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LOGO
VIA EDGAR
October 25, 2018
Securities and Exchange Commission
Division of Investment Management
100 F Street, NE
Washington, D.C. 20549
Re: SEC Staff Sarbanes-Oxley Review of Pioneer ILS Interval Fund Filings
Ladies and Gentlemen:
This letter is to respond to comments received on September 25, 2018 from
Ms. Lauren Hamilton of the Staff of the Securities and Exchange Commission (the
"Commission") in connection with the Staff's review of financial statements for
the fiscal year ended October 31, 2017 and other filings made by Pioneer ILS
Interval Fund (the "Registrant").
1. Comment: The Staff requested that the Registrant explain why Item 8
(Portfolio Managers of Closed-End Management Investment
Companies) of the Form N-CSR filed on December 29, 2017 was not
completed.
Response: The Registrant notes that Item 8 of the Form N-CSR filed on
December 29, 2017 was inadvertently not completed. The
Registrant notes that the information regarding the
Registrant's portfolio managers required to be disclosed under
Item 8 of Form N-CSR also is included in the Registrant's
registration statement on Form N-2. The Registrant notes that,
as a continuously offered interval fund, it updates its
registration statement on Form N-2 annually, including with
respect to the portfolio manager information also covered by
Item 8 of Form N-CSR. The Registrant confirms that it will
complete Item 8 of Form N-CSR in future filings.
2. Comment: The Staff noted that Form N-CSR was recently amended to require
closed-end management investment companies to include in new
Item 12 disclosure regarding securities lending activities, and
that the compliance date for such disclosure was August 1,
2017. The Staff noted that the Form N-CSR filed by the
Registrant on December 29, 2017 was submitted using a prior
version of the Form and did not include the disclosure required
by new Item 12. The Staff requested that the Registrant provide
the disclosure required by Item 12 regarding securities lending
activities in future filings.
Response: The Registrant confirms that it will provide the disclosure
required by Item 12 of Form N-CSR in future filings to the
extent applicable. The Registrant notes that it did not
participate in a securities lending program during the fiscal
year ended October 31, 2017.
3. Comment: The Staff referred to Rule 6-07.2(a) of Regulation S-X and
requested that the Registrant explain why fees and expenses of
affiliated Trustees were not presented as a separate line item
in the Statement of Operations included in financial statements
for the fiscal year ended October 31, 2017.
Response: The Registrant notes that it did not present fees and expenses
of affiliated Trustees as a separate line item in the Statement
of Operations included in financial statements for the fiscal
year ended October 31, 2017 because the Registrant did not bear
any such fees or expenses of affiliated Trustees.
4. Comment: The Staff noted that at April 30, 2018, approximately 90% of
the Registrant's net assets consisted of Level 3 securities.
The Staff requested that, in light of the apparent illiquidity
of a large percentage of the Registrant's portfolio, the
Registrant explain specifically how it meets its obligation as
an interval fund to conduct quarterly repurchase offers of at
least 5% and, typically, 10% of the Registrant's outstanding
shares at NAV in accordance with the Registrant's prospectus
and Rule 23c-3 under the Investment Company Act of 1940, as
amended.
Response: The Registrant notes that the Registrant seeks to hold at least
10% of its net assets in cash or liquid investments for
purposes of conducting quarterly repurchase offers. The
Registrant also notes that, at April 30, 2018, it held
approximately 10.5% of its net assets in Level 2 securities, in
the form of exchange-traded catastrophe bonds. The Registrant
notes that, as a general matter, such catastrophe bonds are
liquid investments.
5. Comment: The Staff requested that, in future filings, the Registrant
indicate in the Schedule of Investments the interest rate of
fixed income securities with a stated rate of income. The Staff
noted that, if the rate is not yet determined, the Registrant
should indicate a best estimate.
Response: The Registrant notes that information is not generally
available to the Registrant to report or accurately estimate a
rate of income with respect to certain structured reinsurance
investments (quota shares) in which the Registrant invests. The
Registrant notes that quota shares, which represent a
participation in the premiums and losses of a reinsurer's
portfolio of catastrophe-oriented policies, do not have a
stated rate of income. Investors generally receive information
on income payable by a quota share investment only after the
underlying reinsurer closes its books for the year. The
Registrant notes that, without information on income payable by
a quota share investment, estimating the income payable by the
quota share could result in the Registrant grossly overstating
or understating the income rates. Accordingly, the Registrant
respectfully declines to indicate such estimates in the
Registrant's Schedule of Investments.
6. Comment: The Staff referred to ASC 820-10-50-2(bbb) and requested that
the Registrant explain why the financial statements do not
include disclosure regarding valuation techniques and inputs
used in the fair value measurement (i.e., range of broker
quotes and third party prices) with respect to investments
categorized as Level 3 securities.
Response: The Registrant notes that all of the Registrant's investments
categorized as Level 3 securities were valued at the bid price
obtained from an independent pricing service, or through a
third party using an insurance industry valuation model. The
Registrant respectfully submits that disclosure regarding
valuation techniques and inputs used in a fair value
measurement is not required with respect to valuations obtained
from or through a third party pricing service.
7. Comment: The Staff requested that the Registrant confirm if the
securities other than Rule 144A securities listed in the
Schedule of Investments are restricted securities and, if so,
to provide the disclosure required by Rule 12-12, Footnote 8,
of Regulation S-X in future filings.
Response: The Registrant confirms that in future filings it will provide
the disclosure required by Rule 12-12, Footnote 8, of
Regulation S-X with respect to restricted securities other than
Rule 144A securities listed in the Schedule of Investments.
8. Comment: The Staff referred to ASC 275-10-50 and requested that the
Registrant include in future filings a table clearly disclosing
where the majority of the Registrant's risks are related to
investments in reinsurance products (e.g., peril type, region
and risk allocation percentage). The Staff suggested that the
Registrant consider including in future filings a similar chart
to the chart describing region and peril data that was included
in the quarterly fact sheet with respect to the Registrant
dated June 30, 2018.
Response: The Registrant confirms that it will include in future filings
a chart or other disclosure that seeks to describe the
Registrant's overall risk exposure related to investments in
reinsurance products by peril and region.
Please contact me directly at 617-422-4468 if you require any further
clarification.
Very truly yours,
/s/ Mark E. Bradley
Mark E. Bradley
Treasurer, Pioneer Funds
cc: Michael Melnick
Christopher Frazier
Christopher Kelley
Thomas Reyes