N-23C3C/N-23C3C/A
| Field Name | Data Definition | Data Type | Original/Engineered |
|---|---|---|---|
| form_type | The official designation of the Securities and Exchange Commission form used for notification of a repurchase offer. | Text (String) | Original |
| investment_company_act_file_number | The unique file number assigned by the SEC to the investment company under the Investment Company Act of 1940. | String | Original |
| date_of_notification | The date on which the notification of the repurchase offer is filed with the SEC. | Date | Original |
| exact_name_of_investment_company | The full legal name of the investment company as specified in its registration statement. | Text (String) | Original |
| address_of_principal_executive_office | The complete physical address of the investment company's principal executive office, including street, city, state, and zip code. | Text (String) | Original |
| type_of_notification | Indicates whether the repurchase offer is periodic under paragraph (b) of Rule 23c-3, discretionary under paragraph (c), or both, selected via checkboxes on the form. | Boolean (Checkbox, e.g., "Periodic Offer (b)": True/False; "Discretionary Offer (c)": True/False) | Original |
| repurchase_offer_notice | The Notice of Quarterly Repurchase Offer in Form N-23C-3 notifies shareholders of an upcoming offer by an interval fund to repurchase shares. It includes key details like the repurchase request deadline, pricing date, percentage of shares offered, and instructions for participation—providing liquidity since interval fund shares aren’t traded on secondary markets. | Date/Text (String) | Original |
repurchase_request_form | |||
| fund_name | Name of the fund for which shares are being repurchased (e.g., "Calamos Aksia Alternative Credit and Income Fund"). | Text (String) | Original |
| repurchase_deadline | Deadline for submission (e.g., "MUST BE RECEIVED BY 4:00 P.M., EASTERN TIME, MARCH 1, 2024"). | Date + Text | Original |
| mail_to_address | Mailing address for submitting the form (e.g., "235 West Galena Street, Milwaukee, WI 53212"). | Text (String) | Original |
| contact_phone_fax_email | Contact information for inquiries (e.g., "1-866-363-9219"). | Text (String) | Original |
| registered_shareholders | Name(s) of shareholders as registered on the account (must match account records). | Text (String) | Original |
| account_number | Unique identifier for the shareholder’s account. | Text (String) | Original |
| daytime_phone | Daytime contact phone number for the shareholder. | Text (String) | Original |
| tender_type | Type of repurchase request: Full, Partial, or Dollar Amount. | Text (String) | Original |
| tender_quantity | Number of shares or dollar amount to repurchase (if Partial/Dollar Amount selected). | Numeric (Float) | Original |
| share_class | Class of shares being tendered (e.g., Class I, Class T). | Text (String) | Original |
| tax_withholding_election | Election for federal tax withholding (e.g., "I elect NOT to have Federal Income Tax Withheld"). | Text (String) | Original |
| payment_method | How proceeds should be delivered (e.g., check to address, bank transfer). | Text (String) | Original |
| bank_instructions | New bank details for transfers (if applicable). | Text (String) | Original |
| signature_guarantee_required | Whether a Medallion Signature Guarantee is required (based on conditions). | Boolean (Yes/No) | Original |
| signature_guarantor | Name/title of the guarantor (if signature is guaranteed). | Text (String) | Original |
| owner_signature | Signature of the shareholder(s) (must match registration). | Text (String) | Original |
| signature_date | Date the form is signed. | Date | Original |
| custodian_info | Name/title of custodian (if shares are held by a custodian). | Text (String) | Original |
| early_withdrawal_charge_waiver | Basis for waiver of early withdrawal charges (if applicable). | Text (String) | Original |
| retirement_account_type | Type of retirement account (e.g., Traditional IRA, Roth IRA). | Text (String) | Original |
| distribution_reason | Reason for distribution (e.g., "Normal distribution," "Death/Beneficiary"). | Text (String) | Original |
repurchase_offer_terms | |||
| repurchase_offer | An offer by an issuer that is a registered closed-end company to repurchase common stock of which it is the issuer, made pursuant to the terms and conditions of this section | Text (String) | Original |
| repurchase_offer_amount | The amount of common stock that is the subject of a repurchase offer, expressed as a percentage of such stock outstanding on the repurchase request deadline. Such amount shall not be less than 5 percent nor more than 25 percent of the issuer's outstanding common stock as of the repurchase request deadline. | Text (String) | Original |
| repurchase_request_deadline | The date by which an issuer must receive repurchase requests submitted by security holders, or withdrawals or modifications of such requests. The first repurchase request deadline shall occur no later than two years after the effective date of the issuer's registration statement, and subsequent repurchase request deadlines shall occur no less frequently than at periodic intervals of no more than one year thereafter. | Text (String) | Original |
| repurchase_pricing_date | The date on which an issuer determines the net asset value applicable to the repurchase of common stock pursuant to this section. Such date shall be no later than the 14th day after a repurchase request deadline and shall not be earlier than the close of business on the repurchase request deadline. | Text (String) | Original |
| repurchase_payment_deadline | The date by which an issuer must pay security holders whose common stock has been repurchased, which shall be seven days after the repurchase pricing date. | Text (String) | Original |
| repurchase_request | The tender of common stock by a security holder in response to a repurchase offer made pursuant to this section. | Text (String) | Original |
| net_asset_value | The net asset value per share of common stock, calculated as of the repurchase pricing date in accordance with the issuer's valuation procedures. | Text (String) | Original |
| payment_for_shares_repurchased | Payment shall be made at a price equal to the net asset value per share determined on the repurchase pricing date, minus a repurchase fee, if any, not to exceed two percent of such net asset value. | Text (String) | Original |
| increase_in_shares_repurchase_or_pro_rata_repurchase | If requests exceed offer amount, company may increase repurchase by up to 2% or repurchase pro rata tendered shares. If the amount of common stock tendered exceeds the repurchase offer amount, the issuer may elect to repurchase an additional amount of common stock not to exceed two percent of the outstanding common stock as of the repurchase request deadline. If the issuer does not so elect, it shall repurchase common stock tendered pro rata according to the amount of each security holder's tender. | Text (String) | Original |
| withdrawal_of_shares_to_be_redeemed | An issuer shall permit tenders of common stock to be repurchased pursuant to this section to be withdrawn or modified at any time until the repurchase request deadline. | Text (String) | Original |
| suspension_or_postponement_of_repurchase_offer | An issuer may suspend or postpone a repurchase offer only pursuant to a vote of a majority of the directors, including a majority of the directors who are not interested persons of the issuer, if the repurchase would: (i) Cause the issuer to lose its status as a regulated investment company under the Internal Revenue Code; or (ii) Result in the common stock being neither a 'covered security' nor a 'margin security' for purposes of sections 18 and 19 of the Act and the rules thereunder. | Text (String) | Original |
| tax_consequences | The tax implications of repurchases (including potential capital gains/losses or dividend treatment) are governed by the Internal Revenue Code and should be disclosed in the fund's prospectus and shareholder reports. Shareholders should consult their tax advisors for specific consequences. | Text (String) | Original |
| cds_charge_class_t_shares | CDSCs are redemption fees applied to certain share classes when shares are sold within a specified time period. The specific terms (duration, percentage fees, waivers) must be disclosed in: (1) the fund's prospectus under 'Plan of Distribution', (2) the Statement of Additional Information, and (3) shareholder reports, as required by SEC rules governing fund distribution practices." | Text (String) | Original |
| documents_in_proper_form | An issuer shall file with the Commission a notification on Form N-23c-3 containing the information required by paragraph (b)(4)(i) of this section at least 30 days prior to the repurchase request deadline. Such notification shall be deemed filed upon receipt by the Commission. | Text (String) | Original |
| Field Name | Description | Data Type | Original/Engineered |
|---|---|---|---|
| form_type | The official designation of the Securities and Exchange Commission form used for notification of a repurchase offer. | Text (String) | Yes |
| investment_company_act_file_number | The unique file number assigned by the SEC to the investment company under the Investment Company Act of 1940. | String | Yes |
| date_of_notification | The date on which the notification of the repurchase offer is filed with the SEC. | Date | Yes |
| exact_name_of_investment_company | The full legal name of the investment company as specified in its registration statement. | Text (String) | Yes |
| address_of_principal_executive_office | The complete physical address of the investment company's principal executive office, including street, city, state, and zip code. | Text (String) | Yes |
| type_of_notification | Indicates whether the repurchase offer is periodic under paragraph (b) of Rule 23c-3, discretionary under paragraph (c), or both, selected via checkboxes on the form. | Boolean (Checkbox, e.g., "Periodic Offer (b)": True/False; "Discretionary Offer (c)": True/False) | Yes |
| repurchase_offer_notice | The Notice of Quarterly Repurchase Offer in Form N-23C-3 notifies shareholders of an upcoming offer by an interval fund to repurchase shares. It includes key details like the repurchase request deadline, pricing date, percentage of shares offered, and instructions for participation—providing liquidity since interval fund shares aren’t traded on secondary markets. | Date/Text (String) | Yes |
| repurchase_request_form | Yes | ||
| fund_name | Name of the fund for which shares are being repurchased (e.g., "Calamos Aksia Alternative Credit and Income Fund"). | Text (String) | Yes |
| repurchase_deadline | Deadline for submission (e.g., "MUST BE RECEIVED BY 4:00 P.M., EASTERN TIME, MARCH 1, 2024"). | Date + Text | Yes |
| mail_to_address | Mailing address for submitting the form (e.g., "235 West Galena Street, Milwaukee, WI 53212"). | Text (String) | Yes |
| contact_phone_fax_email | Contact information for inquiries (e.g., "1-866-363-9219"). | Text (String) | Yes |
| registered_shareholders | Name(s) of shareholders as registered on the account (must match account records). | Text (String) | Yes |
| account_number | Unique identifier for the shareholder’s account. | Text (String) | Yes |
| daytime_phone | Daytime contact phone number for the shareholder. | Text (String) | Yes |
| tender_type | Type of repurchase request: Full, Partial, or Dollar Amount. | Text (String) | Yes |
| tender_quantity | Number of shares or dollar amount to repurchase (if Partial/Dollar Amount selected). | Numeric (Float) | Yes |
| share_class | Class of shares being tendered (e.g., Class I, Class T). | Text (String) | Yes |
| tax_withholding_election | Election for federal tax withholding (e.g., "I elect NOT to have Federal Income Tax Withheld"). | Text (String) | Yes |
| payment_method | How proceeds should be delivered (e.g., check to address, bank transfer). | Text (String) | Yes |
| bank_instructions | New bank details for transfers (if applicable). | Text (String) | Yes |
| signature_guarantee_required | Whether a Medallion Signature Guarantee is required (based on conditions). | Boolean (Yes/No) | Yes |
| signature_guarantor | Name/title of the guarantor (if signature is guaranteed). | Text (String) | Yes |
| owner_signature | Signature of the shareholder(s) (must match registration). | Text (String) | Yes |
| signature_date | Date the form is signed. | Date | Yes |
| custodian_info | Name/title of custodian (if shares are held by a custodian). | Text (String) | Yes |
| early_withdrawal_charge_waiver | Basis for waiver of early withdrawal charges (if applicable). | Text (String) | Yes |
| retirement_account_type | Type of retirement account (e.g., Traditional IRA, Roth IRA). | Text (String) | Yes |
| distribution_reason | Reason for distribution (e.g., "Normal distribution," "Death/Beneficiary"). | Text (String) | Yes |
| repurchase_offer_terms | Yes | ||
| repurchase_offer | An offer by an issuer that is a registered closed-end company to repurchase common stock of which it is the issuer, made pursuant to the terms and conditions of this section | Text (String) | Yes |
| repurchase_offer_amount | The amount of common stock that is the subject of a repurchase offer, expressed as a percentage of such stock outstanding on the repurchase request deadline. Such amount shall not be less than 5 percent nor more than 25 percent of the issuer's outstanding common stock as of the repurchase request deadline. | Text (String) | Yes |
| repurchase_request_deadline | The date by which an issuer must receive repurchase requests submitted by security holders, or withdrawals or modifications of such requests. The first repurchase request deadline shall occur no later than two years after the effective date of the issuer's registration statement, and subsequent repurchase request deadlines shall occur no less frequently than at periodic intervals of no more than one year thereafter. | Text (String) | Yes |
| repurchase_pricing_date | The date on which an issuer determines the net asset value applicable to the repurchase of common stock pursuant to this section. Such date shall be no later than the 14th day after a repurchase request deadline and shall not be earlier than the close of business on the repurchase request deadline. | Text (String) | Yes |
| repurchase_payment_deadline | The date by which an issuer must pay security holders whose common stock has been repurchased, which shall be seven days after the repurchase pricing date. | Text (String) | Yes |
| repurchase_request | The tender of common stock by a security holder in response to a repurchase offer made pursuant to this section. | Text (String) | Yes |
| net_asset_value | The net asset value per share of common stock, calculated as of the repurchase pricing date in accordance with the issuer's valuation procedures. | Text (String) | Yes |
| payment_for_shares_repurchased | Payment shall be made at a price equal to the net asset value per share determined on the repurchase pricing date, minus a repurchase fee, if any, not to exceed two percent of such net asset value. | Text (String) | Yes |
| increase_in_shares_repurchase_or_pro_rata_repurchase | If requests exceed offer amount, company may increase repurchase by up to 2% or repurchase pro rata tendered shares. If the amount of common stock tendered exceeds the repurchase offer amount, the issuer may elect to repurchase an additional amount of common stock not to exceed two percent of the outstanding common stock as of the repurchase request deadline. If the issuer does not so elect, it shall repurchase common stock tendered pro rata according to the amount of each security holder's tender. | Text (String) | Yes |
| withdrawal_of_shares_to_be_redeemed | An issuer shall permit tenders of common stock to be repurchased pursuant to this section to be withdrawn or modified at any time until the repurchase request deadline. | Text (String) | Yes |
| suspension_or_postponement_of_repurchase_offer | An issuer may suspend or postpone a repurchase offer only pursuant to a vote of a majority of the directors, including a majority of the directors who are not interested persons of the issuer, if the repurchase would: (i) Cause the issuer to lose its status as a regulated investment company under the Internal Revenue Code; or (ii) Result in the common stock being neither a 'covered security' nor a 'margin security' for purposes of sections 18 and 19 of the Act and the rules thereunder. | Text (String) | Yes |
| tax_consequences | The tax implications of repurchases (including potential capital gains/losses or dividend treatment) are governed by the Internal Revenue Code and should be disclosed in the fund's prospectus and shareholder reports. Shareholders should consult their tax advisors for specific consequences. | Text (String) | Yes |
| cds_charge_class_t_shares | CDSCs are redemption fees applied to certain share classes when shares are sold within a specified time period. The specific terms (duration, percentage fees, waivers) must be disclosed in: (1) the fund's prospectus under 'Plan of Distribution', (2) the Statement of Additional Information, and (3) shareholder reports, as required by SEC rules governing fund distribution practices." | Text (String) | Yes |
| documents_in_proper_form | An issuer shall file with the Commission a notification on Form N-23c-3 containing the information required by paragraph (b)(4)(i) of this section at least 30 days prior to the repurchase request deadline. Such notification shall be deemed filed upon receipt by the Commission. | Text (String) | Yes |