0001410368-16-003243.txt : 20161122
0001410368-16-003243.hdr.sgml : 20161122
20161122163654
ACCESSION NUMBER: 0001410368-16-003243
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161122
DATE AS OF CHANGE: 20161122
EFFECTIVENESS DATE: 20161122
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: 162013598
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
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SIGNATURE LAURA WOODWARD
TITLE TREASURER
EX-99.77B ACCT LTTR
2
hqlnsarletter77b.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, 2016, 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 funds 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 funds 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 fund; (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 fund are being made only in accordance
with authorizations of management and trustees of the fund; and
(3) provide reasonable assurance regarding prevention or timely detection
of unauthorized acquisition, use, or disposition of a funds 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 funds 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, 2016.
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 18, 2016
EX-99.77C VOTES
3
hqlvotingresults.txt
EXHIBIT 77C
An Annual Meeting of Shareholders was held on June 14, 2016.
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
Michael W. Bonney 11,968,029 399,694
Rakesh K. Jain, Ph.D 11,844,277 523,446
Uwe E. Reinhardt, Ph.D. 11,933,510 434,213
Daniel R. Omstead, Ph.D., Rakesh K. Jain, Ph.D. and
Lucinda H. Stebbins, CPA were elected to serve until the
2019 Annual Meeting.
Trustee serving until the 2017 Annual Meeting are
Oleg M. Pohotsky, M.B.A., J.D. and William S. Reardon, CPA.
Trustees serving until the 2018 Annual Meeting are
Daniel R. Omstead, Ph.D. and Lucinda H. Stebbins, CPA.
Shareholders ratified the appointment of Deloitte & Touche LLP as the
independent registered public accountants of the Fund for the fiscal
year ending September 30, 2016 by the following votes:
For Against/Withhold Abstain
11,990,974 213,794 162,955
Shareholders approved the change of the sub-classification of the Fund from
diversified to non-diversified by the following votes:
For Against/Withhold Abstain Broker non-votes
8,882,351 559,862 196,833 2,728,677
Shareholders approved the amendment to the Funds fundamental investment
restriction regarding issuing senior securities by the following votes:
For Against/Withhold Abstain Broker non-votes
8,742,744 678,210 218,091 2,728,677
Shareholders approved the amendment to the Funds fundamental investment
restriction regarding investments in other investment companies by the
following votes:
For Against/Withhold Abstain Broker non-votes
8,595,698 857,310 186,037 2,728,677