USA Mutuals 

TX

  SEC # 1137095

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438  SEC Filings   from  3/26/01  to  6/11/21  (None in the Past Year)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘N-8F ORDR’ — Application for an SEC Deregistration Order – ‘N-8F’ SEC Order — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  USA Mutuals

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Forms , Documents & Exhibits  in  438 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
6/11/21	OLD		N-8F ORDR		SEC:		Application for an SEC Deregistration Order – ‘N-8F’ SEC Order  OLD	1
5/24/21	OLD		N-8F NTC		SEC:		Application for an SEC Deregistration Order – ‘N-8F’ SEC Notice  OLD	1
4/29/21	OLD		N-8F		Registration:		Applications for SEC Deregistration Orders by Certain Investment Companies — Form N-8F  OLD	2
4/5/21	OLD		N-CEN		Update:		Annual Reports by Investment Companies — Form N-CEN  OLD	3
2/10/21	OLD		NPORT-P		Update:		Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies — Form N-PORT  OLD	8
2/10/21	OLD		NPORT-EX		Update:		Portfolio Holdings Schedules by Investment Companies — Form N-PORT  OLD	4
12/9/20	OLD		N-CSRS		Update:		Semi-Annual Certified Shareholder Reports by Investment Companies — Form N-CSR  OLD	16
11/6/20	OLD		CORRESP		Comment:		Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC	16
11/5/20	OLD		DEF 14A		Proxy:		Definitive Proxy Statements — Schedule 14A  OLD	2
10/16/20	OLD		PRE 14A		Proxy:		Preliminary Proxy Statements — Schedule 14A  OLD	2
10/15/20	OLD		497		Registration:		Definitive Materials  OLD  — Financial Reports	80
8/25/20	OLD		N-PX		Proxy:		Annual Proxy Voting Reports by Investment Companies — Form N-PX  OLD	19
8/12/20	OLD		485BPOS		Registration:		Post-Effective Amendments of Form N-1 and N-1A Registrations  OLD  — Financial Reports	43
8/3/20	OLD		497J		Registration:		Certifications of No Change in Definitive Materials  OLD	18
7/29/20	OLD		497K		Registration:		Prospectuses – Certain Open-End Investment Companies – Summary  OLD	44
6/22/20	OLD		40-17G		Update:		Fidelity Bonds for Investment Companies  OLD	37
6/11/20	OLD		24F-2NT		Update:		Annual Notices of Securities Sold by Investment Companies — Form 24F-2  OLD	19
6/8/20	OLD		N-CSR		Update:		Annual Certified Shareholder Reports by Investment Companies — Form N-CSR  OLD	20
2/21/20	OLD		N-Q		Update:		Quarterly Portfolio Holdings Schedules by Investment Companies — Form N-Q  OLD	33
5/30/18	OLD		NSAR-B		Update:		Annual Reports by Investment Companies — Form N-SAR  OLD	17
11/29/17	OLD		NSAR-A		Update:		Semi-Annual Reports by Investment Companies — Form N-SAR  OLD	17
10/17/17	OLD		EFFECT		SEC:		SEC Notices of Effectiveness  OLD	3
10/10/17	OLD		485APOS		Registration:		Post-Effective Amendments of Form N-1 and N-1A Registrations  OLD	16
10/5/17	OLD		485BXT		Registration:		Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates  OLD	15
6/8/05	OLD		N-14		Registration:		Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for Mergers — Form N-14  OLD	2
4/21/05	OLD		DEL AM		Registration:		Registration Effectiveness-Delaying Amendment  OLD	1
6/6/03	OLD		N-30D		Update:		Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies  OLD	6
6/15/01	OLD		N-1A		Registration:		Registration Statements by Open-End Investment Companies — Form N-1A  OLD	2
3/26/01	OLD		N-18F1		Update:		Notice of Election by an Open-End Investment Company — Form N-18f-1  OLD	1
3/26/01	OLD		N-8A		Registration:		Notice of Registration by an Investment Company — Form N-8A  OLD	1
					Letters:
10/16/20	OLD		COVER		Comment-Response and Cover Letters to the SEC  [ a.k.a. CORRESP ]  OLD  — All Correspondence with the SEC			9
					Form-Specific Documents:
2/10/21	OLD		NPORT-EX		Portfolio Holdings Schedules — Form N-PORT  OLD			4
					General Exhibits:
11/5/20	OLD		EX-3		Articles of Incorporation/Organization or Bylaws  OLD			1
11/5/20	OLD		EX-2		Plan of Acquisition, Reorganization, Arrangement, Liquidation or Succession  OLD			1
11/5/20	OLD		EX-1		Underwriting Agreement or Conflict Minerals Report  (or mislabeled “1st Exhibit”)  OLD			1
7/27/17	OLD		EX-95		Mine-Safety Disclosure  OLD			1
6/8/05	OLD		EX-14		Code of Ethics  OLD			1
6/8/05	OLD		EX-4		Instrument Defining the Rights of Security Holders  OLD			1
4/20/05	OLD		EX-17		Correspondence re: Departure of a Director  OLD			1
					Additional Exhibits:
12/9/20	OLD		EX-99  &  EX-99.*		Miscellaneous Exhibits, such as Press Releases  OLD  — EX-99.*  Form-Specific Exhibits...  Form N-1A:  1 Articles of Incorporation/Organization;  1 Bylaws;  3 Codes of Ethics;  1 Custodian Agreement;  1 Distribution Plan — Rule 12b-1 – ICA’40;  1 Initial Subscription Agreement;  1 Investment Advisor Contract;  1 Opinion of Counsel re: Legality;  5 Other Material Contracts;  4 Other Opinions;  1 Previously Omitted Financial Statement;  1 Underwriter Contract — Form N-CSR:  70 Certifications — §302 – SOA’02;  34 Certifications — §906 – SOA’02;  4 Codes of Ethics — Form N-SAR:  16 Accountants’ Reports re: Internal Controls;  3 Certifications — §302 – SOA’02;  2 Legal Proceedings;  2 Letters re: Changes in Accountants;  1 Matters Submitted to a Vote of Security Holders;  2 Mergers Info;  2 Other Disclosures;  2 Terms of New and Amended Securities  (159 total)			298
					Investment Company Exhibits:
6/8/20	OLD		INTERNAL CONTROL RPT		Accountants’ Reports re: Internal Controls  OLD			2
					Financials:
8/12/20	OLD		XML  &  R#		IDEA Financial Reports Info  OLD  — Financial Reports			145
8/12/20	OLD		EX-101.*		XBRL Data  (XBRL Files)  OLD			126
8/12/20	OLD		ZIP		XBRL Zipped Folders   (Folders of XBRL Files)  OLD			21
10/16/19	OLD		EXCEL		IDEA Workbooks of Financial Reports Info  OLD  — Workbooks of Financial Reports			11
6/8/05	OLD		EX-12		Statement re: the Computation of Ratios  OLD			1
4/20/05	OLD		EX-16		Letter re: a Change in Accountant  OLD			1
					Graphics:
12/9/20	OLD		GRAPHIC		Photos, Images and Graphs  OLD			1,021

Funds / Series  and their  Classes / Contracts

No Forms  nor  Documents  Filed re:  Issuer / Subject Company

        

        

Filings History

Year		# of Filings
2021		7
2020		27
2019		21
2018		20
2017		43
2016		30
2015		37
2014		16
2013		21
2012		15
2011		29
2010		17
2009		17
2008		12
2007		17
2006		18
2005		24
2004		20
2003		19
2002		20
2001		8