Statistiche di base
| LEI | 5493007BYZPSOVVS0M04 |
| CIK | 884121 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Abrdn Life Sciences Investors
SEC Filings (Chronological Order)
Questa pagina fornisce un elenco completo e cronologico dei depositi SEC, esclusi i documenti di proprietà che forniamo altrove.
| April 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
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| June 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* abrdn Life Sciences Investors (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 87911K100 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212) 542 |
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| May 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) 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 Only (as permi |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* abrdn Life Sciences Investors (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 87911K100 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212) 542 |
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| April 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) 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 Only (as permi |
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| April 17, 2024 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* abrdn Life Sciences Investors (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 87911K100 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 101 |
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| February 7, 2024 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* abrdn Life Sciences Investors (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 87911K100 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 101 |
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| January 12, 2024 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* abrdn Life Sciences Investors (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 87911K100 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 101 |
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| December 29, 2023 |
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) EX-1 2 exhibit1.htm EXHIBIT 1 EXHIBIT 1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agree |
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| December 29, 2023 |
SC 13D 1 formsc13d.htm FORM SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* abrdn Life Sciences Investors (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 87911K100 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attent |
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| October 5, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| October 4, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| October 2, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| September 27, 2023 |
As filed with the Securities and Exchange Commission on September 27, 2023 As filed with the Securities and Exchange Commission on September 27, 2023 Securities Act File No. |
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| September 27, 2023 |
BY-LAWS H&Q LIFE SCIENCES INVESTORS Revised through June 8, 2023 ARTICLE I Exhibit (b) BY-LAWS OF H&Q LIFE SCIENCES INVESTORS Revised through June 8, 2023 ARTICLE I Definitions The terms “Commission,” “Custodian,” “Declaration,” “Distributor,” “Investment Adviser,” “Majority Shareholder Vote,” “l940 Act,” “Shareholder,” “Shares,” “Transfer Agent,” “Trust,” “Trust Property” and “Trustees” have the respective meanings given them in the Declaration of Trust of H&Q Life Sciences Investors dated February 20, 1992 as amended from time to time. |
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| September 15, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| September 15, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| September 13, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| September 12, 2023 |
Exhibit 16.1 September 12, 2023 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Dear Sirs/Madams: We have read Item 4.01 of Tekla Life Sciences Investors’ Form 8-K dated September 12, 2023, and we agree with the statements made therein. Yours truly, Deloitte & Touche LLP 200 Berkeley Street Boston, MA 02116 USA Tel: 617-437-2625 Fax: 617-437-4625 www.deloitte.com |
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| September 12, 2023 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant 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 12, 2023 (September 6, 2023) Tekla Life Sciences Investors (Exact name of Registrant as Specified in Its Charter) Massachusetts 811-06565 04-3147016 (State or other jurisdic |
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| September 5, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| August 29, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| August 22, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| August 22, 2023 |
Tekla Healthcare Investors Tekla Life Sciences Investors Tekla Healthcare Opportunities Fund Tekla World Healthcare Fund August 22, 2023 Via EDGAR Mindy Rotter U. |
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| August 14, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| August 11, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| July 28, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| July 18, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| July 11, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| July 10, 2023 |
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 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| June 27, 2023 |
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 (Amendment No. ) 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)) ¨ Defin |
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| April 11, 2023 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| February 24, 2023 |
Tekla Life Sciences Investors SCHEDULE OF INVESTMENTS DECEMBER 31, 2022 Tekla Life Sciences Investors SCHEDULE OF INVESTMENTS DECEMBER 31, 2022 (Unaudited) SHARES CONVERTIBLE PREFERREDS (Restricted) (a) (b) – 7. |
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| August 26, 2022 |
TEKLA LIFE SCIENCES INVESTORS SCHEDULE OF INVESTMENTS JUNE 30, 2022 TEKLA LIFE SCIENCES INVESTORS SCHEDULE OF INVESTMENTS JUNE 30, 2022 (Unaudited) SHARES CONVERTIBLE PREFERRED (Restricted) (a) (b)- 8. |
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| July 29, 2022 |
Notice of Change of Trustee, filed herewith Exhibit (a)(xxi) TEKLA LIFE SCIENCES INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, upon the death of Oleg M. |
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| July 29, 2022 |
As filed with the Securities and Exchange Commission on July 29, 2022 As filed with the Securities and Exchange Commission on July 29, 2022 Securities Act File No. |
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| July 1, 2022 |
Notice of Change of Trustee, dated June 16, 2022(15) Exhibit (a)(xx) TEKLA LIFE SCIENCES INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, by Action of Written Consent, the Trustees of Tekla Life Sciences Investors (the ?Fund?), the Trustees of the Fund appointed W. |
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| July 1, 2022 |
As filed with the Securities and Exchange Commission on July 1, 2022 As filed with the Securities and Exchange Commission on July 1, 2022 Securities Act File No. |
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| July 1, 2022 |
(14), Power of Attorney dated June 9, 2022, filed herewith Exhibit (n)(ii) POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that W. Mark Watson, whose signature appears below, constitutes and appoints Daniel R. Omstead, Laura Woodward, Christopher Harvey and Kaitlin McGrath and each of them, his or her true and lawful attorney-in-fact and agent, with full power of substitution among himself or herself and each of the persons appointed herein, for him |
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| April 20, 2022 |
DEFA14A 1 tm2213036d1defa14a.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 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only ( |
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| April 12, 2022 |
DEF 14A 1 tm222535d4def14a.htm DEF 14A 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 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| February 23, 2022 |
Tekla Life Sciences Investors SCHEDULE OF INVESTMENTS December 31, 2021 Tekla Life Sciences Investors SCHEDULE OF INVESTMENTS December 31, 2021 (Unaudited) SHARES CONVERTIBLE PREFERRED (Restricted) (a)(b) – 6. |
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| December 22, 2021 |
Notice of Change of Trustee, dated December 13, 2021(14) Exhibit (a)(xix) TEKLA LIFE SCIENCES INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, by Action of Written Consent, the Trustees of Tekla Life Sciences Investors (?The Fund?), the Trustees of the Fund appointed Kathleen L. |
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| December 22, 2021 |
As filed with the Securities and Exchange Commission on December 22, 2021 As filed with the Securities and Exchange Commission on December 22, 2021 Securities Act File No. |
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| December 22, 2021 |
Power of Attorney dated November 30, 2021 Exhibit (n)(ii) POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that Kathleen L. |
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| August 26, 2021 |
Tekla Life Sciences Investors SCHEDULE OF INVESTMENTS June 30, 2021 Tekla Life Sciences Investors SCHEDULE OF INVESTMENTS June 30, 2021 (Unaudited) SHARES CONVERTIBLE PREFERRED (Restricted)(a)(b)- 5. |
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| July 2, 2021 |
Notice of Change of Trustee, dated June 16, 2021(13) Exhibit (a)(xviii) TEKLA LIFE SCIENCES INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, Lucinda H. |
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| July 2, 2021 |
As filed with the Securities and Exchange Commission on July 2, 2021 As filed with the Securities and Exchange Commission on July 2, 2021 Securities Act File No. |
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| April 13, 2021 |
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 (Amendment No. ) 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 Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| February 26, 2021 |
Tekla Life Sciences Investors SCHEDULE OF INVESTMENTS December 31, 2020 Tekla Life Sciences Investors SCHEDULE OF INVESTMENTS December 31, 2020 (Unaudited) SHARES CONVERTIBLE PREFERRED AND WARRANTS (Restricted)(a) (b) - 4. |
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| January 5, 2021 |
By-Laws of the Registrant, as amended(12) Exhibit (b) BY-LAWS OF H&Q LIFE SCIENCES INVESTORS Revised through December 10, 2020 ARTICLE I Definitions The terms “Commission,” “Custodian,” “Declaration,” “Distributor,” “Investment Adviser,” “Majority Shareholder Vote,” “l940 Act,” “Shareholder,” “Shares,” “Transfer Agent,” “Trust,” “Trust Property” and “Trustees” have the respective meanings given them in the Declaration of Trust of H&Q Life Sciences Investors dated February 20, 1992 as amended from time to time. |
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| January 5, 2021 |
As filed with the Securities and Exchange Commission on January 5, 2021 Securities Act File No. |
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| September 10, 2020 |
Power of Attorney dated August 27, 2020(11) Exhibit (n)(ii) POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that Jeffrey A. |
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| September 10, 2020 |
Notice of Change of Trustee, dated August 27, 2020(11) Exhibit (a)(xvii) TEKLA LIFE SCIENCES INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, by Action of Written Consent, the Trustees of Tekla Life Sciences Investors (“The Fund”), the Trustees of the Fund appointed Jeffrey A. |
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| September 10, 2020 |
As filed with the Securities and Exchange Commission on September 10, 2020 Securities Act File No. |
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| August 25, 2020 |
Tekla Life Sciences Investors SCHEDULE OF INVESTMENTS June 30, 2020 Tekla Life Sciences Investors SCHEDULE OF INVESTMENTS June 30, 2020 (Unaudited) SHARES CONVERTIBLE PREFERRED AND WARRANTS (Restricted)(a) (b) - 3. |
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| May 8, 2020 |
Tekla Healthcare Investors Tekla Life Sciences Investors 100 Federal Street, 19th Floor Tekla Healthcare Opportunities Fund Boston, Massachusetts 02110 Tekla World Healthcare Fund Tel: (617) 772-8500 May 8, 2020 Via EDGAR Jeff Long U. |
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| April 14, 2020 |
HQH / Tekla Healthcare Investors DEF 14A - - DEF 14A 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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| February 27, 2020 |
TEKLA LIFE SCIENCES INVESTORS SCHEDULE OF INVESTMENTS DECEMBER 31, 2019 TEKLA LIFE SCIENCES INVESTORS SCHEDULE OF INVESTMENTS DECEMBER 31, 2019 (Unaudited) SHARES VALUE CONVERTIBLE PREFERRED AND WARRANTS(a) — 1. |
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| August 29, 2019 |
HQL / Tekla Life Sciences Investors NPORT-EX - - TEKLA LIFE SCIENCES INVESTORS SCHEDULE OF INVESTMENTS JUNE 30, 2019 (Unaudited) SHARES VALUE CONVERTIBLE PREFERRED AND WARRANTS(a) - 3. |
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| June 20, 2019 |
HQL / Tekla Life Sciences Investors POS EX - - POST-EFFECTIVE AMENDMENT FILED SOLELY TO ADD EXHIBITS As filed with the Securities and Exchange Commission on June 20, 2019 Securities Act File No. |
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| June 20, 2019 |
Notice of Change of Trustee, dated June 13, 2019(9) Exhibit (a)(xvi) TEKLA LIFE SCIENCES INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, Elizabeth G. |
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| April 15, 2019 |
HQL / Tekla Life Sciences Investors 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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 15, 2019 |
HQL / Tekla Life Sciences Investors DEF 14A 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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| March 12, 2019 |
HQL / Tekla Life Sciences Investors POST-EFFECTIVE AMENDMENT FILED SOLELY TO ADD EXHIBITS As filed with the Securities and Exchange Commission on March 12, 2019 Securities Act File No. |
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| March 12, 2019 |
Notice of Change of Trustee, dated December 13, 2018(8) Exhibit (a)(xv) TEKLA LIFE SCIENCES INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, Michael Bonney tendered his resignation as a Trustee of Tekla Life Sciences Investors (the “Fund”) effective November 1, 2018, the Fund issues this notice in accordance with the terms of the Declaration of Trust of the Fund, dated and filed with the Secretary of State of the Commonwealth of Massachusetts on February 20, 1992, as amended; WHEREAS, at a meeting of the Trustees of Tekla Life Sciences Investors (“The Fund”) on December 13, 2018, the Trustees of the Fund appointed Dr. |
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| March 12, 2019 |
Power of Attorney dated December 13, 2018(8) Exhibit (n)(ii) POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that Elizabeth G. |
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| February 26, 2019 |
Tekla Life Sciences Investors - N-Q OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2019 UNITED STATES Estimated average burden hours per response . |
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| February 26, 2019 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Life Sciences Investors; 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 misleadin |
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| August 28, 2018 |
HQL / Tekla Life Sciences Investors N-Q (Quarterly Schedule of Portfolio Holdings) OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2019 UNITED STATES Estimated average burden hours per response . |
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| August 28, 2018 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Life Sciences Investors; 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 misleadin |
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| April 25, 2018 |
HQL / Tekla Life Sciences Investors 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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 18, 2018 |
HQL / Tekla Life Sciences Investors DEF 14A 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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| April 18, 2018 |
Exhibit (k)(vi) Destra Capital Management LLC One North Wacker Drive 48th Floor Chicago, Illinois 60606 April 2, 2018 VIA EMAIL Tekla Funds 100 Federal Street, 19th Floor Boston, MA 02110 Re: Assignment/Written Consent Dear Laura Woodward: Due to an internal business matter, the management at Destra Capital Management LLC (“DCM”), the parent company of Destra Capital Investments LLC (“Destra”), ha |
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| April 18, 2018 |
Notice of Change of Trustee, dated December 20, 2017(7) Exhibit (a)(xiv) TEKLA LIFE SCIENCES INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, upon the death of Uwe E. |
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| April 18, 2018 |
HQL / Tekla Life Sciences Investors POST-EFFECTIVE AMENDMENT FILED SOLELY TO ADD EXHIBITS As filed with the Securities and Exchange Commission on April 18, 2018 Securities Act File No. |
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| April 18, 2018 |
By-Laws of the Registrant, as amended(7) Exhibit (b) BY-LAWS OF TEKLA LIFE SCIENCES INVESTORS Revised through April 4, 2018 ARTICLE I Definitions The terms “Commission,” “Custodian,” “Declaration,” “Distributor,” “Investment Adviser,” “Majority Shareholder Vote,” “l940 Act,” “Shareholder,” “Shares,” “Transfer Agent,” “Trust,” “Trust Property” and “Trustees” have the respective meanings given them in the Amended and Restated Declaration of Trust of Tekla Life Sciences Investors dated February 20, 1992 as amended from time to time. |
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| April 18, 2018 |
Power of Attorney dated April 9, 2018(7) EX-99.B(N)(II) 5 a18-99721ex99dbnii.htm EX-99.B(N)(II) Exhibit (n)(ii) POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that Thomas M. Kent, whose signature appears below, constitutes and appoints Daniel R. Omstead, Laura Woodward, Christopher P. Harvey and Allison M. Fumai and each of them, his or her true and lawful attorney-in-fact and agent, with full power of substitution among himself o |
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| February 23, 2018 |
EX-99.CERT 2 a18-24392ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Life Sciences Investors; 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 |
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| February 23, 2018 |
Tekla Life Sciences Investors - N-Q OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2019 UNITED STATES Estimated average burden hours per response . |
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| August 25, 2017 |
Tekla Life Sciences Investors - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2019 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 Tekla Life Sciences Investors (Exact name of registrant as specified in ch |
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| August 25, 2017 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Life Sciences Investors; 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 misleadin |
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| July 18, 2017 |
Tekla Healthcare Investors ESP Tekla Healthcare Investors 100 Federal Street, 19th Floor Tekla Life Sciences Investors Boston, Massachusetts 02110 Tekla Healthcare Opportunities Fund Tel: (617) 772-8500 July 18, 2017 VIA EDGAR Kathy Churko U. |
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| June 19, 2017 |
Exhibit (k)(v) SUPPORT SERVICES AGREEMENT This Agreement is made as of January 1, 2016, by and among Tekla World Healthcare Fund, Tekla Healthcare Opportunities Fund, Tekla Healthcare Investors and Tekla Life Sciences Investors, Massachusetts business trusts (together, the ?Tekla Funds? or the ?Funds?), and Destra Capital Investments LLC, a Delaware limited liability company (?Destra?). |
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| June 19, 2017 |
Tekla Life Sciences Investors POS EX As filed with the Securities and Exchange Commission on June 19, 2017 Securities Act File No. |
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| June 19, 2017 |
Tekla Healthcare Investors ESP Tekla Healthcare Investors Tekla Life Sciences Investors 100 Federal Street, 19th Floor Tekla Healthcare Opportunities Fund Boston, Massachusetts 02110 Tel: (617) 772-8500 June 19, 2017 VIA EDGAR Kathy Churko U. |
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| May 26, 2017 |
Tekla Life Sciences Investors 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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| May 24, 2017 |
Tekla Life Sciences Investors 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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 18, 2017 |
Tekla Life Sciences Investors DEF 14A 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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| February 24, 2017 |
Tekla Life Sciences Investors - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2019 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 Tekla Life Sciences Investors (Exact name of registrant as specified in ch |
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| February 24, 2017 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Life Sciences Investors; 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 misleadin |
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| August 26, 2016 |
EX-99.CERT 2 a16-157452ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Life Sciences Investors; 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 unde |
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| August 26, 2016 |
EX-99.CERT 2 a16-157452ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Life Sciences Investors; 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 unde |
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| August 26, 2016 |
Tekla Life Sciences Investors N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2019 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 Tekla Life Sciences Investors (Exact name of registrant as specified in ch |
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| April 18, 2016 |
Tekla Life Sciences Investors DEF 14A 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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| April 18, 2016 |
Tekla Healthcare Investors ESP One International Place, 40th Floor 100 Oliver Street Boston, MA 02110-2605 +1 617 728 7100 Main +1 617 426 6567 Fax www. |
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| April 4, 2016 |
Tekla Life Sciences Investors PRE 14A 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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| February 26, 2016 |
Tekla Life Sciences Investors N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 Tekla Life Sciences Investors (Exact name of registrant as specified in |
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| February 26, 2016 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Life Sciences Investors; 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 misleadin |
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| August 27, 2015 |
Tekla Life Sciences Investors N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 Tekla Life Sciences Investors (Exact name of registrant as specified in |
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| August 27, 2015 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Life Sciences Investors; 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 misleadin |
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| April 20, 2015 |
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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| February 26, 2015 |
EX-99.CERT 2 a15-12372ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Life Sciences Investors; 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 |
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| February 26, 2015 |
Tekla Life Sciences Investors - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 Tekla Life Sciences Investors (Exact name of registrant as specified in |
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| August 27, 2014 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 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 |
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| August 27, 2014 |
HQL / Tekla Life Sciences Investors N-Q - Quarterly Schedule of Portfolio Holdings - N-Q N-Q 1 a14-185842nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of re |
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| July 21, 2014 |
HQH / Tekla Healthcare Investors CORRESP - - July 17, 2014 Ms. Christina DiAngelo Fettig Senior Staff Accountant Division of Investment Management Office of Disclosure Review U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: H&Q Healthcare Investors (SEC File Number: 811-4889) H&Q Life Sciences Investors (SEC File Number: 811-6565) Dear Ms. DiAngelo: This letter sets forth the responses of H&Q Healthcare Inves |
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| May 23, 2014 |
One International Place, 40th Floor 100 Oliver Street Boston, MA 02110 +1 617 728 7100 Main +1 617 275 8405 Fax www. |
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| April 30, 2014 |
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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| February 24, 2014 |
Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of registrant as specified in ch |
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| February 24, 2014 |
EX-99.CERT 2 a14-45612ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 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 w |
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| August 23, 2013 |
EX-99.CERT 2 a13-179722ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 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 |
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| August 23, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of registrant as specified in ch |
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| April 25, 2013 |
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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| March 25, 2013 |
Financial Statements and Exhibits, Other Events - 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): March 22, 2013 H&Q LIFE SCIENCES INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 811-06565 04-3147016 (Co |
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| March 25, 2013 |
H&Q LIFE SCIENCES INVESTORS ANNOUNCES RENEWAL OF SHARE REPURCHASE PROGRAM Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q LIFE SCIENCES INVESTORS ANNOUNCES RENEWAL OF SHARE REPURCHASE PROGRAM BOSTON, MA, March 22, 2013 — H&Q Life Sciences Investors (NYSE: HQL) (the “Fund”) announced today that the Board of Trustees authorized a renewal of its share repurchase program. The current share repurchase program allows the Fund to purchase in the open market up to 12% of its outstanding |
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| February 22, 2013 |
EX-99.CERT 2 a13-21422ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 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 w |
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| February 22, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q N-Q 1 a13-21422nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response........5.6 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of regist |
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| August 28, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response........5.6 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of registrant as specified in chart |
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| August 28, 2012 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 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 |
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| August 2, 2012 |
August 2, 2012 Ms. Christina DiAngelo Senior Staff Accountant Division of Investment Management Office of Disclosure Review U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: H&Q Healthcare Investors (SEC File Number: 811-4889) H&Q Life Sciences Investors (SEC File Number: 811-6565) Dear Ms. DiAngelo: This letter sets forth the responses of H&Q Healthcare Investors ( |
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| June 4, 2012 |
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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| May 8, 2012 |
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 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 30, 2012 |
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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| March 23, 2012 |
Financial Statements and Exhibits, Other Events - 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): March 23, 2012 H&Q LIFE SCIENCES INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 811-06565 04-3147016 (Co |
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| March 23, 2012 |
H&Q LIFE SCIENCES INVESTORS ANNOUNCES RENEWAL OF SHARE REPURCHASE PROGRAM Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q LIFE SCIENCES INVESTORS ANNOUNCES RENEWAL OF SHARE REPURCHASE PROGRAM BOSTON, MA, March 23, 2012 — H&Q Life Sciences Investors (NYSE: HQL) (the “Fund”) announced today that the Board of Trustees authorized a renewal of its share repurchase program. The current share repurchase program allows the Fund to purchase in the open market up to 12% of its outstanding |
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| February 28, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q N-Q 1 a12-26232nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response........5.6 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of regist |
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| February 28, 2012 |
EX-99.CERT 2 a12-26232ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 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 w |
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| August 22, 2011 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 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 |
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| August 22, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response........5.6 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of registrant as specified in chart |
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| June 30, 2011 |
H&Q LIFE SCIENCES INVESTORS ANNOUNCES SHARE REPURCHASE PROGRAM Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q LIFE SCIENCES INVESTORS ANNOUNCES SHARE REPURCHASE PROGRAM BOSTON, MA, June 30, 2011 ? H&Q Life Sciences Investors (NYSE: HQL) (the ?Fund?) announced today that the Board of Trustees authorized a share repurchase program. The program will allow the Fund to purchase in the open market up to 12% of its outstanding common shares for a one year period beginning J |
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| June 30, 2011 |
Financial Statements and Exhibits, Other Events 8-K 1 a11-1594628k.htm 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): June 30, 2011 H&Q LIFE SCIENCES INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation |
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| June 8, 2011 |
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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| June 6, 2011 |
SC 13D/A 1 sc13da70629005006022011.htm AMENDMENT NO. 7 TO THE SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 7)1 H&Q Life Sciences Investors (Name of Issuer) Shares of Beneficial Interest, |
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| June 2, 2011 |
As filed with the Securities and Exchange Commission on June 1, 2011 United States Securities and Exchange Commission Washington, D. |
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| June 2, 2011 |
H&Q LIFE SCIENCES INVESTORS ANNOUNCES FINAL RESULTS OF TENDER OFFER Exhibit 99.(a)(5)(iii) H&Q LIFE SCIENCES INVESTORS ANNOUNCES FINAL RESULTS OF TENDER OFFER Boston, MA, June 2, 2011 ? H&Q Life Sciences Investors (NYSE: HQL) (the ?Fund?) announced today the final results of its tender offer (the ?Tender Offer?) to acquire up to 35% of its outstanding shares (?Shares?) for cash at a price equal to 98% of the Fund?s net asset value per Share as of the close of regu |
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| June 1, 2011 |
H&Q LIFE SCIENCES INVESTORS ANNOUNCES PRELIMINARY RESULTS OF TENDER OFFER Exhibit 99.(a)(5)(ii) H&Q LIFE SCIENCES INVESTORS ANNOUNCES PRELIMINARY RESULTS OF TENDER OFFER Boston, MA, June 1, 2011 ? H&Q Life Sciences Investors (NYSE: HQL) (the ?Fund?) announced today the preliminary results of its tender offer to acquire up to 35% of its outstanding shares (?Shares?) for cash at a price equal to 98% of the Fund?s net asset value per share as of the close of regular tradin |
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| June 1, 2011 |
As filed with the Securities and Exchange Commission on June 1, 2011 United States Securities and Exchange Commission Washington, D. |
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| May 25, 2011 |
H&Q LIFE SCIENCES INVESTORS NOTES TREATMENT OF “ODD LOT” ACCOUNTS IN TENDER OFFER EX-99.(A)(5)(I) 2 a11-132351ex99da5i.htm EX-99.(A)(5)(I) Exhibit 99.(a)(5)(i) H&Q LIFE SCIENCES INVESTORS NOTES TREATMENT OF “ODD LOT” ACCOUNTS IN TENDER OFFER BOSTON, MA, May 25, 2011—H&Q Life Sciences Investors (NYSE: HQL) (the “Fund”) today noted, in response to inquiries from shareholders, the treatment of “odd lots” of the Fund’s shares (i.e., fewer than 100 shares) in connection with the Fun |
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| May 25, 2011 |
As filed with the Securities and Exchange Commission on May 25, 2011 United States Securities and Exchange Commission Washington, D. |
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| May 23, 2011 |
SC 13D/A 1 sc13da60629005005232011.htm AMENDMENT NO. 6 TO THE SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 6)1 H&Q Life Sciences Investors (Name of Issuer) Shares of Beneficial Interest, |
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| May 9, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. 5)1 H&Q Life Sciences Investors (Name of Issuer) Shares of Beneficial Interest, Par Value $.01 Per Share (Title of Class of Securities) 404053100 (CUSIP Nu |
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| May 3, 2011 |
EX-99.(A)(5) 6 a2203672zex-99a5.htm EX-99.(A)(5) Exhibit (a)(5) H&Q LIFE SCIENCES INVESTORS ANNOUNCES APPROVAL OF DECLARATION AMENDMENT AND COMMENCEMENT OF CASH TENDER OFFER BOSTON, MA, May 2, 2011—H&Q Life Sciences Investors (NYSE: HQL) (the “Fund”) announced today that the Fund’s shareholders approved an amendment to the Fund’s Declaration of Trust (the “Declaration Amendment”) at a special meet |
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| May 3, 2011 |
QuickLinks - Click here to rapidly navigate through this document Exhibit (a)(1)(iv) FORM OF LETTER TO CLIENTS OF BROKERS, DEALERS, COMMERCIAL BANKS, TRUST COMPANIES AND OTHER NOMINEES REGARDING THE OFFER BY H&Q LIFE SCIENCES INVESTORS To Our Clients: Enclosed for your consideration are the Offer Notice dated May 3, 2011 of H&Q Life Sciences Investors (the "Fund"), a Massachusetts business trust r |
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| May 3, 2011 |
Exhibit 99.1 H&Q LIFE SCIENCES INVESTORS ANNOUNCES APPROVAL OF DECLARATION AMENDMENT AND COMMENCEMENT OF CASH TENDER OFFER BOSTON, MA, May 2, 2011?H&Q Life Sciences Investors (NYSE: HQL) (the ?Fund?) announced today that the Fund?s shareholders approved an amendment to the Fund?s Declaration of Trust (the ?Declaration Amendment?) at a special meeting today. The Declaration Amendment removes certai |
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| May 3, 2011 |
QuickLinks - Click here to rapidly navigate through this document Exhibit (a)(1)(i) H&Q LIFE SCIENCES INVESTORS NOTICE OF OFFER TO PURCHASE FOR CASH UP TO 35% OF THE FUND'S ISSUED AND OUTSTANDING SHARES OF BENEFICIAL INTEREST AT 98% OF NET ASSET VALUE PER SHARE THE OFFER PERIOD WILL EXPIRE AT 11:59 P. |
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| May 3, 2011 |
QuickLinks - Click here to rapidly navigate through this document Exhibit (a)(1)(iii) FORM OF LETTER TO BROKERS, DEALERS, COMMERCIAL BANKS, TRUST COMPANIES AND OTHER NOMINEES REGARDING THE OFFER BY H&Q LIFE SCIENCES INVESTORS. |
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| May 3, 2011 |
QuickLinks - Click here to rapidly navigate through this document Exhibit (a)(1)(ii) LETTER OF TRANSMITTAL To Accompany Shares of Beneficial Interest of H&Q Life Sciences Investors Tendered for Purchase Pursuant to the Offer Dated May 3, 2011 THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE ON MAY 31, 2011, AT 11:59 P. |
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| May 3, 2011 |
Financial Statements and Exhibits, Other Events 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): May 2, 2011 H&Q LIFE SCIENCES INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 811-06565 04-3147016 (Commi |
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| May 3, 2011 |
QuickLinks - Click here to rapidly navigate through this document As filed with the Securities and Exchange Commission on May 3, 2011 United States Securities and Exchange Commission Washington, D. |
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| April 25, 2011 |
COMPROMISE AND STANDSTILL AGREEMENT EX-99.1 2 ex991to13da406290050042511.htm AGREEMENT, DATED APRIL 25, 2011 Exhibit 99.1 COMPROMISE AND STANDSTILL AGREEMENT This Compromise and Standstill Agreement (this “Agreement”) is made and entered into effective as of the 25th day of April 2011 by and among Hambrecht & Quist Capital Management LLC (“Hambrecht & Quist”), on the one hand, and Arthur D. Lipson, Western Investment LLC, Western In |
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| April 25, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. 4)1 H&Q Life Sciences Investors (Name of Issuer) Shares of Beneficial Interest, Par Value $.01 Per Share (Title of Class of Securities) 404053100 (CUSIP Nu |
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| March 30, 2011 |
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 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| March 22, 2011 |
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 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: ý Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| March 22, 2011 |
200 Clarendon Street 27th Floor Boston, MA 02116-5021 +1 617 728 7100 Main +1 617 426 6567 Fax www. |
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| March 14, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. 3)1 H&Q Life Sciences Investors (Name of Issuer) Shares of Beneficial Interest, Par Value $.01 Per Share (Title of Class of Securities) 404053100 (CUSIP Nu |
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| March 14, 2011 |
EX-99.3 4 ex993to13da306290050031011.htm POWERS OF ATTORNEY Exhibit 99.3 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints Arthur D. Lipson signing singly, the undersigned’s true and lawful attorney-in-fact to take any and all action in connection with the investment by Western Investment LLC, or its affiliates (“Western”), in the voting securities |
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| March 14, 2011 |
WESTERN INVESTMENT LLC 7050 S. Union Park Center, Suite 590 Midvale, Utah 84047 EX-99.2 3 ex992to13da306290050031011.htm FORM OF INDEMNIFICATION AGREEMENT Exhibit 99.2 WESTERN INVESTMENT LLC 7050 S. Union Park Center, Suite 590 Midvale, Utah 84047 , 2011 Re: H&Q Life Sciences Investors Dear Mr. []: Thank you for agreeing to serve as a nominee for election to the Board of Directors of H&Q Life Sciences Investors (“HQL”) in connection with the proxy solicitation that Western In |
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| March 14, 2011 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D dated March 14, 2011 (including amendments thereto) with respect to the securities of H&Q Life Sciences Investors. This Joint Filing Agreement shall be filed as |
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| February 28, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response........5.6 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of registrant as specified in chart |
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| February 28, 2011 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 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 |
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| February 25, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. 2)1 H&Q Life Sciences Investors (Name of Issuer) Shares of Beneficial Interest, Par Value $.01 Per Share (Title of Class of Securities) 404053100 (CUSIP Nu |
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| January 19, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. 1)1 H&Q Life Sciences Investors (Name of Issuer) Shares of Beneficial Interest, Par Value $.01 Per Share (Title of Class of Securities) 404053100 (CUSIP Nu |
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| January 4, 2011 |
EX-99.1 2 ex991tosc13d06290050122210.htm JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D dated January 3, 2011 (including amendments thereto) with respect to the securities of H&Q Life S |
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| January 4, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. )1 H&Q Life Sciences Investors (Name of Issuer) Shares of Beneficial Interest, Par Value $.01 Per Share (Title of Class of Securities) 404053100 (CUSIP Num |
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| November 2, 2010 |
Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q LIFE SCIENCES INVESTORS ANNOUNCES INCREASE OF DISTRIBUTION RATE UNDER MANAGED DISTRIBUTION POLICY BOSTON, MA, November 1, 2010 ? H&Q Life Sciences Investors announced today that it will increase the rate it pays pursuant to its managed distribution policy (the ?Policy?) to 2% of net assets each quarter, up from the previous distribution rate of 1.25% each qua |
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| November 2, 2010 |
Financial Statements and Exhibits, Other Events 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 1, 2010 H&Q LIFE SCIENCES INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 811-06565 04-3147016 ( |
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| August 27, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2012 Estimated average burden hours per response........9.6 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of registrant as specified in chart |
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| August 27, 2010 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 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 |
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| April 27, 2010 |
DEF 14A 1 a10-76641def14a.htm DEF 14A 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 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as |
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| April 6, 2010 |
Financial Statements and Exhibits, Other Events 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 5, 2010 H&Q LIFE SCIENCES INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 811-06565 04-3147016 (Com |
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| April 6, 2010 |
Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q LIFE SCIENCES INVESTORS ANNOUNCES REINSTATEMENT OF DISTRIBUTION UNDER MANAGED DISTRIBUTION POLICY BOSTON, MA, April 5, 2010 ? H&Q Life Sciences Investors announced today the reinstatement of distributions pursuant to its managed distribution policy (the ?Policy?). The Policy will provide for quarterly distributions at an annualized rate equal to 5% of net ass |
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| March 1, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of registrant as specified in char |
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| March 1, 2010 |
EX-99.CERT 2 a10-18192ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 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 w |
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| September 30, 2009 |
Financial Statements and Exhibits, Other Events 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 30, 2009 H&Q LIFE SCIENCES INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 811-06565 04-3147016 |
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| September 30, 2009 |
Exhibit 99.1 FOR IMMEDIATE RELEASE EX-99.1 2 a09-288742ex99d1.htm EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q LIFE SCIENCES INVESTORS ANNOUNCES SHARE REPURCHASE PROGRAM BOSTON, MA, September 30, 2009 — H&Q Life Sciences Investors (NYSE: HQL) announced today that the Board of Trustees authorized a share repurchase program. The program will allow the Fund to purchase in the open market up to 10% of its outstanding common shares fo |
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| August 28, 2009 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 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 |
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| August 28, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of registrant as specified in char |
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| August 4, 2009 |
Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q LIFE SCIENCES INVESTORS ANNOUNCES SUSPENSION OF DISTRIBUTION POLICY BOSTON, MA, August 4, 2009 ? H&Q Life Sciences Investors announced today that it will suspend its managed distribution policy (the ?Policy?) and payment of quarterly distributions until further notice. The suspension of the Policy is effective immediately. As originally implemented in 2000, t |
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| August 4, 2009 |
Financial Statements and Exhibits, Other Events 8-K 1 a09-2038628k.htm 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): August 4, 2009 H&Q LIFE SCIENCES INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporatio |
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| May 1, 2009 |
DEF 14A 1 a09-88342def14a.htm DEF 14A 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 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as |
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| March 2, 2009 |
EX-99.CERT 2 a09-46222ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 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 w |
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| March 2, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of registrant as specified in char |
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| August 28, 2008 |
EX-99.CERT 2 a08-220582ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 2. Based on my knowledge, this report does not contain any untrue statement of material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under wh |
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| August 28, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response 10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of registrant as specified in charter) 2 |
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| July 18, 2008 |
Financial Statements and Exhibits, Other Events 8-K 1 a08-1946728k.htm 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): July 18, 2008 H&Q LIFE SCIENCES INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation |
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| July 18, 2008 |
– The Board of Trustees of H&Q Life Sciences Investors Adopts Amendments to the By-laws of the Fund EX-99.1 2 a08-194672ex99d1.htm EX-99.1 Exhibit 99.1 07/18/2008 – The Board of Trustees of H&Q Life Sciences Investors Adopts Amendments to the By-laws of the Fund On July 17, 2008, the Board of Trustees of H&Q Life Sciences Investors (the “Fund”) adopted amendments to the By-laws of the Fund. The Trustees determined that the By-laws should be updated in order to ensure an orderly and informed shar |
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| May 5, 2008 |
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 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| February 29, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of registrant as specified in char |
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| February 29, 2008 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 2. Based on my knowledge, this report does not contain any untrue statement of 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 wi |
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| August 29, 2007 |
EX-99.CERT 2 a07-210802ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 2. Based on my knowledge, this report does not contain any untrue statement of material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under wh |
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| August 29, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of registrant as specified in char |
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| May 10, 2007 |
UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0059 Washington, D. |
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| April 5, 2007 |
UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0059 Washington, D. |
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| March 1, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: May 31, 2007 Estimated average burden hours per response........21.09 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Life Sciences Investors (Exact name of registrant as specified in chart |
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| March 1, 2007 |
EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 2. Based on my knowledge, this report does not contain any untrue statement of 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 th |
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| August 29, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: May 31, 2007 Estimated average burden hours per response........21.09 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-004889 H&Q Life Sciences Investors (Exact name of registrant as specified in char |
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| August 29, 2006 |
EX-99.CERT 2 a06-187372ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 2. Based on my knowledge, this report does not contain any untrue statement of material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under wh |
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| August 11, 2006 |
H&Q LIFE SCIENCES INVESTORS 30 Rowes Wharf, Suite 430 Boston, Massachusetts 02110-3328 H&Q LIFE SCIENCES INVESTORS 30 Rowes Wharf, Suite 430 Boston, Massachusetts 02110-3328 August 11, 2006 U. |
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| May 8, 2006 |
UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0059 Washington, D. |
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| February 28, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: May 31, 2007 Estimated average burden hours per response........21.09 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-004889 H&Q Life Sciences Investors (Exact name of registrant as specified in char |
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| February 28, 2006 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 2. Based on my knowledge, this report does not contain any untrue statement of 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 wi |
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| August 26, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: February 28, 2006 Estimated average burden hours per response........20.00 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-004889 H&Q Life Sciences Investors (Exact name of registrant as specified in |
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| August 26, 2005 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 2. Based on my knowledge, this report does not contain any untrue statement of 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 wi |
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| March 1, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: February 28, 2006 Estimated average burden hours per response........20.00 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Life Sciences Investors (Exact name of registrant as specified in |
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| March 1, 2005 |
Fund Name Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 99.CERT Fund Name Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Life Sciences Investors; 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 |
