 E030100 0 028 E040100 532473 028 F010100 607884 028 F020100 0 028 F030100 0 028 F040100 377613 028 G010100 3090557 028 G020100 0 028 G030100 0 028 G040100 2856400 028 H000100 0 028 A010200 3720927 028 A020200 0 028 A030200 0 028 A040200 3453720 028 B010200 1699424 028 B020200 0 PAGE 6 028 B030200 0 028 B040200 2127178 028 C010200 1957852 028 C020200 0 028 C030200 0 028 C040200 1934921 028 D010200 2386614 028 D020200 0 028 D030200 0 028 D040200 2148638 028 E010200 1523375 028 E020200 0 028 E030200 0 028 E040200 2240028 028 F010200 1582395 028 F020200 0 028 F030200 0 028 F040200 2415702 028 G010200 12870587 028 G020200 0 028 G030200 0 028 G040200 14320187 028 H000200 0 028 A010300 1906552 028 A020300 0 028 A030300 0 028 A040300 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B010500 872475 028 B020500 0 028 B030500 0 028 B040500 1035230 028 C010500 3353010 028 C020500 0 028 C030500 0 028 C040500 2594680 028 D010500 1981881 028 D020500 0 028 D030500 0 028 D040500 1667884 028 E010500 1958442 028 E020500 0 028 E030500 0 028 E040500 1593115 028 F010500 1937541 PAGE 8 028 F020500 0 028 F030500 0 028 F040500 1752795 028 G010500 12119485 028 G020500 0 028 G030500 0 028 G040500 10594878 028 H000500 0 028 A010600 3231378 028 A020600 0 028 A030600 0 028 A040600 2714971 028 B010600 2542238 028 B020600 0 028 B030600 0 028 B040600 1940137 028 C010600 3193516 028 C020600 0 028 C030600 0 028 C040600 2634623 028 D010600 3093453 028 D020600 0 028 D030600 0 028 D040600 3952074 028 E010600 2442749 028 E020600 0 028 E030600 0 028 E040600 3340199 028 F010600 2479632 028 F020600 0 028 F030600 0 028 F040600 2777573 028 G010600 16982966 028 G020600 0 028 G030600 0 028 G040600 17359577 028 H000600 0 028 A010700 2328573 028 A020700 0 028 A030700 0 028 A040700 2144830 028 B010700 1776694 028 B020700 0 028 B030700 0 028 B040700 1709939 028 C010700 1252600 028 C020700 0 028 C030700 0 028 C040700 2222467 028 D010700 1236586 028 D020700 0 PAGE 9 028 D030700 0 028 D040700 1140431 028 E010700 1927157 028 E020700 0 028 E030700 0 028 E040700 1599274 028 F010700 1512069 028 F020700 0 028 F030700 0 028 F040700 1512946 028 G010700 10033679 028 G020700 0 028 G030700 0 028 G040700 10329887 028 H000700 0 028 A010800 1060079 028 A020800 0 028 A030800 0 028 A040800 608563 028 B010800 1123803 028 B020800 0 028 B030800 0 028 B040800 318531 028 C010800 1304429 028 C020800 0 028 C030800 0 028 C040800 1184950 028 D010800 302762 028 D020800 0 028 D030800 0 028 D040800 1417066 028 E010800 758919 028 E020800 0 028 E030800 0 028 E040800 927822 028 F010800 1581558 028 F020800 0 028 F030800 0 028 F040800 727659 028 G010800 6131550 028 G020800 0 028 G030800 0 028 G040800 5184591 028 H000800 0 028 A010900 874811 028 A020900 0 028 A030900 0 028 A040900 825607 028 B010900 529164 028 B020900 0 028 B030900 0 PAGE 10 028 B040900 1423683 028 C010900 935572 028 C020900 0 028 C030900 0 028 C040900 1006558 028 D010900 1429018 028 D020900 0 028 D030900 0 028 D040900 492067 028 E010900 2041998 028 E020900 0 028 E030900 0 028 E040900 1352634 028 F010900 1237005 028 F020900 0 028 F030900 0 028 F040900 1175701 028 G010900 7047568 028 G020900 0 028 G030900 0 028 G040900 6276250 028 H000900 0 028 A011000 4511 028 A021000 0 028 A031000 0 028 A041000 0 028 B011000 1593 028 B021000 0 028 B031000 0 028 B041000 0 028 C011000 6229 028 C021000 0 028 C031000 0 028 C041000 0 028 D011000 0 028 D021000 0 028 D031000 0 028 D041000 0 028 E011000 0 028 E021000 0 028 E031000 0 028 E041000 1301 028 F011000 4299 028 F021000 0 028 F031000 0 028 F041000 1438 028 G011000 16632 028 G021000 0 028 G031000 0 028 G041000 2739 028 H001000 0 PAGE 11 028 A011100 4551 028 A021100 0 028 A031100 0 028 A041100 0 028 B011100 7488 028 B021100 0 028 B031100 0 028 B041100 7455 028 C011100 0 028 C021100 0 028 C031100 0 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000800 0 044 000900 0 PAGE 14 044 001000 0 044 001100 0 045 00AA00 Y 046 00AA00 N 047 00AA00 Y 048 00AA00 0.000 048 A01AA00 12500000 048 A02AA00 0.050 048 B01AA00 17500000 048 B02AA00 0.040 048 C01AA00 20000000 048 C02AA00 0.035 048 D01AA00 50000000 048 D02AA00 0.030 048 E01AA00 50000000 048 E02AA00 0.029 048 F01AA00 50000000 048 F02AA00 0.027 048 G01AA00 0 048 G02AA00 0.000 048 H01AA00 0 048 H02AA00 0.000 048 I01AA00 0 048 I02AA00 0.000 048 J01AA00 0 048 J02AA00 0.000 048 K01AA00 99999999 048 K02AA00 0.026 049 00AA00 N 050 00AA00 N 051 00AA00 N 052 00AA00 N 053 A00AA00 Y 053 B00AA00 Y 053 C00AA00 N 054 A00AA00 Y 054 B00AA00 Y 054 C00AA00 N 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N 054 G00AA00 Y 054 H00AA00 N 054 I00AA00 N 054 J00AA00 N 054 K00AA00 N 054 L00AA00 N 054 M00AA00 Y 054 N00AA00 N 054 O00AA00 N 055 A000100 N PAGE 15 055 B000100 N 055 A000200 N 055 B000200 N 055 A000300 N 055 B000300 N 055 A000400 N 055 B000400 N 055 A000500 N 055 B000500 N 055 A000600 N 055 B000600 N 055 A000700 N 055 B000700 N 055 A000800 N 055 B000800 N 055 A000900 N 055 B000900 N 055 A001000 N 055 B001000 N 055 A001100 N 055 B001100 N 056 000100 Y 056 000200 Y 056 000300 Y 056 000400 Y 056 000500 Y 056 000600 Y 056 000700 Y 056 000800 Y 056 000900 Y 056 001000 Y 056 001100 Y 057 000100 N 057 000200 N 057 000300 N 057 000400 N 057 000500 N 057 000600 N 057 000700 N 057 000800 N 057 000900 N 057 001000 N 057 001100 N 058 A000100 N 058 A000200 N 058 A000300 N 058 A000400 N 058 A000500 N 058 A000600 N 058 A000700 N 058 A000800 N PAGE 16 058 A000900 N 058 A001000 N 058 A001100 N 059 000100 Y 059 000200 Y 059 000300 Y 059 000400 Y 059 000500 Y 059 000600 Y 059 000700 Y 059 000800 Y 059 000900 Y 059 001000 Y 059 001100 Y 060 A000100 N 060 B000100 N 060 A000200 N 060 B000200 N 060 A000300 N 060 B000300 N 060 A000400 N 060 B000400 N 060 A000500 N 060 B000500 N 060 A000600 N 060 B000600 N 060 A000700 N 060 B000700 N 060 A000800 N 060 B000800 N 060 A000900 N 060 B000900 N 060 A001000 N 060 B001000 N 060 A001100 N 060 B001100 N 061 000100 2240000 061 000200 3390500 061 000300 2652500 061 000400 3954000 061 000500 3095500 061 000600 1125500 061 000700 2775000 061 000800 2218000 061 000900 2480500 061 001000 1423500 061 001100 1604000 062 A00AA00 N 062 B00AA00 0.0 062 C00AA00 0.0 062 D00AA00 0.0 PAGE 17 062 E00AA00 0.0 062 F00AA00 0.0 062 G00AA00 0.0 062 H00AA00 0.0 062 I00AA00 0.0 062 J00AA00 0.0 062 K00AA00 0.0 062 L00AA00 0.0 062 M00AA00 0.0 062 N00AA00 0.0 062 O00AA00 0.0 062 P00AA00 0.0 062 Q00AA00 0.0 062 R00AA00 0.0 063 A00AA00 0 063 B00AA00 0.0 066 A00AA00 Y 066 B00AA00 N 066 C00AA00 N 066 D00AA00 N 066 E00AA00 Y 066 F00AA00 N 066 G00AA00 N 067 00AA00 N 068 A00AA00 N 068 B00AA00 N 069 00AA00 Y 070 A01AA00 Y 070 A02AA00 N 070 B01AA00 Y 070 B02AA00 N 070 C01AA00 N 070 C02AA00 N 070 D01AA00 Y 070 D02AA00 N 070 E01AA00 Y 070 E02AA00 N 070 F01AA00 Y 070 F02AA00 N 070 G01AA00 Y 070 G02AA00 N 070 H01AA00 Y 070 H02AA00 N 070 I01AA00 Y 070 I02AA00 N 070 J01AA00 Y 070 J02AA00 N 070 K01AA00 Y 070 K02AA00 Y 070 L01AA00 Y 070 L02AA00 Y PAGE 18 070 M01AA00 Y 070 M02AA00 N 070 N01AA00 Y 070 N02AA00 Y 070 O01AA00 Y 070 O02AA00 N 070 P01AA00 Y 070 P02AA00 N 070 Q01AA00 N 070 Q02AA00 N 070 R01AA00 N 070 R02AA00 N 071 A000100 195589 071 B000100 195609 071 C000100 0 071 D000100 9 071 A000200 349602 071 B000200 347907 071 C000200 0 071 D000200 3 071 A000300 183544 071 B000300 194001 071 C000300 0 071 D000300 2 071 A000400 120554 071 B000400 126679 071 C000400 0 071 D000400 1 071 A000500 403499 071 B000500 407962 071 C000500 0 071 D000500 3 071 A000600 695293 071 B000600 605368 071 C000600 0 071 D000600 3 071 A000700 271786 071 B000700 270046 071 C000700 0 071 D000700 4 071 A000800 722576 071 B000800 389555 071 C000800 0 071 D000800 3 071 A000900 303164 071 B000900 303693 071 C000900 6823092 071 D000900 4 071 A001000 366 071 B001000 372 071 C001000 0 PAGE 19 071 D001000 4 071 A001100 537 071 B001100 552 071 C001100 0 071 D001100 8 072 A000100 6 072 B000100 0 072 C000100 25055 072 D000100 0 072 E000100 174 072 F000100 375 072 G000100 0 072 H000100 0 072 I000100 0 072 J000100 151 072 K000100 0 072 L000100 53 072 M000100 14 072 N000100 1 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 19 072 S000100 5 072 T000100 232 072 U000100 0 072 V000100 0 072 W000100 489 072 X000100 1340 072 Y000100 0 072 Z000100 23888 072AA000100 0 072BB000100 28513 072CC010100 250458 072CC020100 0 072DD010100 24160 072DD020100 0 072EE000100 0 072 A000200 6 072 B000200 0 072 C000200 110460 072 D000200 0 072 E000200 153 072 F000200 2339 072 G000200 0 072 H000200 0 072 I000200 0 072 J000200 944 072 K000200 0 072 L000200 273 072 M000200 67 PAGE 20 072 N000200 0 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 20 072 S000200 37 072 T000200 2286 072 U000200 0 072 V000200 0 072 W000200 2992 072 X000200 8958 072 Y000200 0 072 Z000200 101654 072AA000200 209218 072BB000200 0 072CC010200 36460 072CC020200 0 072DD010200 99535 072DD020200 0 072EE000200 0 072 A000300 6 072 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AMENDED AND RESTATED BYLAWS
OF
THE SELECT SECTOR SPDR(r) TRUST
ARTICLE I
Definitions
All words and terms capitalized in these Bylaws shall have the
meaning or meanings set forth for such words or terms in the
Amended and Restated Declaration of Trust of The Select Sector
SPDR(r) Trust, dated October 23, 1998, as may be amended from
time to time.
ARTICLE II
Offices
Section 2.1. Principal Office. Until changed by the Trustees, the
principal office of the Trust in The Commonwealth of
Massachusetts shall be in the City of Boston, County of Suffolk.
Section 2.2. Other Offices. In addition to its principal office in
The Commonwealth of Massachusetts, the Trust may have an
office or offices in the City of New York, State of New York, and
at such other places within and without The Commonwealth as the
Trustees may from time to time designate or the business of the
Trust may require.
ARTICLE III
Shareholders' Meetings
Section 3.1. Place of Meetings. Meetings of Shareholders shall
be held at such place, within or without The Commonwealth of
Massachusetts, as may be designated from time to time by the
Trustees.
Section 3.2. Meetings. Meetings of Shareholders of the Trust
shall be held whenever called by the Trustees or the President of
the Trust and whenever election of a Trustee or Trustees by
Shareholders is required by the provisions of Section 16(a) of the
1940 Act, for that purpose. Meetings of Shareholders shall also be
called by the Secretary upon the written request of the holders of
Shares entitled to vote not less than twenty-five percent (25%) of
all the votes entitled to be cast at such meeting except to the extent
otherwise required by Section 16(c) of the 1940 Act, as is made
applicable to the Trust by the provisions of Section 2.3 of the
Declaration. Such request shall state the purpose or purposes of
such meeting and the matters proposed to be acted on thereat. The
Secretary shall inform such Shareholders of the reasonable
estimated cost of preparing and mailing such notice of the meeting,
and upon payment to the Trust of such costs, the Secretary shall
give notice stating the purpose or purposes of the meeting to all
entitled to vote at such meeting. No meeting need be called upon
the request of the holders of Shares entitled to cast less than a
majority of all votes entitled to be cast at such meeting, to consider
any matter which is substantially the same as a matter voted upon
at any meeting of Shareholders held during the preceding twelve
months.
Section 3.3. Notice of Meetings. Written or printed notice of
every Shareholders' meeting stating the place, date, and purpose or
purposes thereof, shall be given by the Secretary not less than ten
(10) nor more than ninety (90) days before such meeting to each
Shareholder entitled to vote at such meeting. Such notice shall be
deemed to be given when deposited in the United States mail,
postage prepaid, directed to the Shareholder at his or her address as
it appears on the records of the Trust.
Section 3.4. Quorum and Adjournment of Meetings. Except as
otherwise provided by law, by the Declaration or by these Bylaws,
at all meetings of Shareholders, the holders of a majority of the
Shares issued and outstanding and entitled to vote thereat, present
in person or represented by proxy, shall be requisite and shall
constitute a quorum for the transaction of business. In the absence
of a quorum, the Shareholders present or represented by proxy and
entitled to vote thereat shall have the power to adjourn the meeting
from time to time. The Shareholders present in person or
represented by proxy at any meeting and entitled to vote thereat
also shall have the power to adjourn the meeting from time to time
if the vote required to approve or reject any proposal described in
the original notice of such meeting is not obtained (with proxies
being voted for or against adjournment consistent with the votes
for and against the proposal for which the required vote has not
been obtained). The affirmative vote of the holders of a majority
of the Shares then present in person or represented by proxy shall
be required to adjourn any meeting. Any adjourned meeting may
be reconvened without further notice or change in record date. At
any reconvened meeting at which a quorum shall be present, any
business may be transacted that might have been transacted at the
meeting as originally called.
Section 3.5. Voting Rights, Proxies. At each meeting of
Shareholders, each holder of record of Shares entitled to vote
thereat shall be entitled to one vote in person or by proxy, executed
in writing by the Shareholder or his or her duly authorized
attorney-in-fact, for each Share of beneficial interest of the Trust
and for the fractional portion of one vote for each fractional Share
entitled to vote so registered in his or her name on the records of
the Trust on the date fixed as the record date for the determination
of Shareholders entitled to vote at such meeting. No proxy shall be
valid after eleven months from its date, unless otherwise provided
in the proxy. At all meetings of Shareholders, unless the voting is
conducted by inspectors, all questions relating to the qualification
of voters and the validity of proxies and the acceptance or rejection
of votes shall be decided by the chair of the meeting. Pursuant to a
resolution of a majority of the Trustees, proxies may be solicited in
the name of one or more Trustees or officers of the Trust.
Section 3.6. Vote Required. Except as otherwise provided by
law, by the Declaration, or by these Bylaws, at each meeting of
Shareholders at which a quorum is present, all matters shall be
decided by Majority Shareholder Vote.
Section 3.7. Inspectors of Election. In advance of any meeting
of Shareholders, the Trustees may appoint Inspectors of Election to
act at the meeting or any adjournment thereof. If Inspectors of
Election are not so appointed, the chair of any meeting of
Shareholders may, and on the request of any Shareholder or his or
her proxy shall, appoint Inspectors of Election of the meeting. In
case any person appointed as Inspector fails to appear or refuses to
act, the vacancy may be filled by appointment made by the
Trustees in advance of the convening of the meeting or at the
meeting by the person acting as chair. The Inspectors of Election
shall determine the number of Shares outstanding, the Shares
represented at the meeting, the existence of a quorum, the
authenticity, validity and effect of proxies, shall receive votes,
ballots or consents, shall hear and determine all challenges and
questions in any way arising in connection with the right to vote,
shall count and tabulate all votes or consents, determine the results,
and do such other acts as may be proper to conduct the election or
vote with fairness to all Shareholders. On request of the chair of
the meeting, or of any Shareholder or his or her proxy, the
Inspectors of Election shall make a report in writing of any
challenge or question or matter determined by them and shall
execute a certificate of any facts found by them.
Section 3.8. Inspection of Books and Records. Shareholders
shall have such rights and procedures of inspection of the books
and records of the Trust as are granted to Shareholders under the
Corporations and Associations Law of The Commonwealth of
Massachusetts.
Section 3.9. Action by Shareholders Without Meeting. Except
as otherwise provided by law, the provisions of these Bylaws
relating to notices and meetings to the contrary notwithstanding,
any action required or permitted to be taken at any meeting of
Shareholders may be taken without a meeting if a majority of the
Shareholders entitled to vote upon the action consent to the action
in writing and such consents are filed with the records of the Trust.
Such consent shall be treated for all purposes as a vote taken at a
meeting of Shareholders.
Section 3.10. Presence at Meetings. Presence at meetings of
Shareholders requires physical attendance by the Shareholder or
his or her proxy at the meeting site and does not encompass
attendance by telephonic or other electronic means.
ARTICLE IV
Trustees
Section 4.1. Meetings of the Trustees. The Trustees may in
their discretion provide for regular or special meetings of the
Trustees. Regular meetings of the Trustees may be held at such
time and place as shall be determined from time to time by the
Trustees without further notice. Special meetings of the Trustees
may be called at any time by the Chair and shall be called by the
President or the Secretary upon the written request of any two (2)
Trustees.
Section 4.2. Notice of Special Meetings. Written notice of
special meetings of the Trustees, stating the place, date and time
thereof, shall be given not less than two (2) days before such
meeting to each Trustee, by mail, by email, and by contacting such
Trustee by telephone or leaving such telephonic notice at his or her
place of residence or usual place of business. When mailed, such
notice shall be deemed to be given when deposited in the United
States mail, postage prepaid, directed to the Trustee at his or her
address as it appears on the records of the Trust. Subject to the
provisions of the 1940 Act, notice or waiver of notice need not
specify the purpose of any special meeting.
Section 4.3. Telephone Meetings. Subject to the provisions of
the 1940 Act, any Trustee, or any member or members of any
committee designated by the Trustees, may participate in a meeting
of the Trustees, or any such committee, as the case may be, by
means of a conference telephone or similar communications
equipment if all persons participating in the meeting can hear each
other at the same time. Participation in a meeting by these means
constitutes presence in person at the meeting.
Section 4.4. Quorum, Voting and Adjournment of Meetings. At
all meetings of the Trustees, a majority of the Trustees shall be
requisite to and shall constitute a quorum for the transaction of
business. If a quorum is present, the affirmative vote of a majority
of the Trustees present shall be the act of the Trustees, unless the
concurrence of a greater proportion is expressly required for such
action by law, the Declaration or these Bylaws. If at any meeting
of the Trustees there be less than a quorum present, the Trustees
present thereat may adjourn the meeting from time to time, without
notice other than announcement at the meeting, until a quorum
shall have been obtained.
Section 4.5. Action by Trustees Without Meeting. The
provisions of these Bylaws covering notices and meetings to the
contrary notwithstanding, and except as required by law, any
action required or permitted to be taken at any meeting of the
Trustees may be taken without a meeting if a consent in writing
setting forth the action shall be signed by all of the Trustees
entitled to vote upon the action and such written consent is filed
with the minutes of proceedings of the Trustees.
Section 4.6. The Chair. (a) The Chair shall be selected by the
Trustees, shall preside at all meetings of the Trustees, and shall
perform such other duties as the Trustees may from time to time
prescribe.
(b) In the absence of the Chair, any other Trustee, selected by
the Board of Trustees, shall preside at meetings of the Board of
Trustees; and he or she shall perform such other duties as the
Board of Trustees may from time to time prescribe
Section 4.7. Expenses and Fees. Each Trustee may be allowed
expenses, if any, for attendance at each regular or special meeting
of the Trustees, and each Trustee who is not an officer or employee
of the Trust or of its investment manager or underwriter or of any
corporate affiliate of any of said persons shall receive for services
rendered as a Trustee of the Trust such compensation as may be
fixed by the Trustees. Nothing herein contained shall be construed
to preclude any Trustee from serving the Trust in any other
capacity and receiving compensation therefor.
Section 4.8. Execution of Instruments and Documents and
Signing of Checks and Other Obligations and Transfers. All
instruments, documents and other papers shall be executed in the
name and on behalf of the Trust and all checks, notes, drafts and
other obligations for the payment of money by the Trust shall be
signed, and all transfer of securities standing in the name of the
Trust shall be executed, by the Chair, the President, any Vice
President or the Treasurer or by any one or more officers or agents
of the Trust as shall be designated for that purpose by vote of the
Trustees; notwithstanding the above, nothing in this Section 4.7
shall be deemed to preclude the electronic authorization, by
designated persons, of the Trust's Custodian (as described herein in
Section 9.1) to transfer assets of the Trust, as provided for herein in
Section 9.1.
Section 4.9. Indemnification of Trustees, Officers, Employees
and Agents. (a) The Trust shall indemnify any person who was or
is a party or is threatened to be made a party to any threatened,
pending or completed action, suit or proceeding, whether civil,
criminal, administrative or investigative (other than an action by or
in the right of the Trust) by reason of the fact that he or she is or
was a Trustee, officer, employee, or agent of the Trust. The
indemnification shall be against expenses, including attorneys'
fees, judgments, fines, and amounts paid in settlement, actually
and reasonably incurred by him or her in connection with the
action, suit, or proceeding, if he or she acted in good faith and in a
manner he or she reasonably believed to be in or not opposed to
the best interests of the Trust, and, with respect to any criminal
action or proceeding, had no reasonable cause to believe his or her
conduct was unlawful. The termination of any action, suit or
proceeding by judgment, order, settlement, conviction, or upon a
plea of nolo contendere or its equivalent, shall not, of itself, create
a presumption that the person did not act in good faith and in a
manner which he or she reasonably believed to be in or not
opposed to the best interests of the Trust, and, with respect to any
criminal action or proceeding, had reasonable cause to believe that
his or her conduct was unlawful.
(b) The Trust shall indemnify any person who was or is a party or
is threatened to be made a party to any threatened, pending or
completed action or suit by or on behalf of the Trust to obtain a
judgment or decree in its favor by reason of the fact that he or she
is or was a Trustee, officer, employee, or agent of the Trust. The
indemnification shall be against expenses, including attorneys' fees
actually and reasonably incurred by him or her in connection with
the defense or settlement of the action or suit, if he or she acted in
good faith and in a manner he or she reasonably believed to be in
or not opposed to the best interests of the Trust; except that no
indemnification shall be made in respect of any claim, issue, or
matter as to which the person has been adjudged to be liable for
negligence or misconduct in the performance of his or her duty to
the Trust, except to the extent that the court in which the action or
suit was brought, or a court of equity in the county in which the
Trust has its principal office, determines upon application that,
despite the adjudication of liability but in view of all the
circumstances of the case, the person is fairly and reasonably
entitled to indemnity for those expenses which the court shall deem
proper, provided such Trustee, officer, employee or agent is not
adjudged to be liable by reason of his or her willful misfeasance,
bad faith, gross negligence or reckless disregard of the duties
involved in the conduct of his or her office.
(c) To the extent that a Trustee, officer, employee, or agent of the
Trust has been successful on the merits or otherwise in defense of
any action, suit or proceeding referred to in subsection (a) or (b) or
in defense of any claim, issue or matter therein, he or she shall be
indemnified against expenses, including attorneys' fees, actually
and reasonably incurred by him or her in connection therewith.
(d) (1) Unless a court orders otherwise, any indemnification under
subsections (a) or (b) of this section may be made by the Trust
only as authorized in the specific case after a determination that
indemnification of the Trustee, officer, employee, or agent is
proper in the circumstances because he or she has met the
applicable standard of conduct set forth in subsections (a) or (b).
(2) The determination shall be made:
(i) By the Trustees, by a majority vote of a
quorum which consists of Trustees who
were not parties to the action, suit or
proceeding; or
(ii) If the required quorum is not obtainable, or
if a quorum of disinterested Trustees so
directs, by independent legal counsel in a
written opinion; or
(iii) By the Shareholders.
(3) Notwithstanding any provision of this Section 4.9,
no person shall be entitled to indemnification for
any liability, whether or not there is an adjudication
of liability, arising by reason of willful misfeasance,
bad faith, gross negligence, or reckless disregard of
duties as described in Section 17(h) and (i) of the
1940 Act ("disabling conduct"). A person shall be
deemed not liable by reason of disabling conduct if,
either:
(i) a final decision on the merits is made by a
court or other body before whom the
proceeding was brought that the person to be
indemnified ("indemnitee") was not liable
by reason of disabling conduct; or
(ii) in the absence of such a decision, a
reasonable determination, based upon a
review of the facts, that the indemnitee was
not liable by reason of disabling conduct, is
made by either --
(A) a majority of a quorum of Trustees
who are neither "interested persons"
of the Trust, as defined in Section
2(a)(19) of the 1940 Act, nor parties
to the action, suit or proceeding, or
(B) an independent legal counsel in a
written opinion.
(e) Expenses, including attorneys' fees, incurred by a Trustee,
officer, employee or agent of the Trust in defending a civil or
criminal action, suit or proceeding may be paid by the Trust in
advance of the final disposition thereof if:
(1) authorized in the specific case by the Trustees; and
(2) the Trust receives an undertaking by or on behalf of
the Trustee, officer, employee or agent of the Trust
to repay the advance if it is not ultimately
determined that such person is entitled to be
indemnified by the Trust; and
(3) either, (i) such person provides a security for his
undertaking, or
(ii) the Trust is insured against losses by reason
of any lawful advances, or
(iii) a determination, based on a review of
readily available facts, that there is reason to
believe that such person ultimately will be
found entitled to indemnification, is made
by either --
(A) a majority of a quorum of Trustees
who are neither "interested persons"
of the Trust, as defined in Section
2(a)(19) of the 1940 Act, nor parties
to the action, suit or proceeding, or
(B) an independent legal counsel in a
written opinion.
(f) The indemnification provided by this Section shall not be
deemed exclusive of any other rights to which a person may be
entitled under any by-law, agreement, vote of Shareholders or
disinterested Trustees or otherwise, both as to action in his or her
official capacity and as to action in another capacity while holding
the office, and shall continue as to a person who has ceased to be a
Trustee, officer, employee, or agent and inure to the benefit of the
heirs, executors and administrators of such person; provided that
no person may satisfy any right of indemnity or reimbursement
granted herein or to which he or she may be otherwise entitled
except out of the property of the Trust, and no Shareholder shall be
personally liable with respect to any claim for indemnity or
reimbursement or otherwise.
(g) The Trust may purchase and maintain insurance on behalf of
any person who is or was a Trustee, officer, employee, or agent of
the Trust, against any liability asserted against him or her and
incurred by him or her in any such capacity, or arising out of his or
her status as such. However, in no event will the Trust purchase
insurance to indemnify any officer or Trustee against liability for
any act for which the Trust itself is not permitted to indemnify him
or her.
(h) Nothing contained in this Section shall be construed to protect
any Trustee or officer of the Trust against any liability to the Trust
or to its security holders to which he or she would otherwise be
subject by reason of willful misfeasance, bad faith, gross
negligence or reckless disregard of the duties involved in the
conduct of his or her office.
ARTICLE V
Committees
Section 5.1. Executive and Other Committees. The Trustees, by
resolution adopted by a majority of the Trustees, may designate an
Executive Committee and/or committees, each committee to
consist of two (2) or more of the Trustees of the Trust and may
delegate to such committees, in the intervals between meetings of
the Trustees, any or all of the powers of the Trustees in the
management of the business and affairs of the Trust. In the
absence of any member of any such committee, the members
thereof present at any meeting, whether or not they constitute a
quorum, may appoint a Trustee to act in place of such absent
member. Each such committee shall keep a record of its
proceedings.
The Executive Committee and any other committee shall fix its
own rules or procedures, but the presence of at least fifty percent
(50%) of the members of the whole committee shall in each case
be necessary to constitute a quorum of the committee and the
affirmative vote of the majority of the members of the committee
present at the meeting shall be necessary to take action.
All actions of the Executive Committee shall be reported to the
Trustees at the meeting thereof next succeeding to the taking of
such action.
Section 5.2. Advisory Committee. The Trustees may appoint an
advisory committee which shall be composed of persons who do
not serve the Trust in any other capacity and which shall have
advisory functions with respect to the investments of the Trust but
which shall have no power to determine that any security or other
investment shall be purchased, sold or otherwise disposed of by the
Trust. The number of persons constituting any such advisory
committee shall be determined from time to time by the Trustees.
The members of any such advisory committee may receive
compensation for their services and may be allowed such fees and
expenses for the attendance at meetings as the Trustees may from
time to time determine to be appropriate.
Section 5.3. Committee Action Without Meeting. The provisions
of these Bylaws covering notices and meetings to the contrary
notwithstanding, and except as required by law, any action
required or permitted to be taken at any meeting of any Committee
of the Trustees appointed pursuant to Section 5.1 of these Bylaws
may be taken without a meeting if a consent in writing setting forth
the action shall be signed by all members of the Committee
entitled to vote upon the action and such written consent is filed
with the records of the proceedings of the Committee.
ARTICLE VI
Officers
Section 6.1. Executive Officers. The executive officers of the
Trust shall be a President, one or more Vice Presidents, a
Secretary, a Treasurer and a Chief Compliance Officer. The
executive officers need not be a Trustee. Two or more offices,
except those of President and any Vice President, may be held by
the same person, but no officer shall execute, acknowledge or
verify any instrument in more than one capacity. The executive
officers of the Trust shall be elected annually by the Trustees and
each executive officer so elected shall hold office until his or her
successor is elected and has qualified.
Section 6.2. Other Officers and Agents. The Trustees may also
elect one or more Assistant Vice Presidents, Assistant Secretaries,
Deputy Treasurers, Assistant Treasurers and other officers,
including Code of Ethics Compliance Officer, AML Compliance
Officer, and Code of Conduct Compliance Officer, and may elect,
or may delegate to the President the power to appoint, such other
officers and agents as the Trustees shall at any time or from time to
time deem advisable.
Section 6.3. Term and Removal and Vacancies. Each officer of
the Trust shall hold office until his or her successor is elected and
has qualified. Any officer or agent of the Trust may be removed
by the Trustees whenever, in their judgment, the best interests of
the Trust will be served thereby, but such removal shall be without
prejudice to the contractual rights, if any, of the person so
removed.
Section 6.4. Compensation of Officers. The compensation of
officers and agents of the Trust shall be fixed by the Trustees, or
by the President to the extent provided by the Trustees with respect
to officers appointed by the President.
Section 6.5. Power and Duties. All officers and agents of the
Trust, as between themselves and the Trust, shall have such
authority and perform such duties in the management of the Trust
as may be provided in or pursuant to these Bylaws, or to the extent
not so provided, as may be prescribed by the Trustees; provided,
that no rights of any third party shall be affected or impaired by
any such Bylaw or resolution of the Trustees unless he or she has
knowledge thereof.
Section 6.6. The President. The President shall be the chief
executive officer and principal executive officer of the Trust; he or
she shall have general and active management of the business of
the Trust, shall see that all orders and resolutions of the Board of
Trustees are carried into effect, and, in connection therewith, shall
be authorized to delegate to one or more Vice Presidents or other
officers such of his or her powers and duties at such times and in
such manner as he or she may deem advisable. The President shall
preside at all meetings of the shareholders and he or she shall
perform such other duties as the Board of Trustees may from time
to time prescribe.
Section 6.7. The Vice Presidents. The Vice Presidents shall be
of such number and shall have such titles as may be determined
from time to time by the Trustees. The Vice President, or, if there
be more than one, the Vice Presidents in the order of their seniority
as may be determined from time to time by the Trustees or the
President, shall, in the absence or disability of the President,
exercise the powers and perform the duties of the President, and
he, she or they shall perform such other duties as the Trustees or
the President may from time to time prescribe.
Section 6.8. The Assistant Vice Presidents. The Assistant Vice
President, or, if there be more than one, the Assistant Vice
Presidents, shall perform such duties and have such powers as may
be assigned them from time to time by the Trustees or the
President.
Section 6.9. The Secretary. The Secretary shall attend all
meetings of the Trustees and all meetings of the Shareholders and
record all the proceedings of the meetings of the Shareholders and
of the Trustees in a book to be kept for that purpose, and shall
perform like duties for the standing committees when required. He
or she shall give, or cause to be given, notice of all meetings of the
Shareholders and special meetings of the Trustees, and shall
perform such other duties and have such powers as the Trustees, or
the President, may from time to time prescribe. He or she shall
keep in safe custody the seal of the Trust and affix or cause the
same to be affixed to any instrument requiring it, and, when so
affixed, it shall be attested by his or her signature or by the
signature of an Assistant Secretary.
Section 6.10. The Assistant Secretaries. The Assistant Secretary,
or, if there be more than one, the Assistant Secretaries in the order
determined by the Trustees or the President, shall, in the absence
or disability of the Secretary, perform the duties and exercise the
powers of the Secretary and shall perform such duties and have
such other powers as the Trustees or the President may from time
to time prescribe.
Section 6.11. The Treasurer. The Treasurer shall be the chief
financial officer, principal accounting officer and principal
financial officer of the Trust. He or she shall keep or cause to be
kept full and accurate accounts of receipts and disbursements in
books belonging to the Trust, and he or she shall render to the
Trustees and the President, whenever any of them require it, an
account of his or her transactions as Treasurer and of the financial
condition of the Trust; and he or she shall perform such other
duties and have such other powers as the Trustees, or the President
may from time to time prescribe.
Section 6.12. The Deputy Treasurers. The Deputy Treasurer, or,
if there shall be more than one, the Deputy Treasurers in the order
determined by the Trustees, the President or the Treasurer, shall, in
the absence or disability of the Treasurer or at the discretion of the
Treasurer, perform the duties and exercise the powers of the
Treasurer and shall perform such other duties and have such other
powers as the Trustees, or the President, may from time to time
prescribe.
Section 6.13. The Assistant Treasurers. The Assistant Treasurer,
or, if there shall be more than one, the Assistant Treasurers in the
order determined by the Trustees, the President or the Treasurer,
shall perform certain duties of the Treasurer which the Trustees,
the President, the Treasurer or the Deputy Treasurer, may from
time to time prescribe, including, but not limited to, acting as an
authorized signer of the Trust.
Section 6.14 Chief Compliance Officer. The Chief Compliance
Officer ("CCO") shall perform the functions of the Trust's chief
compliance officer as described in Rule 38a-1 under the 1940 Act.
The CCO shall have primary responsibility for administering the
Trust's compliance policies and procedures adopted pursuant to
Rule 38a-1 (the "Compliance Program") and reviewing the
Compliance Program, in the manner specified in Rule 38a-1, at
least annually, or as may be required by Rule 38a-1 as such rule
may be amended from time to time. The CCO shall report directly
to the Independent Trustees regarding the Compliance Program.
Section 6.15 Other Officers. The Code of Ethics Compliance
Officer, AML Compliance Officer and Code of Conduct
Compliance Officer shall each perform such duties as may be
outlined from time to time in the Trust's Code of Ethics, Anti-
Money Laundering ("AML") Procedures and Code of Conduct,
respectively, including receiving such reports as may be required
under such documents and making such reports to the Board of
Trustees of the Trust with respect to compliance under such Code
of Ethics, AML Procedures and Code of Conduct.
Section 6.16. Delegation of Duties. Whenever an officer is
absent or disabled, or whenever for any reason the Trustees may
deem it desirable, the Trustees may delegate the powers and duties
of an officer or officers to any other officer or officers or to any
Trustee or Trustees.
ARTICLE VII
Dividends and Distributions
Subject to any applicable provisions of law and the Declaration,
dividends and distributions upon the Shares may be declared at
such intervals as the Trustees may determine, in cash, in securities
or other property, or in Shares, from any sources permitted by law,
all as the Trustees shall from time to time determine.
Inasmuch as the computation of net income and net profits from
the sales of securities or other properties for federal income tax
purposes may vary from the computation thereof on the records of
the Trust, the Trustees shall have power, in their discretion, to
distribute as income dividends and as capital gain distributions,
respectively, amounts sufficient to enable the Trust to avoid or
reduce liability for federal income taxes.
ARTICLE VIII
Certificates of Shares
Section 8.1. Certificates of Shares. Certificates for Shares of
each series or class of Shares shall be in such form and of such
design as the Trustees shall approve, subject to the right of the
Trustees to change such form and design at any time or from time
to time, and shall be entered in the records of the Trust as they are
issued. Each such certificate shall bear a distinguishing number;
shall exhibit the holder's name and certify the number of full
Shares owned by such holder; shall be signed by or in the name of
the Trust by the President, or a Vice President, and countersigned
by the Secretary or an Assistant Secretary or the Treasurer, a
Deputy Treasurer or an Assistant Treasurer of the Trust; shall be
sealed with the seal; and shall contain such recitals as may be
required by law. Where any certificate is signed by a Transfer
Agent or by a Registrar, the signature of such officers and the seal
may be facsimile, printed or engraved. The Trust may, at its
option, determine not to issue a certificate or certificates to
evidence Shares owned of record by any Shareholder.
In case any officer or officers who shall have signed, or whose
facsimile signature or signatures shall appear on, any such
certificate or certificates shall cease to be such officer or officers of
the Trust, whether because of death, resignation or otherwise,
before such certificate or certificates shall have been delivered by
the Trust, such certificate or certificates shall, nevertheless, be
adopted by the Trust and be issued and delivered as though the
person or persons who signed such certificate or certificates or
whose facsimile signature or signatures shall appear therein had
not ceased to be such officer or officers of the Trust.
No certificate shall be issued for any Share until such Share is fully
paid.
Section 8.2. Lost, Stolen, Destroyed and Mutilated Certificates.
The Trustees may direct a new certificate or certificates to be
issued in place of any certificate or certificates theretofore issued
by the Trust alleged to have been lost, stolen or destroyed, upon
satisfactory proof of such loss, theft, or destruction; and the
Trustees may, in their discretion, require the owner of the lost,
stolen or destroyed certificate, or his or her legal representative, to
give to the Trust and to such Registrar, Transfer Agent and/or
Transfer Clerk as may be authorized or required to countersign
such new certificate or certificates, a bond in such sum and of such
type as they may direct, and with such surety or sureties, as they
may direct, as indemnity against any claim that may be against
them or any of them on account of or in connection with the
alleged loss, theft or destruction of any such certificate.
ARTICLE IX
Custodian
Section 9.1. Appointment and Duties. The Trust shall at times
employ a bank or trust company having capital, surplus and
undivided profits of at least five million dollars ($5,000,000) as
custodian with authority as its agent, but subject to such
restrictions, limitations and other requirements, if any, as may be
contained in these Bylaws and the 1940 Act:
(1) to receive and hold the securities owned by the
Trust and deliver the same upon written or
electronically transmitted order;
(2) to receive and hold any monies due to the Trust and
deposit the same in its own banking department or
elsewhere as the Trustees may direct;
(3) to disburse such funds upon orders or vouchers;
all upon such basis of compensation as may be agreed upon
between the Trustees and the custodian. If so directed by a
Majority Shareholder Vote, the custodian shall deliver and pay
over all property of the Trust held by it as specified in such vote.
The Trustees may also authorize the custodian to employ one or
more sub-custodians from time to time to perform such of the acts
and services of the custodian and upon such terms and conditions
as may be agreed upon between the custodian and such sub-
custodian and approved by the Trustees.
Section 9.2. Central Certificate System. Subject to such rules,
regulations and orders as the Commission may adopt, the Trustees
may direct the custodian to deposit all or any part of the securities
owned by the Trust in a system for the central handling of
securities established by a national securities exchange or a
national securities association registered with the Commission
under the Securities Exchange Act of 1934, or such other person as
may be permitted by the Commission, or otherwise in accordance
with the 1940 Act, pursuant to which system all securities of any
particular class or series of any issuer deposited within the system
are treated as fungible and may be transferred or pledged by
bookkeeping entry without physical delivery of such securities,
provided that all such deposits shall be subject to withdrawal only
upon the order of the Trust.
ARTICLE X
Waiver of Notice
Whenever any notice of the time, place or purpose of any meeting
of Shareholders, Trustees, or of any committee is required to be
given in accordance with law or under the provisions of the
Declaration or these Bylaws, a waiver thereof in writing, signed by
the person or persons entitled to such notice and filed with the
records of the meeting, whether before or after the holding thereof,
or actual attendance at the meeting of Shareholders, Trustees or
committee, as the case may be, in person, shall be deemed
equivalent to the giving of such notice to such person.
ARTICLE XI
Miscellaneous
Section 11.1. Location of Books and Records. The books and
records of the Trust may be kept outside The Commonwealth of
Massachusetts at such place or places as the Trustees may from
time to time determine, except as otherwise required by law.
Section 11.2. Record Date. The Trustees may fix in advance a
date as the record date for the purpose of determining the
Shareholders entitled to (i) receive notice of, or to vote at, any
meeting of Shareholders, or (ii) receive payment of any dividend
or the allotment of any rights, or in order to make a determination
of Shareholders for any other proper purpose. The record date, in
any case, shall not be more than one hundred eighty (180) days,
and in the case of a meeting of Shareholders not less than ten (10)
days, prior to the date on which such meeting is to be held or the
date on which such other particular action requiring determination
of Shareholders is to be taken, as the case may be. In the case of a
meeting of Shareholders, the meeting date set forth in the notice to
Shareholders accompanying the proxy statement shall be the date
used for purposes of calculating the 180 day or 10 day period, and
any adjourned meeting may be reconvened without a change in
record date. In lieu of fixing a record date, the Trustees may
provide that the transfer books shall be closed for a stated period
but not to exceed, in any case, twenty (20) days. If the transfer
books are closed for the purpose of determining Shareholders
entitled to notice of a vote at a meeting of Shareholders, such
books shall be closed for at least ten (10) days immediately
preceding the meeting.
Section 11.3. Seal. The Trustees shall adopt a seal, which shall
be in such form and shall have such inscription thereon as the
Trustees may from time to time provide. The seal of the Trust may
be affixed to any document, and the seal and its attestation may be
lithographed, engraved or otherwise printed on any document with
the same force and effect as if it had been imprinted and attested
manually in the same manner and with the same effect as if done
by a Massachusetts business corporation under Massachusetts law.
Section 11.4. Fiscal Year. The fiscal year of the Trust shall end
on such date as the Trustees may by resolution specify, and the
Trustees may by resolution change such date for future fiscal years
at any time and from time to time.
Section 11.5. Orders for Payment of Money. All orders or
instructions for the payment of money of the Trust, and all notes or
other evidences of indebtedness issued in the name of the Trust,
shall be signed by such officer or officers or such other person or
persons as the Trustees may from time to time designate, or as may
be specified in or pursuant to the agreement between the Trust and
the bank or trust company appointed as Custodian of the securities
and funds of the Trust.
ARTICLE XII
Compliance with Federal Regulations
The Trustees are hereby empowered to take such action as they
may deem to be necessary, desirable or appropriate so that the
Trust is or shall be in compliance with any federal or state statute,
rule or regulation with which compliance by the Trust is required.
ARTICLE XIII
Amendments
These Bylaws may be amended, altered, or repealed, or new
Bylaws may be adopted, (a) by a Majority Shareholder Vote, or (b)
by the Trustees; provided, however, that no Bylaw may be
amended, adopted or repealed by the Trustees if such amendment,
adoption or repeal requires, pursuant to law, the Declaration, or
these Bylaws, a vote of the Shareholders. The Trustees shall in no
event adopt Bylaws which are in conflict with the Declaration, and
any apparent inconsistency shall be construed in favor of the
related provisions in the Declaration.
ARTICLE XIV
Declaration of Trust
The Declaration of Trust establishing the Trust, dated October 23,
1998, as amended, a copy of which, together with all amendments
thereto, is on file in the office of the Secretary of The
Commonwealth of Massachusetts, provides that the name The
Select Sector SPDR(r) Trust refers to the Trustees under the
Declaration collectively as Trustees, but not as individuals or
personally; and no Trustee, Shareholder, officer, employee or
agent of The Select Sector SPDR(r) Trust shall be held to any
personal liability, nor shall resort be had to their private property
for the satisfaction of any obligation or claim or otherwise, in
connection with the affairs of said The Select Sector SPDR(r) Trust,
but the Trust Property, or the Property of one or more specific
series of the Trust if a claim arises with respect to only such series,
only shall be liable.
Amended and Restated: September 14, 2015
1
AMENDMENT NO. 2
TO THE AMENDED AND
RESTATED
DECLARATION OF TRUST
OF
THE SELECT SECTOR
SPDR TRUST
The undersigned
Secretary of the Select Sector
SPDR Trust, a Massachusetts
business trust (the Trust),
does hereby certify that the
Trustees of the Trust, acting
pursuant to Article VI, Section
6.9 of the Trusts Amended and
Restated Declaration of Trust
dated October 23, 1998, as
amended, executed the written
instrument attached hereto as
Exhibit A and that the said
written instrument continues in
full force and effect as of the
date hereof.
WITNESS my hand this 4th day
of January, 2016.
/s/ Jesse
D. Hallee
Jesse
D. Hallee
Secretary
Exhibit A
SELECT SECTOR SPDR
TRUST
Written Instrument
Establishing New Series of
the Trust
The undersigned, a
majority of the Trustees of
the Select Sector SPDR
Trust (the Trust), pursuant
to Section 6.9 of Article VI
of the amended and restated
Declaration of Trust dated
October 23, 1998 (the
Declaration of Trust), do
hereby establish and
designate the following
Series of the Trust, which
shall have the relative rights,
preferences, voting powers,
restrictions, limitations as to
dividends, qualifications, and
terms and conditions of
redemption as the other
Series of the Trust and as
otherwise provided in the
Declaration of Trust:
The Financial Services Select
Sector SPDR Fund
The Real Estate Select Sector
SPDR Fund
IN WITNESS
WHEREOF, the undersigned
have this 6th day of October,
2015 signed these presents.
/s/ Cheryl Burgermeister
/s/
George R. Gaspari
Cheryl Burgermeister
George
R. Gaspari
/s/ Ernest J. Scalberg
/s/ R.
Charles Tschampion
Ernest J. Scalberg
R.
Charles Tschampion
/s/ James Ross
/s/
Ashley T. Rabun
James Ross
Ashley
T. Rabun
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