DEL AM 1 fp0042080_delam.htm

As filed with the SEC on May 10, 2019

Registration No. 333-230834

 

U.S. SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM N-14

 

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933

 

  /   / Pre-Effective Amendment No. 1   /   / Post-Effective Amendment No.    

 

THE RBB FUND, INC.

(Exact Name of Registrant as Specified in Charter)

 

615 East Michigan Street,

Milwaukee, Wisconsin 53202

(Address of Registrant’s Principal Executive Offices)

 

(609) 731-6256

(Registrant’s Telephone Number, Including Area Code)

 

Salvatore Faia

The RBB Fund, Inc.

615 East Michigan Street

Milwaukee, Wisconsin 53202

(Name and Address of Agent for Service)

 

Copies of all communications to:

 

Michael P. Malloy

Drinker Biddle & Reath LLP

One Logan Square, Suite 2000

Philadelphia, Pennsylvania 19103

 

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

 

The Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the Registrant shall file a further amendment which specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933, as amended, or until this Registration Statement shall become effective on such date as the Securities and Exchange Commission, acting pursuant to said Section 8(a), may determine.

 

No filing fee is due because an indefinite number of shares of beneficial interest have been deemed to be registered in reliance on Section 24(f) under the Investment Company Act of 1940, as amended.

 

 

 

EXPLANATORY NOTE

 

This Pre-Effective Amendment No. 1 to the Registrant’s Registration Statement on Form N-14 is being filed for the sole purpose of delaying the effectiveness of the Registrant’s previously filed initial Registration Statement on Form N-14 (File No. 333-230834) which was filed on April 12, 2019. This Pre-Effective Amendment No. 1 incorporates by reference in full the information contained in Parts A, B and C of the initial Registration Statement on Form N-14 as filed with the Commission on April 12, 2019.

 

 

 

 

SIGNATURES

 

As required by the Securities Act of 1933, this Registration Statement has been signed on behalf of the Registrant, in the City of Chadds Ford, and Commonwealth of Pennsylvania, on May 10, 2019.

 

  THE RBB FUND, INC.  
  (Registrant)  
       
  By: /s/ Salvatore Faia  
    Salvatore Faia  
    President  

 

As required by the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.

 

SIGNATURE   TITLE   DATE

 

/s/ Salvatore Faia

 

 

President (Principal Executive Officer) and Chief Compliance Officer

 

 

May 10, 2019

Salvatore Faia      
         
/s/ James G. Shaw   Treasurer (Chief Financial Officer)   May 10, 2019
James G. Shaw   and Secretary    
         
*J. Richard Carnall   Director   May 10, 2019
J. Richard Carnall        
         
*Julian A. Brodsky   Director   May 10, 2019
Julian A. Brodsky        
         
*Arnold M. Reichman   Director   May 10, 2019
Arnold M. Reichman        
         
*Robert Sablowsky   Director   May 10, 2019
Robert Sablowsky        
         
*Robert Straniere   Director   May 10, 2019
Robert Straniere        
         
*Nicholas A. Giordano   Director   May 10, 2019
Nicholas A. Giordano        
         
*Gregory P. Chandler   Director   May 10, 2019
Gregory P. Chandler        
         
*Brian T. Shea   Director   May 10, 2019
Brian T. Shea        

 

*By:  /s/ Salvatore Faia  
   Salvatore Faia  
   Attorney-in-Fact  

 

 

 

 

THE RBB FUND, INC.

 

(the “Company”)

 

POWER OF ATTORNEY

 

Know All Men by These Presents, that the undersigned, Julian A. Brodsky, hereby constitutes and appoints Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Robert Amweg, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director or officer, or both, of the Company, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.

 

DATED: February 16, 2017  
     
  /s/ Julian A. Brodsky  
  Julian A. Brodsky  

 

 

 

THE RBB FUND, INC.

 

(the “Company”)

 

POWER OF ATTORNEY

 

Know All Men by These Presents, that the undersigned, J. Richard Carnall, hereby constitutes and appoints Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Robert Amweg, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director or officer, or both, of the Company, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.

 

DATED: February 16, 2017  
     
  /s/ J. Richard Carnall  
  J. Richard Carnall  

 

 

 

THE RBB FUND, INC.

 

(the “Company”)

 

POWER OF ATTORNEY

 

Know All Men by These Presents, that the undersigned, Nicholas A. Giordano, hereby constitutes and appoints Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Robert Amweg, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director or officer, or both, of the Company, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.

 

DATED: February 16, 2017  
     
  /s/ Nicholas A. Giordano  
  Nicholas A. Giordano  

 

 

 

THE RBB FUND, INC.

 

(the “Company”)

 

POWER OF ATTORNEY

 

Know All Men by These Presents, that the undersigned, Arnold M. Reichman, hereby constitutes and appoints Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Robert Amweg, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director or officer, or both, of the Company, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.

 

DATED: February 16, 2017  
     
  /s/ Arnold M. Reichman  
  Arnold M. Reichman  

 

 

 

THE RBB FUND, INC.

 

(the “Company”)

 

POWER OF ATTORNEY

 

Know All Men by These Presents, that the undersigned, Robert Sablowsky, hereby constitutes and appoints Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Robert Amweg, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director or officer, or both, of the Company, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.

 

DATED: February 16, 2017  
     
  /s/ Robert Sablowsky  
  Robert Sablowsky  

 

 

 

THE RBB FUND, INC.

 

(the “Company”)

 

POWER OF ATTORNEY

 

Know All Men by These Presents, that the undersigned, Robert A. Straniere, hereby constitutes and appoints Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Robert Amweg, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director or officer, or both, of the Company, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.

 

DATED: February 16, 2017  
     
  /s/ Robert Straniere  
  Robert Straniere  

 

 

 

THE RBB FUND, INC.

 

(the “Company”)

 

POWER OF ATTORNEY

 

Know All Men by These Presents, that the undersigned, Gregory P. Chandler, hereby constitutes and appoints Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Robert Amweg, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director or officer, or both, of the Company, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.

 

DATED: February 17, 2017  
     
  /s/ Gregory P. Chandler  
  Gregory P. Chandler  

 

 

 

 

THE RBB FUND, INC.

 

(the “Company”)

 

POWER OF ATTORNEY

 

Know All Men by These Presents, that the undersigned, Brian T. Shea, hereby constitutes and appoints Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Robert Amweg, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director or officer, or both, of the Company, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.

 

DATED: May 10, 2018  
     
  /s/ Brian T. Shea  
  Brian T. Shea