HAV / - SEC-arkivering, Årsberetning, Fuldmagtserklæring

Helios Advantage Income Fund, I ORDR

UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No. 31620 / May 20, 2015 _ In the Matter of : : HELIOS ADVANTAGE INCOME FUND, INC. : Brookfield Place : 250 Vesey St. : New York, NY 10281-1023 : : (811-21631) : : ORDER UNDER SECTION 8(f) OF THE INVESTMENT CO

Helios Advantage Income Fund, I NTC

SECURITIES AND EXCHANGE COMMISSION [Release No. IC- 31578] Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 1940 April 24, 2015 The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of April 2015. A copy of each application may be obtained via the Commission’s website by searc

Helios Advantage Income Fund, I N-8F/A

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0157 Washington, D.

XHAVX / Helios Advantage Income Fund, I N-8F - - N-8F

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0157 Washington, D.

EX-99.77M MERGERS

Item 77-M - Mergers On February 27, 2014, the Boards of Directors of Helios Advantage Income Fund, Inc.

XHAVX / Helios Advantage Income Fund, I N-Q - Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS

As filed with the Securities and Exchange Commission on August 29, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

I, Brian F. Hurley, certify that:

CERTIFICATION I, Brian F. Hurley, certify that: 1. I have reviewed this report on Form N-Q of Helios Advantage Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the

HCR / Hi-Crush Inc. EX-99.25 - -

NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on August 26, 2014, pursuant to the provisions of Rule 12d2-2 (a).

XHAVX / Helios Advantage Income Fund, I DEFA14A - - DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934, as amended Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidentia

- DEFA14A

DEFA14A 1 a14-148992defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934, as amended Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o P

EX-99.77E LEGAL

Q77E Pending Litigation Beginning in late 2007, lawsuits were filed in state and federal courts in Tennessee, Alabama, Arkansas, Indiana, Mississippi, Louisiana, New York and Texas relating to certain fixed income funds managed by Brookfield Investment Management Inc.

EX-99.77B ACCT LTTR

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors and Stockholders of Helios Advantage Income Fund, Inc.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 21, 2014 HELIOS ADVANTAGE INCOME FUND, INC. (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation) 001-32339 (Commission

I, Kim G. Redding, certify that:

CERTIFICATION I, Kim G. Redding, certify that: 1. I have reviewed this report on Form N-Q of Helios Advantage Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the

Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS

As filed with the Securities and Exchange Commission on February 26, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

HAV / / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment

UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Helios Advantage Income Fund, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 42327W206 - (CUSIP Number) December 31, 2013 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant

EX-99.1

Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete

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1(212) 318-6275 [email protected] January 24, 2014 75302.00001 VIA EDGAR Mr. Chad Eskildsen United States Securities and Exchange Commission Division of Investment Management 100 “F” Street, N.E. Washington, D.C. 20549 Re: Helios Advantage Income Fund, Inc. (811-21631) Helios High Income Fund, Inc. (811-21332) Helios High Yield Fund (811-08795) Helios Multi-Sector High Income Fund,

- 40-33

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EX-99.77E LEGAL

SUB-ITEM 77E: Legal Proceedings Pending Litigation Beginning in late 2007, lawsuits were filed in state and federal courts in Tennessee, Alabama, Arkansas, Indiana, Mississippi, Louisiana, New York and Texas relating to certain fixed income funds managed by the Adviser, including the Funds.

EX-99.77C VOTES

SUB-ITEM 77C: Matters submitted to a vote of security holders During the six months ended September 30, 2013, the stockholders of the Helios Advantage Income Fund, Inc.

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 21, 2013 HELIOS ADVANTAGE INCOME FUND, INC. (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation) 001-32339 (Commissi

HELIOS ADVANTAGE INCOME FUND, INC. ARTICLES SUPPLEMENTARY

Exhibit 3.1(a) HELIOS ADVANTAGE INCOME FUND, INC. ARTICLES SUPPLEMENTARY Helios Advantage Income Fund, Inc., a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland, that: FIRST: Under a power contained in Title 3, Subtitle 8 of the Maryland General Corporation Law (the “MGCL”), and in accordance with resolutions duly adopted by

HELIOS ADVANTAGE INCOME FUND, INC. AMENDED AND RESTATED BYLAWS ARTICLE I

Exhibit 3.1(b) HELIOS ADVANTAGE INCOME FUND, INC. AMENDED AND RESTATED BYLAWS ARTICLE I OFFICES Section 1. PRINCIPAL OFFICE. The principal office of the Corporation in the State of Maryland shall be located at such place as the Board of Directors may designate. Section 2. ADDITIONAL OFFICES. The Corporation may have additional offices, including a principal executive office, at such places as the

Other Events - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 5, 2013 HELIOS ADVANTAGE INCOME FUND, INC. (Exact name of registrant as specified in its charter) Maryland 001-32339 77-0650061 (State or other jurisdiction of inco

- CERTIFICATIONS

Certifications CERTIFICATION I, Kim G. Redding, certify that: 1. I have reviewed this report on Form N-Q of Helios Advantage Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with

Quarterly Schedule of Portfolio Holdings - HELIOS ADVANTAGE INCOME FUND

Helios Advantage Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

- HELIOS ADVANTAGE INCOME FUND, INC.

Helios Advantage Income Fund, Inc. Schedule 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities and Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission

Amount Received

SUB-ITEM 77E: Legal Proceedings Pending Litigation Beginning in late 2007, lawsuits were filed in state and federal courts in Tennessee, Alabama, Arkansas, Indiana, Mississippi, Louisiana, New York and Texas relating to certain fixed income funds managed by the Advisor, including the Funds.

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Stockholders and Board of Directors of Helios Advantage Income Fund, Inc.

Shares Voted For

SUB-ITEM 77C: Matters submitted to a vote of security holders During the fiscal year ended March 31, 2013, the stockholders of the Helios Advantage Income Fund, Inc.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Other Events - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 11, 2013 HELIOS ADVANTAGE INCOME FUND, INC. (Exact name of registrant as specified in its charter) Maryland 001-32339 77-0650061 (State or other jurisdiction of incorpo

- EX-3.1

EX-3.1 Exhibit 3.1 HELIOS ADVANTAGE INCOME FUND, INC. ARTICLES SUPPLEMENTARY Helios Advantage Income Fund, Inc., a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland, that: FIRST: Under a power contained in Title 3, Subtitle 8 of the Maryland General Corporation Law (the “MGCL”), and in accordance with resolutions duly adopted

Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS

As filed with the Securities and Exchange Commission on February 27, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

I, Kim G. Redding, certify that:

CERTIFICATION I, Kim G. Redding, certify that: 1. I have reviewed this report on Form N-Q of Helios Advantage Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the

EX-99.1

Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete

HAV / / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment

UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Helios Advantage Income Fund, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 42327W206 - (CUSIP Number) December 31, 2012 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant

UNITED STATES DISTRICT COURT WESTERN DISTRICT OF TENNESSEE WESTERN DIVISION ) IN RE REGIONS MORGAN KEEGAN ) Case No. 2:09-md-02009-SHM SECURITIES, DERIVATIVE and ERISA ) LITIGATION ) Judge Samel H. Mays, Jr. ) This Document Relates to: ) ) In re Heli

Stipulation of Settlement Exhibit 99.1 UNITED STATES DISTRICT COURT WESTERN DISTRICT OF TENNESSEE WESTERN DIVISION ) IN RE REGIONS MORGAN KEEGAN ) Case No. 2:09-md-02009-SHM SECURITIES, DERIVATIVE and ERISA ) LITIGATION ) Judge Samel H. Mays, Jr. ) This Document Relates to: ) ) In re Helios Closed-End Funds Derivative ) Litigation, No. 2:11-cv-02935-SHM-TMP ) ) STIPULATION OF SETTLEMENT This Stipu

Financial Statements and Exhibits, Other Events - HELIOS ADVANTAGE INCOME FUND, INC

Helios Advantage Income Fund, Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

SUB-ITEM 77E:

SUB-ITEM 77E: Legal Proceedings Pending Litigation Beginning in late 2007, lawsuits were filed in state and federal courts in Tennessee, Alabama, Arkansas, Indiana, Mississippi, Louisiana, New York and Texas relating to certain fixed income funds managed by the Adviser,including the Funds.

Quarterly Schedule of Portfolio Holdings - QUARTERTLY NOTICE OF PORTFOLIO HOLDINGS

As filed with the Securities and Exchange Commission on August 28, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

- OFFICER CERTIFICATIONS

CERTIFICATION I, Kim G. Redding, certify that: 1. I have reviewed this report on Form N-Q of Helios Advantage Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the

- HELIOS ADVANTAGE INCOME FUND, INC.

Helios Advantage Income Fund, Inc. Schedule 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities and Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Stockholders and Board of Directors of Helios Advantage Income Fund, Inc.

- LITIGATION LETTER

SUB-ITEM 77E: Legal Proceedings Pending Litigation Beginning in late 2007, lawsuits were filed in state and federal courts in Tennessee, Alabama, Arkansas, Indiana, Mississippi, Louisiana, New York and Texas relating to certain fixed income funds managed by the Advisor, including the Funds.

- PROXY VOTES

SUB-ITEM 77C: Matters submitted to a vote of security holders During the fiscal year ended March 31, 2012, the stockholders of the Helios Advantage Income Fund, Inc.

HAV / / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment

UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Helios Advantage Income Fund, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 42327W206 - (CUSIP Number) April 30, 2012 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to

HAV / / FIRST TRUST PORTFOLIOS LP - JOINT FILING AGREEMENT

Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete

Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS

As filed with the Securities and Exchange Commission on February 6, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

- OFFICER CERTIFICATIONS

CERTIFICATION I, Kim G. Redding, certify that: 1. I have reviewed this report on Form N-Q of Helios Advantage Income Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the

HAV / / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment

UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Helios Advantage Income Fund, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 42327W206 - (CUSIP Number) December 31, 2011 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant

EX-99.1

Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete

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K&L|GATES Kirkpatrick & Lockhart Preston Gates Ellis LLP 1601 K Street NW Washington, DC 20006-1600 T 202.

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K&L|GATES Kirkpatrick & Lockhart Preston Gates Ellis LLP 1601 K Street NW Washington, DC 20006-1600 T 202.

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) [ ] Definitive P