SEC Form POS EX filed by Neuberger Berman High Yield Strategies Fund
Item 25.
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Financial Statements and Exhibits
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(1) |
Financial Statements
Included in Part A:
Registrant’s Financial Highlights for the fiscal years ended October 31, 2023, 2022, 2021, 2020, 2019, 2018, 2017, 2016, 2015 and 2014 are incorporated in
Part A by reference to the Funds’ Annual Report on Form N-CSR for the fiscal year ended October 31, 2018
and Annual Report on Form N-CSR for the fiscal year ended October 31, 2023 as filed with the U.S.
Securities and Exchange Commission (the “SEC”) via EDGAR Accession No. 0000898432-19-000029 on January 7, 2019 and Accession No. 0000898432-24-000025 on January 5, 2024, respectively.
Included in Part B:
Registrant’s Financial Statements are incorporated in Part B by reference to the Fund’s Annual Report on Form N-CSR for the fiscal year ended October 31, 2023 as filed with the SEC via EDGAR Accession
No. 0000898432-24-000025 on January 5, 2024.
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(2) |
Exhibits | |
(a)
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(i)
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(ii)
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(iii)
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(iv)
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(v)
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(vi)
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(vii)
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(b)
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(i)
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(c)
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Not applicable.
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(d)
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(i)
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Articles Sixth, Ninth, Tenth, Eleventh and Thirteenth of the Articles of Incorporation. Incorporated by Reference to Item 2(a) above.
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(ii)
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Articles II, VI and X of the Amended and Restated Bylaws. Incorporated by reference to Item 2(b)(i) above.
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(e)
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(f)
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Not applicable.
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(g)
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(i)
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(ii)
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(h)
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(i)
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(ii)
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(i)
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Not applicable.
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(j)
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(i)
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(ii)
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(k)
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(i)
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(ii)
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(iii)
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(iv)
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(v)
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(vi)
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(vii)
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(l)
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(i)
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(ii)
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Opinion and Consent of K&L Gates LLP. (Filed herewith).
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(m)
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Not applicable.
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(n)
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(o)
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Not applicable.
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(p)
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Not applicable.
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(q)
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Not applicable.
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(r)
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(i)
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(s)
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(t)
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(i)
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(ii)
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Item 26.
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Marketing Arrangements
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Item 27.
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Other Expenses of Issuance and Distribution
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Registration and Filing Fees
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$
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13,921.40
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FINRA Fees
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12,000
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Legal Fees and Expenses
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350,000
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Accounting Fees and Expenses
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7,800
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Miscellaneous Expenses
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114,120
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Total
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$
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497,841.40(1)
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(1) |
Estimate is based on the aggregate estimated expenses to be incurred during a three-year shelf offering period.
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Item 28.
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Persons Controlled by or Under Common Control
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Item 29.
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Number of Holders of Securities
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Title of Class
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Number of
Record Holders
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Shares of Common Stock, par value $0.0001 per share
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16
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Preferred Stock (MRPS Series D)
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1
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Item 30.
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Indemnification
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Item 31.
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Business and Other Connections of Investment Adviser
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NAME
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BUSINESS AND OTHER CONNECTIONS
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Joseph V. Amato
President – Equities and Chief Investment Officer – Equities, NBIA
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Chief Executive Officer and President, Neuberger Berman Holdings LLC (including its predecessor, Neuberger Berman Inc.); President and Director of Neuberger Berman Group LLC; Chief Executive Officer and
President, NB BD LLC; Director/Trustee, twelve registered investment companies for which NBIA acts as investment manager and/or administrator; Chief Executive Officer and President, twelve registered investment companies for which NBIA
acts as investment manager and/or administrator.
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Thanos Bardas
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Ashok Bhatia
Co-Chief Investment Officer - Fixed Income and Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Jennifer Blachford
Senior Vice President, NBIA
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Senior Vice President, NB BD LLC; Portfolio Manager.
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James Bowden
Managing Director, NBIA
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Managing Director, NB BD LLC; Managing Director, NB Alternatives Advisers LLC (“NBAA”).
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Claudia A. Brandon
Senior Vice President, NBIA |
Senior Vice President, NB BD LLC; Executive Vice President and Secretary, thirty-three registered investment companies for which NBIA acts as investment manager and/or administrator.
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Richard N. Bradt
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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David M. Brown
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Chad Bruso
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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John Buser
Managing Director, NBIA
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Managing Director, NB BD LLC; President and Managing Director, NBAA.
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Stephen J. Casey
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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NAME | BUSINESS AND OTHER CONNECTIONS | |
Brad E. Cetron
Chief Compliance Officer, Head of Compliance and Managing Director, NBIA
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Chief Compliance Officer and Managing Director, NB BD LLC.
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Elias Cohen
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Timothy Creedon
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Kai Cui
Managing Director, NBIA
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Portfolio Manager.
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Robert W. D’Alelio
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Derek Devens
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Agnes Diaz
Senior Vice President, NBIA |
Senior Vice President, NB BD LLC; Vice President, twelve registered investment companies for which NBIA acts as investment manager and/or administrator.
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Anthony DiBernardo
Senior Vice President, NBIA
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Senior Vice President, NB BD LLC; Assistant Treasurer, twelve registered investment companies for which NBIA acts as investment manager and/or administrator.
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Steven Eisman
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Rory Ewing
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Savonne L. Ferguson
Chief Compliance Officer – Mutual Funds, Associate General Counsel, and Senior Vice President, NBIA
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Chief Compliance Officer, thirty-three registered investment companies for which NBIA acts as investment manager and/or administrator.
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Michael Foster
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Jacob Gamerman
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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NAME | BUSINESS AND OTHER CONNECTIONS | |
Rand W. Gesing
Senior Vice President, NBIA
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Senior Vice President, NB BD LLC; Portfolio Manager.
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Jennifer Gorgoll
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Michael C. Greene
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Daniel P. Hanson
Managing Director, NBIA
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Portfolio Manager.
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Jeffrey Hunn
Senior Vice President, NBIA
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Senior Vice President, NB BD LLC; Portfolio Manager.
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William Hunter
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Fred Ingham
Managing Director, NBIA
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Portfolio Manager.
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James L. Iselin
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Corey A. Issing
General Counsel – Mutual Funds and
Managing Director, NBIA
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Chief Legal Officer (only for purposes of sections 307 and 406 of the Sarbanes-Oxley Act of 2002), thirty-three registered investment companies for which NBIA acts as investment manager and/or administrator.
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Sheila James
Senior Vice President, NBIA
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Senior Vice President, NB BD LLC, Assistant Secretary, thirty-three registered investment companies for which NBIA acts as investment manager and/or administrator.
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Brian C. Jones
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Charles Kantor
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Tokufumi Kato
Managing Director, NBIA
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Portfolio Manager.
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NAME | BUSINESS AND OTHER CONNECTIONS | |
Brian Kerrane
Chief Operating Officer – Mutual Funds and Managing Director, NBIA
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Managing Director, NB BD LLC; Chief Operating Officer, and Vice President, thirty-three registered investment companies for which NBIA acts as investment manager and/or administrator.
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Erik Knutzen
Managing Director, NBIA
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Managing Director, NB BD LLC; Multi-Asset Class Chief Investment Officer, Neuberger Berman Group LLC.
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Christopher Kocinski
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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David Kupperman
Managing Director, NBIA |
Managing Director, NB BD LLC; Managing Director, NBAIM; Portfolio Manager.
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Nathan Kush
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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David Levine
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Richard S. Levine
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Joseph Lind
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Brian Lord
Chief Compliance Officer – Fixed Income and Senior Vice President, NBIA
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Senior Vice President, NB BD LLC.
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Joseph P. Lynch
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Jeffrey Majit
Managing Director, NBIA |
Managing Director, NB BD LLC; Managing Director, NBAIM; Portfolio Manager.
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Anthony Maltese
Senior Vice President
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Senior Vice President, NB BD LLC; Vice President, twelve registered investment companies for which NBIA acts as investment manager and/or administrator.
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Jared Mann
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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NAME | BUSINESS AND OTHER CONNECTIONS | |
James F. McAree
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Kevin McCarthy
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Matthew McGinnis
Senior Vice President, NBIA
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Senior Vice President, NB BD LLC; Portfolio Manager.
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John McGovern
Managing Director, NBIA
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Managing Director, NB BD LLC; Treasurer and Principal Financial and Accounting Officer, twelve registered investment companies for which NBIA acts as investment manager and/or administrator.
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S. Blake Miller
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Trevor Moreno
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Richard S. Nackenson
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Benjamin H. Nahum
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Olumide Owolabi
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Eric J. Pelio
Senior Vice President, NBIA
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Senior Vice President, NB BD LLC; Portfolio Manager.
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Alexandra Pomeroy
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Douglas A. Rachlin
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Hari Ramanan
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Marc Regenbaum
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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NAME | BUSINESS AND OTHER CONNECTIONS | |
Brett S. Reiner
Managing Director, NBIA |
Managing Director, NB BD LLC; Associate Portfolio Manager.
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Joana Rocha Schaff
Managing Director, NBIA
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Managing Director, NB BD LLC; Managing Director, NBAA.
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Conrad A. Saldanha
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Eli M. Salzmann
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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John San Marco
Senior Vice President, NBIA
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Senior Vice President, NB BD LLC; Portfolio Manager.
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Linda Sharaby
Secretary and Managing Director, NBIA
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Managing Director and Secretary, NB BD LLC; Managing Director and Secretary, Neuberger Berman Holdings LLC.
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Steve Shigekawa
Managing Director, NBIA |
Managing Director, NB BD LLC; Portfolio Manager.
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Ronald B. Silvestri
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Jonathan Shofet
Managing Director, NBIA
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Managing Director, NB BD LLC; Managing Director, NBAA.
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Brien Smith
Managing Director, NBIA
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Managing Director, NB BD LLC; Chief Operating Officer and Managing Director, NBAA.
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Amit Solomon
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Gregory G. Spiegel
Managing Director, NBIA |
Managing Director, NB BD LLC; Associate Portfolio Manager.
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David Stonberg
Managing Director, NBIA
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Managing Director, NB BD LLC; Managing Director, NBAA.
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Robert Surgent
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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NAME | BUSINESS AND OTHER CONNECTIONS | |
Brad Tank
Co-Chief Investment Officer - Fixed Income and Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Jason Tauber
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Daniel Tracer
Senior Vice President, NBIA
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Senior Vice President and Head of Financial Regulation, NB BD LLC, Senior Anti-Money Laundering Compliance Officer, five registered investment companies for which NBIA acts as investment manager and/or
administrator.
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Shawn Trudeau
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Anthony Tutrone
Managing Director, NBIA
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Managing Director, NB BD LLC; Chief Executive Officer and Managing Director, NBAA.
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James Tyre
Senior Vice President, NBIA
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Senior Vice President, NB BD LLC; Portfolio Manager.
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Gorky Urquieta
Managing Director, NBIA
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Managing Director, NB BD LLC; Portfolio Manager.
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Judith M. Vale
Managing Director, NBIA |
Managing Director, NB BD LLC.
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Leo Anthony Viola
Controller and Managing Director, NBIA
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Controller and Managing Director, NB BD LLC; Treasurer, NBAA.
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Peter Von Lehe
Managing Director, NBIA
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Managing Director, NB BD LLC; Managing Director, NBAA.
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David Yi Wan
Senior Vice President, NBIA
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Senior Vice President, NB BD LLC; Portfolio Manager.
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Eric Zhou
Senior Vice President, NBIA |
Senior Vice President, NB BD LLC; Portfolio Manager.
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Item 32.
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Location of Accounts and Records
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Item 33.
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Management Services
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Item 34.
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Undertakings
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Neuberger Berman High Yield Strategies Fund Inc.
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By:
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/s/ Joseph V. Amato | ||
Name:
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Joseph V. Amato
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Title:
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President and Chief Executive Officer
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Signature
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Title
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Date
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/s/ Joseph V. Amato |
President, Chief Executive Officer
and Director
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February 23, 2024
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Joseph V. Amato
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/s/ John M. McGovern |
Treasurer and Principal Financial and
Accounting Officer
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February 23, 2024
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John M. McGovern
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/s/ Michael J. Cosgrove
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Director
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February 23, 2024
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Michael J. Cosgrove*
/s/ Marc Gary
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Director
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February 23, 2024
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Marc Gary*
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/s/ Martha C. Goss
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Director
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February 23, 2024
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Martha C. Goss*
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/s/ Ami Kaplan
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Director
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February 23, 2024
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Ami Kaplan**
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/s/ Michael M. Knetter
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Director
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February 23, 2024
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Michael M. Knetter*
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/s/ Deborah C. McLean
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Director
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February 23, 2024
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Deborah C. McLean*
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/s/ George W. Morriss
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Director
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February 23, 2024
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George W. Morriss*
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/s/ Tom D. Seip |
Chairman of the Board and Director
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February 23, 2024
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Tom D. Seip*
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/s/ Franklyn E. Smith
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Director
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February 23, 2024
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Franklyn E. Smith**
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/s/ James G. Stavridis
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Director
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February 23, 2024
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James G. Stavridis*
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(l)(ii)
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Opinion and Consent |