0001410368-15-001366.txt : 20151124
0001410368-15-001366.hdr.sgml : 20151124
20151124131357
ACCESSION NUMBER: 0001410368-15-001366
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151124
DATE AS OF CHANGE: 20151124
EFFECTIVENESS DATE: 20151124
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: TEKLA LIFE SCIENCES INVESTORS
CENTRAL INDEX KEY: 0000884121
IRS NUMBER: 043147016
STATE OF INCORPORATION: MA
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: NSAR-B
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-06565
FILM NUMBER: 151251910
BUSINESS ADDRESS:
STREET 1: 100 FEDERAL STREET
STREET 2: 19TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02110
BUSINESS PHONE: 6177728515
MAIL ADDRESS:
STREET 1: 100 FEDERAL STREET
STREET 2: 19TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02110
FORMER COMPANY:
FORMER CONFORMED NAME: H&Q LIFE SCIENCES INVESTORS
DATE OF NAME CHANGE: 19920929
NSAR-B
1
answer.fil
NSAR-B
PAGE 1
000 B000000 09/30/2015
000 C000000 0000884121
000 D000000 N
000 E000000 NF
000 F000000 Y
000 G000000 N
000 H000000 N
000 I000000 6.1
000 J000000 A
001 A000000 TEKLA LIFE SCIENCES INVESTORS
001 B000000 811-6565
001 C000000 6177728500
002 A000000 100 Federal Street, 19th Floor
002 B000000 BOSTON
002 C000000 MA
002 D010000 02110
003 000000 N
004 000000 N
005 000000 N
006 000000 N
007 A000000 N
007 B000000 0
007 C010100 1
008 A000001 TEKLA CAPITAL MANAGEMENT LLC
008 B000001 A
008 C000001 801-000000
008 D010001 BOSTON
008 D020001 MA
008 D030001 02110
010 A000001 STATE STREET BANK AND TRUST CO.
010 B000001 85-85003
010 C010001 BOSTON
010 C020001 MA
010 C030001 02111
012 A000001 COMPUTERSHARE TRUST CO. N.A.
012 B000001 85-113400
012 C010001 CANTON
012 C020001 MA
012 C030001 02021
013 A000001 DELOITTE & TOUCHE LLP
013 B010001 BOSTON
013 B020001 MA
013 B030001 02110
015 A000001 STATE STREET BANK & TRUST CO.
015 B000001 C
015 C010001 BOSTON
015 C020001 MA
015 C030001 02110
015 E010001 X
018 000000 Y
019 A000000 Y
PAGE 2
019 B000000 4
019 C000000 TEKLAFUNDS
020 A000001 J P MORGAN SECURITIES, INC.
020 B000001 13-3224013
020 C000001 75
020 A000002 NATIONAL FINANCIAL SERVICES CORP.
020 B000002 04-2785576
020 C000002 69
020 A000003 BANK OF NEW YORK MELLON
020 B000003 13-5160382
020 C000003 55
020 A000004 MIZUHO CORPORATE BANK LTD.
020 B000004 13-5624234
020 C000004 26
020 A000005 BANK OF AMERICA CORP.
020 B000005 95-4035346
020 C000005 25
020 A000006 PIPER JAFFRAY & CO., INC.
020 B000006 41-0953246
020 C000006 15
020 A000007 WEDBUSH MORGAN SECURITIES, INC.
020 B000007 95-2495390
020 C000007 13
020 A000008 OPPENHEIMER & CO., INC.
020 B000008 13-2527171
020 C000008 13
020 A000009 Wells Fargo Securities, LLC
020 B000009 94-3379992
020 C000009 13
020 A000010 MORGAN STANLEY & CO.
020 B000010 13-2655990
020 C000010 10
021 000000 354
022 A000001 STATE STREET BANK AND TRUST CO.
022 B000001 04-1867445
022 C000001 348480
022 D000001 0
022 A000002 BANK OF NEW YORK MELLON
022 B000002 13-5160382
022 C000002 15438
022 D000002 0
022 A000003 PHT CORPORATION
022 C000003 0
022 D000003 10031
022 A000004 NATIONAL FINANCIAL SERVICES CORP.
022 B000004 04-2785576
022 C000004 8540
022 D000004 0
022 A000005 PIPER JAFFRAY & CO., INC.
022 B000005 41-0953246
022 C000005 7414
PAGE 3
022 D000005 0
022 A000006 ARCA BIOPHARMA
022 C000006 5000
022 D000006 0
022 A000007 GOLDMAN SACHS & CO.
022 B000007 13-5108880
022 C000007 3278
022 D000007 0
022 A000008 JEFFERIES & CO.
022 B000008 95-2622900
022 C000008 2535
022 D000008 0
022 A000009 BANK OF AMERICA CORP.
022 B000009 95-4035346
022 C000009 2270
022 D000009 0
022 A000010 OPPENHEIMER & CO., INC.
022 B000010 13-2527171
022 C000010 2200
022 D000010 0
023 C000000 407585
023 D000000 10686
024 000000 N
025 D000001 0
025 D000002 0
026 A000000 N
026 B000000 Y
026 C000000 N
026 D000000 Y
026 E000000 N
026 F000000 N
026 G010000 N
026 G020000 N
026 H000000 N
027 000000 N
028 A010000 0
028 A020000 0
028 A030000 0
028 A040000 0
028 B010000 0
028 B020000 0
028 B030000 0
028 B040000 0
028 C010000 0
028 C020000 0
028 C030000 0
028 C040000 0
028 D010000 0
028 D020000 0
028 D030000 0
028 D040000 0
PAGE 4
028 E010000 0
028 E020000 0
028 E030000 0
028 E040000 0
028 F010000 0
028 F020000 0
028 F030000 0
028 F040000 0
028 G010000 0
028 G020000 0
028 G030000 0
028 G040000 0
028 H000000 0
030 A000000 0
030 B000000 0.00
030 C000000 0.00
031 A000000 0
031 B000000 0
032 000000 0
033 000000 0
035 000000 0
036 B000000 0
038 000000 0
042 A000000 0
042 B000000 0
042 C000000 0
042 D000000 0
042 E000000 0
042 F000000 0
042 G000000 0
042 H000000 0
043 000000 0
044 000000 0
045 000000 Y
046 000000 N
047 000000 N
048 000000 0.000
048 A010000 0
048 A020000 0.000
048 B010000 0
048 B020000 0.000
048 C010000 0
048 C020000 0.000
048 D010000 0
048 D020000 0.000
048 E010000 0
048 E020000 0.000
048 F010000 0
048 F020000 0.000
048 G010000 0
048 G020000 0.000
PAGE 5
048 H010000 0
048 H020000 0.000
048 I010000 0
048 I020000 0.000
048 J010000 0
048 J020000 0.000
048 K010000 0
048 K020000 0.000
049 000000 N
050 000000 N
051 000000 N
052 000000 N
053 A000000 Y
053 B000000 Y
053 C000000 N
054 A000000 Y
054 B000000 N
054 C000000 Y
054 D000000 N
054 E000000 N
054 F000000 N
054 G000000 N
054 H000000 N
054 I000000 N
054 J000000 Y
054 K000000 N
054 L000000 N
054 M000000 Y
054 N000000 N
054 O000000 N
055 A000000 N
055 B000000 N
056 000000 N
057 000000 N
058 A000000 N
059 000000 Y
060 A000000 Y
060 B000000 Y
061 000000 0
062 A000000 N
062 B000000 0.0
062 C000000 0.0
062 D000000 0.0
062 E000000 0.0
062 F000000 0.0
062 G000000 0.0
062 H000000 0.0
062 I000000 0.0
062 J000000 0.0
062 K000000 0.0
062 L000000 0.0
PAGE 6
062 M000000 0.0
062 N000000 0.0
062 O000000 0.0
062 P000000 0.0
062 Q000000 0.0
062 R000000 0.0
063 A000000 0
063 B000000 0.0
066 A000000 Y
066 B000000 N
066 C000000 Y
066 D000000 N
066 E000000 N
066 F000000 N
066 G000000 N
067 000000 N
068 A000000 N
068 B000000 N
069 000000 N
070 A010000 Y
070 A020000 Y
070 B010000 Y
070 B020000 N
070 C010000 N
070 C020000 N
070 D010000 Y
070 D020000 N
070 E010000 N
070 E020000 N
070 F010000 Y
070 F020000 N
070 G010000 Y
070 G020000 N
070 H010000 Y
070 H020000 N
070 I010000 N
070 I020000 N
070 J010000 Y
070 J020000 Y
070 K010000 Y
070 K020000 Y
070 L010000 Y
070 L020000 Y
070 M010000 Y
070 M020000 Y
070 N010000 Y
070 N020000 N
070 O010000 Y
070 O020000 N
070 P010000 N
070 P020000 N
PAGE 7
070 Q010000 N
070 Q020000 N
070 R010000 Y
070 R020000 N
071 A000000 226040
071 B000000 260643
071 C000000 492063
071 D000000 46
072 A000000 12
072 B000000 374
072 C000000 949
072 D000000 0
072 E000000 0
072 F000000 5319
072 G000000 100
072 H000000 0
072 I000000 59
072 J000000 115
072 K000000 63
072 L000000 43
072 M000000 154
072 N000000 0
072 O000000 0
072 P000000 0
072 Q000000 0
072 R000000 118
072 S000000 142
072 T000000 0
072 U000000 0
072 V000000 0
072 W000000 143
072 X000000 6257
072 Y000000 213
072 Z000000 -4722
072AA000000 89720
072BB000000 0
072CC010000 0
072CC020000 44498
072DD010000 0
072DD020000 0
072EE000000 40251
073 A010000 0.0000
073 A020000 0.0000
073 B000000 2.0900
073 C000000 0.0000
074 A000000 0
074 B000000 20165
074 C000000 0
074 D000000 9928
074 E000000 28640
074 F000000 407571
PAGE 8
074 G000000 0
074 H000000 0
074 I000000 0
074 J000000 1140
074 K000000 0
074 L000000 127
074 M000000 284
074 N000000 467855
074 O000000 4208
074 P000000 470
074 Q000000 0
074 R010000 0
074 R020000 0
074 R030000 0
074 R040000 336
074 S000000 0
074 T000000 462841
074 U010000 19686
074 U020000 0
074 V010000 23.51
074 V020000 0.00
074 W000000 0.0000
074 X000000 206
074 Y000000 0
075 A000000 0
075 B000000 507947
076 000000 22.51
077 A000000 Y
077 B000000 Y
077 Q010000 N
077 Q020000 N
077 Q030000 N
078 000000 N
080 A000000 ICI MUTUAL INSURANCE COMPANY
080 C000000 4050
081 A000000 Y
081 B000000 4
082 A000000 Y
082 B000000 25
083 A000000 N
083 B000000 0
084 A000000 N
084 B000000 0
085 A000000 Y
085 B000000 N
086 A010000 0
086 A020000 0
086 B010000 680
086 B020000 18505
086 C010000 0
086 C020000 0
PAGE 9
086 D010000 0
086 D020000 0
086 E010000 0
086 E020000 0
086 F010000 0
086 F020000 0
087 A010000 TEKLA LIFE SCIENCES INVESTORS
087 A020000 87911K100
087 A030000 HQL
088 A000000 N
088 B000000 N
088 C000000 N
088 D000000 N
SIGNATURE LAURA WOODWARD
TITLE TREASURER
EX-99.77B ACCT LTTR
2
hqlnsaretter77b.txt
EXHIBIT 77B
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Shareholders and Board of Trustees of Tekla Life Sciences Investors
In planning and performing our audit of the financial statements of Tekla
Life Sciences Investors (the Fund) as of and for the year ended
September 30, 2015, in accordance with the standards of the Public Company
Accounting Oversight Board (United States), we considered the Funds internal
control over financial reporting, including controls over safeguarding
securities, as a basis for designing our auditing procedures for the purpose
of expressing our opinion on the financial statements and to comply with the
requirements of Form N-SAR, but not for the purpose of expressing an opinion
on the effectiveness of the Funds internal control over financial reporting.
Accordingly, we express no such opinion.
The management of the Fund is responsible for establishing and maintaining
effective internal control over financial reporting. In fulfilling this
responsibility, estimates and judgments by management are required to assess
the expected benefits and related costs of controls. A companys internal
control over financial reporting is a process designed to provide reasonable
assurance regarding the reliability of financial reporting and the
preparation of financial statements for external purposes in accordance with
generally accepted accounting principles. A companys internal control over
financial reporting includes those policies and procedures that (1) pertain
to the maintenance of records that, in reasonable detail, accurately and
fairly reflect the transactions and dispositions of the assets of the company;
(2) provide reasonable assurance that transactions are recorded as necessary
to permit preparation of financial statements in accordance with generally
accepted accounting principles, and that receipts and expenditures of the
company are being made only in accordance with authorizations of management
and directors of the company; and (3) provide reasonable assurance
regarding prevention or timely detection of unauthorized acquisition, use, or
disposition of a companys assets that could have a material effect on the
financial statements.
Because of its inherent limitations, internal control over financial
reporting may not prevent or detect misstatements. Also, projections of any
evaluation of effectiveness to future periods are subject to the risk that
controls may become inadequate because of changes in conditions or that the
degree of compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the
design or operation of a control does not allow management or employees,
in the normal course of performing their assigned functions, to prevent or
detect misstatements on a timely basis. A material weakness is a deficiency,
or a combination of deficiencies, in internal control over financial reporting,
such that there is a reasonable possibility that a material misstatement of
the companys annual or interim financial statements will not be prevented or
detected on a timely basis.
Our consideration of the Funds internal control over financial reporting was
for the limited purpose described in the first paragraph and would not
necessarily disclose all deficiencies in internal control that might be
material weaknesses under standards established by the Public Company
Accounting Oversight Board (United States). However, we noted no deficiencies
in the Funds internal control over financial reporting and its operation,
including controls for safeguarding securities, that we consider to be a
material weakness, as defined above, as of September 30, 2015.
This report is intended solely for the information and use of management and
the Trustees of Tekla Life Sciences Investors and the Securities and Exchange
Commission and is not intended to be and should not be used by anyone other
than these specified parties.
DELOITTE & TOUCHE LLP
Boston, Massachusetts
November 20, 2015
EX-99.77C VOTES
3
hqlvotingresults77c.txt
EXHIBIT 77C
An Annual Meeting of Shareholders was held on June 4, 2015. Shareholders voted
to elect Trustees of the Fund to hold office for a term of three years or
until their respective successors shall have been duly elected and qualified.
The following votes were cast with respect to each of the nominees:
For withheld
Daniel R. Omstead, Ph.D. 17,189,487 318,236
Rakesh K. Jain, Ph.D. 17,000,165 507,558
Lucinda H. Stebbins, CPA 17,205,537 302,186
Daniel R. Omstead, Ph.D., Rakesh K. Jain, Ph.D. and Lucinda H. Stebbins, CPA
were elected to serve until the 2018 Annual Meeting.
Trustee serving until the 2016 Annual Meeting is Uwe E. Reinhardt, Ph.D.
Trustees serving until the 2017 Annual Meeting are Michael W. Bonney,
Oleg M. Pohotsky and William S. Reardon, CPA.
Shareholders ralified The appointment of Deloitte & Touche LLP as the
independent registered public accountants of the Fund for the fiscal
year ending September 30, 2015 by the following votes:
For Against/withhold Abstain
17,189,059 164,573 154,094