RegAlert2011-02-04
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SEC Division of Investment Management staff letter: H & Q Life Sciences Investors
The staff of the Division of Investment Management will not recommend enforcement action if H&Q Life Sciences Investors omits a shareholder proposal from its 2011 proxy materials under Rule 14a-8(i)(8), provided the proposal is revised within seven calendar days to clarify that it will not affect the unexpired terms of trustees elected at or prior to the upcoming annual meeting. The staff declined to concur with the Fund's request to exclude a statement regarding the company's corporate governance status under Rule 14a-8(i)(3), determining that the Fund may not omit this statement from the proposal if it is included in the proxy materials.
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Securities Exchange Act of 1934 — Rules 14a-8(i)(3) and (8) H & Q Life Sciences Investors
February 4, 2011
Joseph R. Fleming, Esq. Dechert LLP 200 Clarendon Street, 27th Floor Boston, MA 02116-5021
Re: Omission of Shareholder Proposal Pursuant to Rule 14a-8 for H&Q Life Sciences Investors.
Dear Mr. Fleming:
In a letter dated December 20, 2010, on behalf of H&Q Life Sciences Investors (the “Fund”), you request confirmation from the staff of the Division of Investment Management that it would not recommend an enforcement action to the Securities and Exchange Commission if a shareholder proposal (“Proposal”) submitted by a shareholder of the Fund (“Proponent”) described in your letter is omitted from the proxy statement and form of proxy (the “Proxy Materials”) for the Fund’s 2011 Annual Meeting of Shareholders. The Proposal states, in relevant part:
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