POS EX 1 d582421dposex.htm POST-EFFECTIVE AMENDMENT ADDING EXHIBITS TO REGISTRATION STATEMENT Post-effective amendment adding exhibits to registration statement

As filed with the Securities and Exchange Commission on May 10, 2018.

1933 Act File No. 333-209932

1940 Act File No. 811-23144

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM N-2

 

 

REGISTRATION STATEMENT

UNDER

  THE SECURITIES ACT OF 1933  
  PRE-EFFECTIVE AMENDMENT NO.  
  POST-EFFECTIVE AMENDMENT NO. 1  

REGISTRATION STATEMENT

UNDER

  THE INVESTMENT COMPANY ACT OF 1940  
  AMENDMENT NO. 4  

 

NEXPOINT HEALTHCARE OPPORTUNITIES

FUND

 

 

Principal Executive Offices

300 Crescent Court, Suite 700

Dallas, Texas 75201

(972) 628-4100

 

 

Agent for Service

Dustin Norris

300 Crescent Court, Suite 700

Dallas, Texas 75201

(972) 628-4100

 

 

Copies of information to:

Eric S. Purple, Esq.

Stradley Ronon Stevens & Young, LLP

1250 Connecticut Ave. NW, Suite 500

Washington, DC 20036

Tel: (202) 822-9611

Fax: (202) 822-0140

 

 

Approximate Date of Proposed Public Offering: As soon as practicable after the effective date of this Registration Statement.

If any securities being registered on this form will be offered on a delayed or continuous basis in reliance on Rule 415 under the Securities Act of 1933, other than securities offered in connection with a dividend reinvestment plan, check the following box.    ☒

 

 

 


EXPLANATORY NOTE

This Post-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File Nos. 333-209932 and 811-23144) of NexPoint Healthcare Opportunities Fund (as amended, the “Registration Statement”) is being filed pursuant to Rule 462(d) under the Securities Act of 1933, as amended (the “Securities Act”), solely for the purpose of filing a corrected version of Exhibit (k)(1) to the Registration Statement. No changes have been made to Parts A, B or C of the Registration Statement, other than Item 25(2) of Part C, as set forth below. Accordingly, this Post-Effective Amendment No. 1 consists only of the facing page, this explanatory note and Item 25(2) of the Registration Statement, which sets forth the exhibits to the Registration Statement. Pursuant to Rule 462(d) under the Securities Act, this Post-Effective Amendment No. 1 shall become effective immediately upon filing with the U.S. Securities and Exchange Commission. The contents of the Registration Statement are hereby incorporated by reference.


NEXPOINT HEALTHCARE OPPORTUNITIES FUND

PART C – OTHER INFORMATION

 

Item 25. Financial Statements and Exhibits

1. Financial Statements.

 

Part A: None.

 

Part B: Report of Independent Registered Public Accounting Firm(-)
     Statement of Assets and Liabilities(-)
     Notes to Financial Statements(-)

2. Exhibits

 

(a)    (1)    Agreement and Declaration of Trust(1)
   (2)    Amended and Restated Agreement and Declaration of Trust(2)
(b)       By-Laws(3)
(g)       Investment Advisory Agreement(4)
(h)    (1)    Distribution Agreement(5)
   (2)    Selling Agreement(6)
   (3)    Shareholder Servicing Plan and Agreement(7)
   (4)    Distribution Plan for Class C Shares(8)
(j)       Master Custodian Agreement(9)
(k)    (1)    Expense Limitation and Reimbursement Agreement(10)
   (2)    Master Sub-Administration Agreement(11)
(l)       Opinion and Consent of Counsel(12)
(n)       Consent of Independent Registered Public Accounting Firm(13)
(r)    (1)    Code of Ethics of the Fund(14)
   (2)    Code of Ethics of the Adviser(15)
(s)       Powers of Attorney for Dr. Bob Froehlich, John W. Honis, Timothy K. Hui, Ethan Powell and Bryan A. Ward.(16)
(t)       Power of Attorney for Dustin Norris(17)

 

(-) Incorporated by reference from the Statement of Additional Information to Pre-Effective Amendment No. 3 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on May 7, 2018.
(1) Incorporated by reference from Exhibit (a)(1) to Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on August 12, 2016.
(2) Incorporated by reference from Exhibit (a)(2) to Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on August 12, 2016.
(3) Incorporated by reference from Exhibit (b) to Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on August 12, 2016.
(4) Incorporated by reference from Exhibit (g) to Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on August 12, 2016.
(5) Incorporated by reference from Exhibit (h)(1) to Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on August 12, 2016.
(6) Incorporated by reference from Exhibit (h)(2) to Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on August 12, 2016.
(7) Incorporated by reference from Exhibit (h)(3) to Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on August 12, 2016.
(8) Incorporated by reference from Exhibit (h)(4) to Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on August 12, 2016.
(9) Incorporated by reference from Exhibit (j) to Pre-Effective Amendment No. 3 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on May 7, 2018.
(10) Filed herewith
(11) Incorporated by reference from Exhibit (k)(2) to Pre-Effective Amendment No. 3 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on May 7, 2018.
(12) Incorporated by reference from Exhibit (l) to Pre-Effective Amendment No. 3 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on May 7, 2018.
(13) Incorporated by reference from Exhibit (n) to Pre-Effective Amendment No. 3 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on May 7, 2018.
(14) Incorporated by reference from Exhibit (r)(1) to Pre-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on August 12, 2016.
(15) Incorporated by reference from Exhibit (r)(2) to Pre-Effective Amendment No. 4 to the Registration Statement on Form N-2 (File No. 333-132436) filed by NexPoint Credit Strategies Fund (now known as NexPoint Strategic Opportunities Fund) on June 9, 2006.
(16) Incorporated by reference from Exhibit (s) to the Registration Statement on Form N-2 (File No. 333-210385) filed by NexPoint Distressed Strategies Fund (now known as NexPoint Strategic Income Fund) on March 24, 2016.
(17) Incorporated by reference from Exhibit (t) to Pre-Effective Amendment No. 3 to the Registration Statement on Form N-2 (File No. 333-209932) filed by NexPoint Healthcare Opportunities Fund on May 7, 2018.


SIGNATURES

Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Dallas, State of Texas, on the 10th day of May, 2018.

 

NEXPOINT HEALTHCARE OPPORTUNITIES FUND

By:  

/s/ James Dondero

  James Dondero
 

President

(Principal Executive Officer)

Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed below by the following persons in the capacities indicated on the 10th day of May, 2018.

 

By:  

/s/ James Dondero

  James Dondero
 

President

(Principal Executive Officer)

By:  

/s/ Frank Waterhouse

  Frank Waterhouse
 

Treasurer

(Principal Financial and Accounting Officer)

By:  

/s/ Bob Froehlich*

  Dr. Bob Froehlich
  Trustee
By:  

/s/ John Honis*

  John W. Honis
  Trustee
By:  

/s/ Timothy K. Hui*

  Timothy K. Hui
  Trustee
By:  

/s/ Ethan Powell*

  Ethan Powell
  Chairman of the Board of Trustees
By:  

/s/ Bryan Ward*

  Bryan A. Ward
  Trustee
By:  

/s/ Dustin Norris*

  Dustin Norris
  Trustee and Secretary

 

*By:  

/s/ Frank Waterhouse

  Frank Waterhouse
  Attorney-in-Fact

 

* Pursuant to powers of attorney incorporated by reference herein.