SEC Company Response from NEW RIVER FUNDS (CIK 0001228431) — Dec 29, 2005
NEW RIVER FUNDS (CIK 0001228431)
Date: Dec. 29, 2005 · CIK: 0001228431 · Accession: 0000910472-05-000301
AI Filing Summary & Sentiment
Letter
New River
As to each Trustee of the Trust who is not an “interested person” of the Trust (as defined in the 1940 Act) (an “Independent Trustee”) and his immediate family members, no person owned beneficially or of record, securities issued by the Manager or a Sub-Adviser or the principal underwriter of the Trust, or a person (other than a registered investment company) directly or indirectly controlling, controlled by or under common control with the Manager, a Sub-Adviser or principal underwriter of the Trust as of December 31, 2004, except as set forth in the table below:
Name of Trustee
Name of Owners and Relationships to Trustee
Company
Title of Class
Value of Securities
Percent of Class
Vijay Singal
Same
New River Pharmaceuticals Inc.
Common Stock
$30,000
*
* less than 1%.
The common stock of New River Pharmaceuticals Inc. (“NRPH”) is publicly traded on the NASDAQ National Market System. NRPH is majority owned by Randal J. Kirk. Mr. Kirk is the owner of Third Security, LLC, which is the owner of the Manager.
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CORRESP 1 filename1.htm New River As to each Trustee of the Trust who is not an “interested person” of the Trust (as defined in the 1940 Act) (an “Independent Trustee”) and his immediate family members, no person owned beneficially or of record, securities issued by the Manager or a Sub-Adviser or the principal underwriter of the Trust, or a person (other than a registered investment company) directly or indirectly controlling, controlled by or under common control with the Manager, a Sub-Adviser or principal underwriter of the Trust as of December 31, 2004, except as set forth in the table below: Name of Trustee Name of Owners and Relationships to Trustee Company Title of Class Value of Securities Percent of Class Vijay Singal Same New River Pharmaceuticals Inc. Common Stock $30,000 * * less than 1%. The common stock of New River Pharmaceuticals Inc. (“NRPH”) is publicly traded on the NASDAQ National Market System. NRPH is majority owned by Randal J. Kirk. Mr. Kirk is the owner of Third Security, LLC, which is the owner of the Manager.