मूलभूत आँकड़े
| LEI | 529900MBZK3SLWK8SJ55 |
| CIK | 1608016 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Healius Limited
SEC Filings (Chronological Order)
यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।
| November 26, 2024 |
As filed with the Securities and Exchange Commission on November 26, 2024 Securities Act File No. |
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| November 26, 2024 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit (n) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N2/A of Palmer Square Opportunistic Income Fund and to the use of our report dated September 27, 2024 on the financial statements and financial highlights of the Palmer Square Opportunistic Income Fund. |
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| November 26, 2024 |
PALMER SQUARE OPPORTUNISTIC INCOME FUND POWER OF ATTORNEY Exhibit (s) PALMER SQUARE OPPORTUNISTIC INCOME FUND POWER OF ATTORNEY KNOWN ALL BY THESE PRESENT, that the person(s) whose signature appears below constitutes and appoints each of the following individually: Rita Dam Diane Drake Scott Betz Stacy Brice to act as attorney-in-fact and agent, with power of substitution and resubstitution, for the undersigned in any and all capacities to execute any an |
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| November 28, 2023 |
PALMER SQUARE OPPORTUNISTIC INCOME FUND SECOND AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENT THIS SECOND AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is dated as of August 17, 2023, by and between Palmer Square Opportunistic Income Fund, a Delaware statutory trust (the “Fund”) and the investment advisor of the Fund, Palmer Square Capital Management LLC (the “Advisor”). |
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| November 28, 2023 |
PALMER SQUARE OPPORTUNISTIC INCOME FUND POWER OF ATTORNEY PALMER SQUARE OPPORTUNISTIC INCOME FUND POWER OF ATTORNEY KNOWN ALL BY THESE PRESENT, that the person(s) whose signature appears below constitutes and appoints each of the following individually: Rita Dam Diane Drake Scott Betz Stacy Brice to act as attorney-in-fact and agent, with power of substitution and resubstitution, for the undersigned in any and all capacities to execute any and all docume |
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| November 28, 2023 |
As filed with the Securities and Exchange Commission on November 28, 2023 Securities Act File No. |
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| November 28, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N2/A of Palmer Square Opportunistic Income Fund and to the use of our report dated September 29, 2023 on the financial statements and financial highlights of the Palmer Square Opportunistic Income Fund. |
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| May 17, 2023 |
Morgan, Lewis & Bockius LLP 1111 Pennsylvania Avenue, NW Washington, DC 20004 Via EDGAR Correspondence May 17, 2023 Ms. |
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| December 27, 2022 |
NPORT-EX 2 fp0081341-1nportex.htm PART F Palmer Square Opportunistic Income Fund CONSOLIDATED SCHEDULE OF INVESTMENTS As of October 31, 2022 (Unaudited) Principal Amount1 Value BANK LOANS — 27.9% 519,996 Abe Investment Holdings, Inc. 6.125% (3-Month USD Libor+450 basis points), 2/19/20262,3,4 $ 517,802 746,173 Acrisure LLC 6.615% (1-Month USD Libor+350 basis points), 2/15/20272,3,4 694,874 748,111 |
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| November 22, 2022 |
PALMER SQUARE OPPORTUNISTIC INCOME FUND POWER OF ATTORNEY KNOWN ALL BY THESE PRESENT, that the person(s) whose signature appears below constitutes and appoints each of the following individually: Rita Dam Diane Drake Scott Betz Stacy Brice to act as attorney-in-fact and agent, with power of substitution and resubstitution, for the undersigned in any and all capacities to execute any and all docume |
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| November 22, 2022 |
As filed with the Securities and Exchange Commission on November 22, 2022 Securities Act File No. |
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| November 22, 2022 |
Consent of Independent Registered Public Accounting Firm – EX-99.25 2 fp0080748-1ex9925n.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N2/A of Palmer Square Opportunistic Income Fund and to the use of our report dated September 29, 2022 on the financial statements and financial highlights of the Palmer Square Opportunistic Income F |
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| June 28, 2022 |
NPORT-EX 2 fp0077071nportex.htm PART F Palmer Square Opportunistic Income Fund SCHEDULE OF INVESTMENTS As of April 30, 2022 (Unaudited) Principal Amount1 Value BANK LOANS — 8.3% 492,283 Abe Investment Holdings, Inc. 4.625% (3-Month USD Libor+450 basis points), 2/19/20262,3,4 $ 491,156 500,000 AI Aqua Merger Sub, Inc. 4.500% (1-Month Term SOFR+400 basis points), 7/30/20282,3,4,5,6 493,335 500,000 A |
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| December 23, 2021 |
NPORT-EX 2 fp0071258nportex.htm Palmer Square Opportunistic Income Fund SCHEDULE OF INVESTMENTS As of October 31, 2021 (Unaudited) Principal Amount1 Value BANK LOANS — 10.9% 494,856 Abe Investment Holdings, Inc. 4.625% (3-Month USD Libor+450 basis points), 2/19/20262,3,4 $ 495,989 256,750 Alterra Mountain Co. 4.000% (1-Month USD Libor+350 basis points), 8/17/20282,3,4 256,654 201,022 American Cons |
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| November 24, 2021 |
Amended and Restated Operating Expenses Limitation Agreement dated August 24, 2016 – filed herewith. PALMER SQUARE OPPORTUNISTIC INCOME FUND FIRST AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENT THIS FIRST AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENT (the ?Agreement?) is effective as of August 24, 2016, by and between Palmer Square Opportunistic Income Fund, a Delaware statutory trust (the ?Fund?) and the investment advisor of the Fund, Palmer Square Capital Management LLC (the ?Advisor?). |
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| November 24, 2021 |
Consent of Independent Registered Public Accounting Firm – filed herewith CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N2/A of Palmer Square Opportunistic Income Fund and to the use of our report dated September 29, 2021 on the financial statements and financial highlights of the Palmer Square Opportunistic Income Fund. |
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| November 24, 2021 |
INVESTMENT ADVISORY AGREEMENT BETWEEN PSOIX FUNDING I LLC AND PALMER SQUARE CAPITAL MANAGEMENT LLC THIS INVESTMENT ADVISORY AGREEMENT (the ?Agreement?), dated as of , 20, is entered into by and between PSOIX Funding I LLC, a Delaware Limited Liability Company (the ?Fund?), and Palmer Square Capital Management LLC, a Delaware Limited Liability Company (the ?Advisor?). |
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| November 24, 2021 |
Distribution Agreement dated October 1, 2021 – filed herewith. Distribution Agreement THIS DISTRIBUTION AGREEMENT (?Agreement?), effective as of the closing of the Transaction (as defined below) (the ?Closing Date?), is by and between Foreside Fund Services, LLC (the ?Distributor?) and Palmer Square Opportunistic Income Fund (the ?Fund?). |
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| November 24, 2021 |
Amended and Restated Agreement and Declaration of Trust of Registrant – filed herewith. AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF PALMER SQUARE OPPORTUNISTIC INCOME FUND A Delaware Statutory Trust November 7, 2018 TABLE OF CONTENTS Article 1 THE TRUST 1 Section 1. |
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| November 24, 2021 |
Registrant’s Bylaws – filed herewith. PALMER SQUARE OPPORTUNISTIC INCOME FUND BY-LAWS These are the By-Laws of Palmer Square Opportunistic Income Fund, a statutory trust established under the laws of the State of Delaware, pursuant to the Declaration made the 1st day of May, 2014, and a Certificate of Trust, as amended, filed in the office of the Secretary of State pursuant to Section 3810 of the Delaware Statutory Trust Act, Title 12, Chapter 38 of the Delaware Code. |
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| November 24, 2021 |
PALMER SQUARE OPPORTUNISTIC INCOME FUND POWER OF ATTORNEY KNOWN ALL BY THESE PRESENT, that the person(s) whose signature appears below constitutes and appoints each of the following individually: Rita Dam Diane Drake Scott Betz Stacy Brice Jeffrey Fox to act as attorney-in-fact and agent, with power of substitution and resubstitution, for the undersigned in any and all capacities to execute any an |
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| November 24, 2021 |
Distribution Agreement dated August 15, 2014 – filed herewith EX-99.25.H.1 6 fp0070423ex9925h1.htm DISTRIBUTION AGREEMENT THIS AGREEMENT is made and entered into as of this 15th day of August, 2014, by and among each of the Funds listed on Exhibit A attached hereto (each a Fund, and together, the "Funds") and Foreside Fund Services, LLC, a Delaware limited liability company (the "Distributor"). WHEREAS, each Fund is registered under the Investment Company Ac |
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| November 24, 2021 |
INVESTMENT ADVISORY AGREEMENT BETWEEN PALMER SQUARE OPPORTUNISTIC INCOME FUND AND Palmer Square Capital Management llc THIS INVESTMENT ADVISORY AGREEMENT (the ?Agreement?), dated as of December 31, 2018, between Palmer Square Opportunistic Income Fund, a Delaware statutory trust (the ?Fund?) and Palmer Square Capital Management LLC, a Delaware Limited Liability Company (the ?Advisor?). |
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| November 24, 2021 |
As filed with the Securities and Exchange Commission on November 24, 2021 Securities Act File No. |
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| November 24, 2021 |
Dealer Agreement dated December 29, 2020 – filed herewith. FORESIDE FUND SERVICES, LLC DEALER AGREEMENT Re: Palmer Square Opportunistic Income Fund Date: December 29, 2020 Ladies and Gentlemen: As the distributor of the shares (?Shares?) of each investment company portfolio (?Fund?), of the investment company or companies referenced above and set forth on Appendix A (collectively, ?Company?) which may be amended by us from time to time, Foreside Fund Services, LLC (?Distributor?) hereby invites you to participate in the selling group on the following terms and conditions. |
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| November 24, 2021 |
Amended and Restated Shareholder Servicing Plan dated November 4, 2015 – filed herewith EX-99.25.K.5 10 fp0070423ex9925k5.htm PALMER SQUARE OPPORTUNISTIC INCOME FUND AMENDED AND RESTATED SHAREHOLDER SERVICE PLAN WHEREAS: Palmer Square Opportunistic Income Fund (the “Fund”) is registered as a closed-end investment company under the Investment Company Act of 1940, as amended (the “Act”); and The Fund desires to adopt a Plan to provide for shareholder servicing for the benefit of the Fu |
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| November 22, 2021 |
Beau Yanoshik Partner +1.202.373.6133 [email protected] via EDGAR Correspondence November 22, 2021 Ms. Anu Dubey Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Palmer Square Opportunistic Income Fund (the “Fund” or “Registrant”); SEC File Nos. 333-196094 and 811-22969; Post-Effective Amendment No. 8 to the Registr |
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| September 29, 2021 |
As filed with the Securities and Exchange Commission on September 29, 2021 Securities Act File No. |
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| June 25, 2021 |
Palmer Square Opportunistic Income Fund SCHEDULE OF INVESTMENTS As of April 30, 2021 (Unaudited) Principal Amount Value BANK LOANS — 12. |
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| December 28, 2020 |
Palmer Square Opportunistic Income Fund Palmer Square Opportunistic Income Fund SCHEDULE OF INVESTMENTS As of October 31, 2020 (Unaudited) Principal Amount Value BANK LOANS — 10. |
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| November 24, 2020 |
As filed with the Securities and Exchange Commission on November 24, 2020 Securities Act File No. |
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| November 24, 2020 |
Consent of independent registered public accountants is filed herewith. CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N2/A of Palmer Square Opportunistic Income Fund and to the use of our report dated September 29, 2020 on the financial statements and financial highlights of the Palmer Square Opportunistic Income Fund. |
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| June 26, 2020 |
Palmer Square Opportunistic Income Fund Palmer Square Opportunistic Income Fund SCHEDULE OF INVESTMENTS As of April 30, 2020 (Unaudited) Principal Amount Value BANK LOANS — 11. |
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| May 1, 2020 |
Consent of independent registered public accountants is filed herewith. CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N2/A of Palmer Square Opportunistic Income Fund and to the use of our report dated September 30, 2019 on the financial statements and financial highlights of the Palmer Square Opportunistic Income Fund. |
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| May 1, 2020 |
486BPOS 1 fp0053495486bpos.htm As filed with the Securities and Exchange Commission on April 30, 2020 Securities Act File No. 333-196094 Investment Company Act File No. 811-22969 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 (CHECK APPROPRIATE BOX OR BOXES) [X] REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [ ] Pre-Effective Amendment No. [X] Post-Effective Amend |
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| May 1, 2020 |
Opinion and consent of counsel, Morgan, Lewis & Bockius LLP (7) April 30, 2020 Palmer Square Opportunistic Income Fund 1900 Shawnee Mission Parkway Suite 315 Mission Woods, Kansas 66205 Re: Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as counsel to Palmer Square Opportunistic Income Fund, a Delaware statutory trust (the “Fund”), in connection with Post-Effective Amendment No. |
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| December 30, 2019 |
EX-99.CERT 2 fp0048740ex99cert.htm CERTIFICATION I, Christopher D. Long, certify that: 1. I have reviewed this report on Form N-Q of the Palmer Square Opportunistic Income Fund. 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statemen |
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| December 30, 2019 |
PSOIX / Palmer Square Opportunistic Income Fund N-Q - Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22969 Palmer Square Opportunistic Income Fund (Exact name of registrant as specified in charter) 1900 Shawnee Mission Parkway Suite 315 Mission Woods, KS 66205 (Address of principal executive off |
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| November 27, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.25.2.N 2 fp0048008ex99252n.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N2/A of Palmer Square Opportunistic Income Fund and to the use of our report dated September 30, 2019 on the financial statements and financial highlights of the Palmer Square Opportunistic Incom |
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| November 27, 2019 |
PSOIX / Palmer Square Opportunistic Income Fund 486BPOS - - 486BPOS 1 fp0048008486bpos.htm As filed with the Securities and Exchange Commission on November 27, 2019 Securities Act File No. 333-196094 Investment Company Act File No. 811-22969 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 (CHECK APPROPRIATE BOX OR BOXES) [X] REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [ ] Pre-Effective Amendment No. [X] Post-Effective Am |
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| July 1, 2019 |
PSOIX / Palmer Square Opportunistic Income Fund N-Q - Quarterly Schedule of Portfolio Holdings - fp0043615 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22969 Palmer Square Opportunistic Income Fund (Exact name of registrant as specified in charter) 1900 Shawnee Mission Parkway Suite 315 Mission Woods, KS 66205 (Address of principal exe |
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| July 1, 2019 |
CERTIFICATION I, Christopher D. Long, certify that: 1. I have reviewed this report on Form N-Q of the Palmer Square Opportunistic Income Fund. 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
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| December 31, 2018 |
PSOIX / Palmer Square Opportunistic Income Fund N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22969 Palmer Square Opportunistic Income Fund (Exact name of registrant as specified in charter) 1900 Shawnee Mission Parkway Suite 315 Mission Woods, KS 66205 (Address of principal executive off |
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| December 31, 2018 |
CERTIFICATION I, Christopher D. Long, certify that: 1. I have reviewed this report on Form N-Q of the Palmer Square Opportunistic Income Fund. 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
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| November 27, 2018 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.25.2.N 2 fp0037302ex99252n.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N2/A of Palmer Square Opportunistic Income Fund and to the use of our report dated September 28, 2018 on the financial statements and financial highlights of the Palmer Square Opportunistic Incom |
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| November 27, 2018 |
PSOIX / Palmer Square Opportunistic Income Fund 486BPOS As filed with the Securities and Exchange Commission on November 27, 2018 Securities Act File No. |
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| November 9, 2018 |
PSOIX / Palmer Square Opportunistic Income Fund DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for use of the Commission only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [X] Soliciting Material Pursuant to §240. |
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| November 9, 2018 |
PSOIX / Palmer Square Opportunistic Income Fund DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for use of the Commission only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| November 9, 2018 |
PSOIX / Palmer Square Opportunistic Income Fund CORRESP PALMER SQUARE OPPORTUNISTIC INCOME FUND 2000 Shawnee Mission Parkway, Suite 300 Mission Woods, Kansas 66205 VIA EDGAR November 9, 2018 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Division of Investment Management Re: Palmer Square Opportunistic Income Fund –File Nos. |
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| November 8, 2018 |
PSOIX / Palmer Square Opportunistic Income Fund CORRESP PALMER SQUARE OPPORTUNISTIC INCOME FUND 2000 Shawnee Mission Parkway, Suite 300 Mission Woods, Kansas 66205 VIA EDGAR November 8, 2018 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attention: Division of Investment Management Re: Palmer Square Opportunistic Income Fund –File Nos. |
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| October 29, 2018 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for use of the Commission only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| October 29, 2018 |
PALMER SQUARE OPPORTUNISTIC INCOME FUND 2000 Shawnee Mission Parkway, Suite 300 Mission Woods, Kansas 66205 October 29, 2018 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| June 29, 2018 |
CERTIFICATION I, Christopher D. Long, certify that: 1. I have reviewed this report on Form N-Q of the Palmer Square Opportunistic Income Fund. 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
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| June 29, 2018 |
PSOIX / Palmer Square Opportunistic Income Fund N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22969 Palmer Squre Opportunistic Income Fund (Exact name of registrant as specified in charter) 2000 Shawnee Mission Parkway Suite 300 Mission Woods, KS 66205 (Address of principal executive offi |
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| December 29, 2017 |
Palmer Square Opportunistic Income Fund - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22969 Palmer Squre Opportunistic Income Fund (Exact name of registrant as specified in charter) 2000 Shawnee Mission Parkway Suite 300 Mission Woods, KS 66205 (Address of principal executive offi |
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| December 29, 2017 |
EX-99.CERT 2 fp0029898ex99cert.htm CERTIFICATION I, Christopher D. Long, certify that: 1. I have reviewed this report on Form N-Q of the Palmer Square Opportunistic Income Fund. 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statemen |
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| November 22, 2017 |
Code of Ethics of the Advisor. (2), (6) Code of Ethics of Mariner Holdings, LLC and Affiliates (hereinafter referred to as the “Firm”) Adopted by: Mariner Holdings, LLC and Affiliates as of July 1, 2017 TABLE OF CONTENTS CODE OF ETHICS 1 INTRODUCTION 1 DEFINITIONS 1 INSIDER TRADING 4 PROHIBITED PURCHASES, SALES AND PRACTICES 7 REPORTING 8 OUTSIDE BUSINESS ACTIVITIES 11 CONFIDENTIALITY 12 GIFTS AND ENTERTAINMENT 12 SANCTIONS 13 DUTIES OF |
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| November 22, 2017 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N2/A of Palmer Square Opportunistic Income Fund and to the use of our report dated September 29, 2017 on the financial statements and financial highlights of the Palmer Square Opportunistic Income Fund. |
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| November 22, 2017 |
As filed with the Securities and Exchange Commission on November 22, 2017 Securities Act File No. |
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| October 10, 2017 |
PALMER SQUARE OPPORTUNISTIC INCOME FUND 2000 Shawnee Mission Parkway, Suite 300 Mission Woods, Kansas 66205 VIA EDGAR October 9, 2017 Mr. |
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| August 8, 2017 |
PALMER SQUARE OPPORTUNISTIC INCOME FUND 2000 Shawnee Mission Parkway, Suite 300 Mission Woods, Kansas 66205 VIA EDGAR August 8, 2017 Mr. |
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| June 30, 2017 |
PALMER SQUARE OPPORTUNISTIC INCOME FUND 2000 Shawnee Mission Parkway, Suite 300 Mission Woods, Kansas 66205 VIA EDGAR June 30, 2017 Mr. |
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| June 29, 2017 |
Palmer Square Opportunistic Income Fund - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22969 Palmer Squre Opportunistic Income Fund (Exact name of registrant as specified in charter) 2000 Shawnee Mission Parkway Suite 300 Mission Woods, KS 66205 (Address of principal executive offi |
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| June 29, 2017 |
EX-99.CERT 2 fp0026403ex99cert.htm CERTIFICATION I, Christopher D. Long, certify that: 1. I have reviewed this report on Form N-Q of the Palmer Square Opportunistic Income Fund. 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statemen |
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| June 23, 2017 |
PALMER SQUARE OPPORTUNISTIC INCOME FUND 2000 Shawnee Mission Parkway, Suite 300 Mission Woods, Kansas 66205 VIA EDGAR June 23, 2017 Mr. |
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| December 30, 2016 |
Palmer Square Opportunistic Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22969 Palmer Squre Opportunistic Income Fund (Exact name of registrant as specified in charter) 2000 Shawnee Mission Parkway Suite 300 Mission Woods, KS 66205 (Address of principal executive offi |
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| December 30, 2016 |
CERTIFICATION I, Christopher D. Long, certify that: 1. I have reviewed this report on Form N-Q of the Palmer Square Opportunistic Income Fund. 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
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| November 22, 2016 |
EX-99.25.2.S 8 fp0022750ex99252s.htm PALMER SQUARE OPPORTUNISTIC INCOME FUND POWER OF ATTORNEY KNOWN ALL BY THESE PRESENT, that the person(s) whose signature appears below constitutes and appoints each of the following individually: Rita Dam Anne Dorian Diane Drake Christopher Long Brooke Condie to act as attomey-in·fact and agent, with power of substitution and resubstitution, for the undersigned |
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| November 22, 2016 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.25.2.N 6 fp0022750ex99252n.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N2/A of Palmer Square Opportunistic Income Fund and to the use of our report dated September 29, 2016 on the financial statements and financial highlights of the Palmer Square Opportunistic Incom |
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| November 22, 2016 |
Form of Amended and Restated Shareholder Servicing Plan.(5) PALMER SQUARE OPPORTUNISTIC INCOME FUND FORM OF AMENDED AND RESTATED SHAREHOLDER SERVICE PLAN WHEREAS: Palmer Square Opportunistic Income Fund (the “Fund”) is registered as a closed-end investment company under the Investment Company Act of 1940, as amended (the “Act”); and The Fund desires to adopt a Plan to provide for shareholder servicing for the benefit of the Fund and the beneficial owners (the “Clients”) of the shares of the Fund; and Palmer Square Capital Management, LLC, the investment advisor of the Fund (the “Advisor”) may serve as the Fund’s shareholder servicing agent; NOW, THEREFORE, in consideration of the foregoing, the Fund hereby adopts this Plan, as applicable, for the Shares on the following terms and conditions: 1. |
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| November 22, 2016 |
Form of Amended and Restated Agreement and Declaration of Trust. (5) FORM OF AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF PALMER SQUARE OPPORTUNISTIC INCOME FUND A Delaware Statutory Trust August 24, 2016 TABLE OF CONTENTS Article 1 THE TRUST 1 Section 1. |
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| November 22, 2016 |
As filed with the Securities and Exchange Commission on November 22, 2016 Securities Act File No. |
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| November 22, 2016 |
Form of Amended and Restated Operating Expenses Limitation Agreement.(5) PALMER SQUARE OPPORTUNISTIC INCOME FUND FORM OF FIRST AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENT THIS FIRST AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AGREEMENT (the ?Agreement?) is effective as of August 24, 2016, by and between Palmer Square Opportunistic Income Fund, a Delaware statutory trust (the ?Fund?) and the investment advisor of the Fund, Palmer Square Capital Management LLC (the ?Advisor?). |
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| November 22, 2016 |
Amended and Restated Transfer Agency Agreement (5) EX-99.25.2.K.1.I 3 fp0022750ex99252k1i.htm AMENDED AND RESTATED TRANSFER AGENCY AGREEMENT THIS AMENDED AND RESTATED TRANSFER AGENCY AGREEMENT (the “Agreement”) is made as of this 22nd day of October, 2015, by and between the Palmer Square Opportunistic Income Fund, a Delaware statutory trust (the “Fund”), and UMB Fund Services, Inc., a Wisconsin corporation, its successors and assigns (the “Transf |
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| November 22, 2016 |
Amended Code of Ethics of the Registrant. (5) Compliance Manual – Appendix O.1 PALMER SQUARE OPPORTUNISTIC INCOME FUND CODE OF ETHICS 1. BACKGROUND Rule 17j-1 (the “Rule”) under the Investment Company Act of 1940 (the “Investment Company Act”) requires Palmer Square Opportunistic Income Fund (the “Trust”), as a registered investment company, to adopt a written Code of Ethics. The Rule also requires investment advisers to and principal underwr |
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| June 29, 2016 |
CERTIFICATION I, Gary Henson, certify that: 1. I have reviewed this report on Form N-Q of the Palmer Square Opportunistic Income Fund. 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect t |
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| June 29, 2016 |
Palmer Square Opportunistic Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22969 Palmer Square Opportunistic Income Fund (Exact name of registrant as specified in charter) 2000 Shawnee Mission Parkway Suite 300 Mission Woods, KS 66205 (Address of principal executive off |
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| December 30, 2015 |
CERTIFICATION I, Gary Henson, certify that: 1. I have reviewed this report on Form N-Q of the Palmer Square Opportunistic Income Fund. 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect t |
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| December 30, 2015 |
Palmer Square Opportunistic Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22969 Palmer Squre Opportunistic Income Fund (Exact name of registrant as specified in charter) 2000 Shawnee Mission Parkway Suite 300 Mission Woods, KS 66205 (Address of principal executive offi |
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| November 25, 2015 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N2/A of Palmer Square Opportunistic Income Fund and to the use of our report dated September 24, 2015 on the financial statements and financial highlights of the Palmer Square Opportunistic Income Fund. |
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| November 25, 2015 |
EX-99.25.2.J 2 fp0016915ex99252j.htm CUSTODY AGREEMENT Dated August 31, 2015 Between UMB BANK, N.A. and PALMER SQUARE OPPORTUNISITC INCOME FUND 1 CUSTODY AGREEMENT This agreement made as of the date first set forth above between UMB Bank, n.a., a national banking association with its principal place of business located in Kansas City, Missouri (hereinafter "Custodian"), and each of the Funds liste |
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| November 25, 2015 |
As filed with the Securities and Exchange Commission on November 25, 2015 Securities Act File No. |
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| June 29, 2015 |
Palmer Square Opportunistic Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22969 Palmer Squre Opportunistic Income Fund (Exact name of registrant as specified in charter) 2000 Shawnee Mission Parkway Suite 300 Mission Woods, KS 66205 (Address of principal executive offi |
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| June 29, 2015 |
CERTIFICATION I, Gary Henson, certify that: 1. I have reviewed this report on Form N-Q of the Palmer Square Opportunistic Income Fund. 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect t |
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| December 30, 2014 |
Palmer Square Opportunistic Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22969 Palmer Squre Opportunistic Income Fund (Exact name of registrant as specified in charter) 2000 Shawnee Mission Parkway Suite 300 Mission Woods, KS 66205 (Address of principal executive offi |
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| December 30, 2014 |
CERTIFICATION I, Gary Henson, certify that: 1. I have reviewed this report on Form N-Q of the Palmer Square Opportunistic Income Fund. 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect t |
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| August 28, 2014 |
PSOIX / Palmer Square Opportunistic Income Fund CORRESP - - Abigail Bertumen Direct Phone: +1.202.373.6095 Direct Fax: +1.202.373.6001 [email protected] August 28, 2014 Anu Dubey Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Palmer Square Opportunistic Income Fund (the “Fund” or “Registrant”) File Nos. 333-196094 and 811-22969 Dear Ms. Dubey: This letter summari |
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| August 28, 2014 |
PSOIX / Palmer Square Opportunistic Income Fund CORRESP - - Palmer Square Opportunistic Income Fund 2000 Shawnee Mission Parkway Suite 300 Mission Woods, Kansas 66205 August 28, 2014 VIA EDGAR U. |
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| July 3, 2014 |
PSOIX / Palmer Square Opportunistic Income Fund CORRESP - - Abigail Bertumen Direct Phone: +1.202.373.6095 Direct Fax: +1.202.373.6001 [email protected] July 3, 2014 Anu Dubey Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Palmer Square Opportunistic Income Fund, 2000 Shawnee Mission Parkway, Suite 300, Mission Woods, KS 66205 (the “Fund” or “Registrant”) File No |
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| May 19, 2014 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940 and in connection with such notific |
