Filed with the Securities and Exchange Commission on July 19, 2022
1933 Act Registration File No. 033-20827
1940 Act Registration File No. 811-05518
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 | [ X ] | ||
Pre-Effective Amendment No. | [ ] | ||
Post-Effective Amendment No. | 292 | [ X ] |
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 | [ X ] | ||
Amendment No. | 297 | [ X ] | |
(Check appropriate box or boxes.)
THE RBB FUND, INC.
(Exact Name of Registrant as Specified in Charter)
615 East Michigan Street |
Milwaukee, Wisconsin 53202 |
(Address of Principal Executive Offices, including Zip Code)
Registrant’s Telephone Number, including Area Code: (609) 731-6256
Copies to:
SALVATORE FAIA | MICHAEL P. MALLOY, ESQUIRE | |
The RBB Fund, Inc. | Faegre Drinker Biddle & Reath LLP | |
615 East Michigan Street | One Logan Square, Suite 2000 | |
Milwaukee, Wisconsin 53202 | Philadelphia, Pennsylvania 19103-6996 |
It is proposed that this filing will become effective (check appropriate box)
[ ] | immediately upon filing pursuant to paragraph (b) |
[ X ] | on August 19, 2022 pursuant to paragraph (b) |
[ ] | 60 days after filing pursuant to paragraph (a)(1) |
[ ] | on (date) pursuant to paragraph (a)(1) |
[ ] | 75 days after filing pursuant to paragraph (a)(2) |
[ ] |
on (date) pursuant to paragraph (a)(2) of Rule 485.
|
If appropriate, check the following box:
[ X ] |
This post-effective amendment designates a new effective date for a previously filed post-effective amendment.
|
EXPLANATORY NOTE
Designation of New Effective Date for Previously Filed Post-Effective Amendment
Post-Effective Amendment No. 289 (the “Amendment”) was filed pursuant to Rule 485(a)(2) under the Securities Act of 1933, as amended (the “1933 Act”), on April 8, 2022 and pursuant to Rule 485(a)(2) would have become effective on June 22, 2022.
Post-Effective Amendment No. 291 was filed pursuant to Rule 485(b)(1)(iii) under the 1933 Act on June 21, 2022 for the sole purpose of extending the date upon which the Amendment was to become effective to July 20, 2022.
This Post-Effective Amendment No. 292 is being filed pursuant to Rule 485(b)(1)(iii) under the 1933 Act for the sole purpose of designating August 19, 2022 as the new date upon which the Amendment shall become effective.
This Post-Effective Amendment No. 292 incorporates by reference the information contained in Parts A, B and C of the Amendment.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended (the “1933 Act”), and the Investment Company Act of 1940, as amended, the Registrant certifies that it meets all of the requirements for effectiveness of this Post-Effective Amendment to its Registration Statement under Rule 485(b) under the 1933 Act and has duly caused this Post-Effective Amendment to its Registration Statement to be signed on its behalf by the undersigned, thereto duly authorized, in the City of Chadds Ford, and Commonwealth of Pennsylvania on July 19, 2022.
THE RBB FUND, INC. | ||
By: /s/ Salvatore Faia | ||
Salvatore Faia | ||
President |
Pursuant to the requirements of the 1933 Act, this Amendment to Registrant’s Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
SIGNATURE | TITLE | DATE | ||
/s/ Salvatore Faia | President (Principal Executive Officer) and Chief Compliance Officer | July 19, 2022 | ||
Salvatore Faia | ||||
/s/ James G. Shaw | Treasurer (Chief Financial | July 19, 2022 | ||
James G. Shaw | Officer) and Secretary | |||
*Julian A. Brodsky | Director | July 19, 2022 | ||
Julian A. Brodsky | ||||
*Gregory P. Chandler | Director | July 19, 2022 | ||
Gregory P. Chandler | ||||
*Lisa A. Dolly | Director | July 19, 2022 | ||
Lisa A. Dolly | ||||
*Nicholas A. Giordano | Director | July 19, 2022 | ||
Nicholas A. Giordano | ||||
*Arnold M. Reichman | Director | July 19, 2022 | ||
Arnold M. Reichman | ||||
*Robert Sablowsky | Director | July 19, 2022 | ||
Robert Sablowsky | ||||
*Brian T. Shea | Director | July 19, 2022 | ||
Brian T. Shea | ||||
*Robert Straniere | Director | July 19, 2022 | ||
Robert Straniere |
*By: | /s/ Salvatore Faia | |
Salvatore Faia | ||
Attorney-in-Fact |
THE RBB FUND, INC.
(the “Company”)
PENN CAPITAL FUNDS TRUST
(the “Trust”)
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 Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, 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: | November 24, 2021 | |
/s/ Julian A. Brodsky | ||
Julian A. Brodsky |
THE RBB FUND, INC.
(the “Company”)
PENN CAPITAL FUNDS TRUST
(the “Trust”)
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 Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, 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: | November 24, 2021 | |
/s/ Gregory P. Chandler | ||
Gregory P. Chandler |
THE RBB FUND, INC.
(the “Company”)
PENN CAPITAL FUNDS TRUST
(the “Trust”)
POWER OF ATTORNEY
Know All Men by These Presents, that the undersigned, Lisa A. Dolly, hereby constitutes and appoints Salvatore Faia, Michael P. Malloy, James G. Shaw, Edward Paz, and Jillian L. Bosmann, her true and lawful attorneys, to execute in her name, place, and stead, in her capacity as Director/Trustee or officer, or both, of the Company and of the Trust, 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 her name and on her 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 she might or could do in person, said acts of said attorneys being hereby ratified and approved.
DATED: | November 24, 2021 | |
/s/ Lisa A. Dolly | ||
Lisa A. Dolly |
THE RBB FUND, INC.
(the “Company”)
PENN CAPITAL FUNDS TRUST
(the “Trust”)
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 Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, 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: | November 29, 2021 | |
/s/ Nicholas A. Giordano | ||
Nicholas A. Giordano |
THE RBB FUND, INC.
(the “Company”)
PENN CAPITAL FUNDS TRUST
(the “Trust”)
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 Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, 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: | December 8, 2021 | |
/s/ Arnold M. Reichman | ||
Arnold M. Reichman |
THE RBB FUND, INC.
(the “Company”)
PENN CAPITAL FUNDS TRUST
(the “Trust”)
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 Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, 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: | November 24, 2021 | |
/s/ Robert Sablowsky | ||
Robert Sablowsky |
THE RBB FUND, INC.
(the “Company”)
PENN CAPITAL FUNDS TRUST
(the “Trust”)
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 Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, 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: | November 29, 2021 | |
/s/ Brian T. Shea | ||
Brian T. Shea |
THE RBB FUND, INC.
(the “Company”)
PENN CAPITAL FUNDS TRUST
(the “Trust”)
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 Jillian L. Bosmann, his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, 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: | November 29, 2021 | |
/s/ Robert Straniere | ||
Robert Straniere |