As filed with the U.S. Securities and Exchange Commission on April 29, 2020
Securities Act File No. 333-237253
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
Form N-14
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x
Pre-Effective Amendment No. 1 x
Post-Effective Amendment No. ¨
THE HARTFORD MUTUAL FUNDS, INC.
(Exact Name of Registrant as Specified in Charter)
690 Lee Road
Wayne, Pennsylvania 19087
(Address of Principal Executive Offices) (Zip Code)
1-610-386-4068
(Registrant’s Area Code and Telephone Number)
Thomas R. Phillips, Esquire
Hartford Funds Management Company, LLC
690 Lee Road
Wayne, Pennsylvania 19087
(Name and Address of Agent for Service)
With copies to:
John V. O’Hanlon, Esquire
Dechert LLP
One International Place, 40th Floor
100 Oliver Street
Boston, Massachusetts 02110-2605
Approximate Date of Proposed Public Offering:
As soon as practicable after this Registration Statement becomes effective.
Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until Registrant shall file a further amendment that specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the 1933 Act, or until this Registration Statement shall become effective on such date as the Commission, acting pursuant to such Section 8(a), shall determine.
No filing fee is required because an indefinite number of shares have previously been registered pursuant to Rule 24f-2 under the Investment Company Act of 1940, as amended.
ON BEHALF OF THE HARTFORD QUALITY BOND FUND
Information Statement/Prospectus. Please read it carefully.
690 Lee Road
Wayne, Pennsylvania 19087
(610) 386-4068
| | Documents: | | | | How to Obtain a Copy: | | |
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| This summary prospectus is being mailed with the Information Statement/Prospectus. This document is incorporated by reference into (and therefore legally part of) this Information Statement/Prospectus. | | |
| | Documents: | | | | How to Obtain a Copy: | | |
| | • The Funds’ statutory prospectus dated February 28, 2020, as supplemented February 28, 2020, March 25, 2020 and April 15, 2020, and as may be further amended, supplemented or restated (File Nos. 333-02381 and 811-07589 (Acquired Fund and Acquiring Fund)) (the “Prospectus”) • Combined Statement of Additional Information of The Hartford Mutual Funds, Inc. (the “Company”) and The Hartford Mutual Funds II, Inc. dated February 28, 2020, as may be amended, supplemented or restated (File Nos. 333-02381 and 811-07589 (Acquired Fund and Acquiring Fund)) | | | | These documents are available, without charge, on the Funds’ website at hartfordfunds.com/prospectuses.html, by calling 1-888-843-7824, or by writing to the Hartford Funds, P.O. Box 219060, Kansas City, MO 64121-9060. Each of these documents is incorporated by reference into this Information Statement/Prospectus (meaning that they are legally considered to be part of this Information Statement/Prospectus) only insofar as they relate to the Funds. No other parts of such documents are incorporated by reference herein. | | |
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| This document is available, without charge, on the Funds’ website at hartfordfunds.com/prospectuses.html, by calling 1-888-843-7824, or by writing to the Hartford Funds, P.O. Box 219060, Kansas City, MO 64121-9060. | | |
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| | | | | A-1 | | | |
| | | | | B-1 | | |
| | | | | | ACQUIRED FUND | | | | ACQUIRING FUND | | |
| | Principal Investment Strategies | | | | The Acquired Fund seeks to achieve its investment objective by investing in securities that the sub-adviser, Wellington Management Company LLP (“Wellington Management”), considers to be attractive from a total return perspective while providing current income. The Acquired Fund normally invests at least 80% of its assets in investment grade, fixed-income securities. Investment grade securities are securities that are rated investment grade by a nationally recognized statistical rating organization (“NRSRO”), or are considered by Wellington Management to be of equivalent credit quality. The Acquired Fund generally invests a significant portion of its assets in mortgage-related securities, such as agency mortgage-backed securities, non-agency mortgage-backed securities and collateralized mortgage obligations, and other obligations that are secured by mortgages or mortgage-backed securities, although the amount the Acquired Fund invests in such securities may change significantly from time to time based on current market conditions. The Acquired Fund is permitted to invest without limitation in mortgage-backed securities issued by U.S. Government agencies, instrumentalities or sponsored enterprises including the Government National Mortgage Association (Ginnie Mae), the Federal National Mortgage Association (Fannie Mae) and the Federal Home Loan Mortgage Corporation (Freddie Mac). The Acquired Fund may invest up to 30% of its net assets in non-agency residential and commercial mortgage-backed securities and asset backed securities, including collateralized loan obligations. The Acquired Fund may invest in both U.S. Treasury obligations and in obligations of U.S. Government agencies or instrumentalities. The Acquired Fund may use reverse repurchase transactions, repurchase agreements and dollar rolls. The Acquired Fund may use derivative instruments, including futures contracts, options, and swaps, to enhance returns, manage portfolio risk or for other investment purposes. The Acquired Fund may trade securities actively and may invest in debt securities of any maturity. The Acquired Fund normally maintains a dollar weighted average duration of between 1 and 8 years. Duration is a measure of the sensitivity of a fixed income security’s price to changes in interest rates. The Acquired Fund’s average duration measure incorporates a bond’s yield, coupon, final maturity, and the effect of derivatives, such as interest rate swaps and futures that may be used to manage the Acquired Fund’s interest rate risk. The Acquired Fund may purchase or sell | | | | Under normal circumstances, the Acquiring Fund invests at least 80% of its assets in bonds that the sub-adviser, Wellington Management, considers to be attractive from a total return perspective along with current income. The Acquiring Fund may invest up to 20% of its net assets in securities rated below investment grade (also known as “junk bonds”). Bonds in which the Acquiring Fund invests include (1) securities issued or guaranteed as to principal or interest by the U.S. Government, its agencies or instrumentalities; (2) non-convertible debt securities issued or guaranteed by U.S. corporations or other issuers (including foreign governments or corporations); (3) asset-backed and mortgage-related securities, including collateralized loan obligations; and (4) securities issued or guaranteed as to principal or interest by a sovereign government or one of its agencies or political subdivisions, supranational entities such as development banks, non-U.S. corporations, banks or bank holding companies, or other foreign issuers. The Acquiring Fund may use derivatives to manage portfolio risk or for other investment purposes. The derivatives in which the Acquiring Fund may invest include, but are not limited to, futures and options contracts, swap agreements and forward foreign currency contracts. Additionally, the Acquiring Fund may invest up to 40% of its net assets in debt securities of foreign issuers, including from emerging markets, and up to 20% of its net assets in non-dollar securities. The Acquiring Fund may purchase or sell securities on a when-issued, delayed delivery or forward commitment basis, including securities acquired or sold in the “to be announced” (TBA) market. The Acquiring Fund may invest in “Rule 144A” securities, which are privately placed, restricted securities that may only be resold under certain circumstances to other qualified institutional buyers. The Acquiring Fund may trade securities actively. Although the Acquiring Fund may invest in securities and other instruments of any maturity or duration, the Acquiring Fund normally invests in debt securities with a maturity of at least one year. There is no limit on the average maturity of the Acquiring Fund’s portfolio. The investment team is organized with generalist portfolio managers leading sector, rates and risk positioning decisions. The portfolio managers may allocate a portion of the Acquiring Fund’s assets to specialists within Wellington Management who drive individual sector and security selection strategies. | | |
| | | | | | ACQUIRED FUND | | | | ACQUIRING FUND | | |
| | | | | | securities on a when-issued, delayed delivery or forward commitment basis, including securities acquired or sold in the “to be announced” (TBA) market. The Acquired Fund may invest in “Rule 144A” securities, which are privately placed, restricted securities that may only be resold under certain circumstances to other qualified institutional buyers. Prior to the Reorganization, the Acquired Fund plans on engaging in transition management techniques, including selling portfolio investments. During this time, the Fund may not pursue its investment objective and principal investment strategy. | | | | | | |
| | Additional Investment Strategies | | | | In pursuit of its principal investment strategy, the Acquired Fund may also (1) engage in short-selling of “to-be-announced” investments; (2) invest in various types of stripped securities including interest only and principal only securities; (3) enter into bond forwards; (4) invest in variable rate bonds known as “inverse floaters”; (5) invest in other investment companies, including exchange-traded funds; and (6) invest in credit risk transfer securities. Wellington Management combines top-down analysis of the business cycle and the macro economy with bottom-up research and analysis. Analysis of the business cycle allows the portfolio manager to seek to identify short-term and long-term mispricings of prepayment risk and interest-rate volatility within the mortgage-backed securities market. Bottom-up proprietary credit and structured research is undertaken to identify security selection opportunities in the corporate and structured credit sectors. Wellington Management monitors risk throughout the investment process and managed at the security, sector, and total fund level. Wellington Management may also consider certain environmental, social and/or governance (ESG) factors during its assessment. | | | | The Acquiring Fund may also invest up to 15% of its net assets in bank loans or loan participation interests in secured or unsecured variable, fixed or floating rate loans to U.S. and foreign corporations, partnerships and other entities. The Acquiring Fund may invest up to 15% of its net assets in preferred stocks, convertible securities, and securities accompanied by warrants to purchase equity securities. While the Acquiring Fund will not make direct purchases of common stock, from time to time the Acquiring Fund will hold positions in common stock as a result of certain events, such as among other things the exercise of conversion rights or warrants, as well as restructurings or bankruptcy plans of reorganization with respect to an issuer’s securities held by the Acquiring Fund. In pursuit of its principal investment strategy, the Acquiring Fund also may (1) engage in short-selling of TBA investments; (2) use dollar rolls; (3) enter into bond forwards; (4) invest in other investment companies; (5) invest in exchange traded notes; and (6) invest in credit risk transfer securities. The sub-adviser, Wellington Management, emphasizes identification of structural and cyclical themes that may unfold over the intermediate to long term complemented by shorter-term opportunistic themes created by market dislocations. Wellington Management may also consider certain environmental, social and/or governance (ESG) factors during its assessment. | | |
| | | | | | Front End Sales Charge | | | | Deferred Sales Charge (Load) | | | | Distribution and Service (12b-1) Fees(1) | | |
| | Class A | | | | Class A shares are offered with a front-end sales charge ranging from 4.50% to 0.00% of the Fund’s offering price, depending on the amount invested. | | | | Investments of $1 million or more in Class A shares may be made with no front-end sales charge. However, if you qualify to purchase your Class A shares without any sales charge and you redeem those shares within 18 months of the purchase, you may pay a contingent deferred sales charge of 1.00% on any Class A shares sold. | | | | 0.25% | | |
| | Class C(2) | | | | None | | | | 1.00% on shares sold within one year of purchase | | | | 1.00% | | |
| | Class I(3) | | | | None | | | | None | | | | None | | |
| | Class R3 | | | | None | | | | None | | | | 0.50% | | |
| | Class R4 | | | | None | | | | None | | | | 0.25% | | |
| | Class R5 | | | | None | | | | None | | | | None | | |
| | Class R6(3) (4) | | | | None | | | | None | | | | None | | |
| | Class Y(3) | | | | None | | | | None | | | | None | | |
| | Class F(3) | | | | None | | | | None | | | | None | | |
| | Share Classes | | | | Minimum Initial Investment | | | | Minimum Subsequent Investment | | |
| | Class A, Class C and Class I | | | | $2,000 for all accounts except: $250, if establishing an Automatic Investment Plan, with recurring monthly investments of at least $50 | | | | $50 | | |
| | Class R3, Class R4, Class R5 and Class R6* | | | | No minimum initial investment | | | | None | | |
| | Class Y | | | | $250,000 This requirement is waived when the shares are purchased through omnibus accounts (or similar types of accounts). | | | | None | | |
| | Class F | | | | $1,000,000 This requirement is waived when the shares are purchased through omnibus accounts (or similar types of accounts). | | | | None | | |
| | Fund | | | | Declaration frequency of net investment income | | | | Payment frequency of net investment income | | |
| | Acquired Fund | | | | Monthly* | | | | Monthly | | |
| | Acquiring Fund | | | | Daily | | | | Monthly | | |
| | Principal Risks | | | | Acquired Fund | | | | Acquiring Fund | | |
| | Market Risk — Market risk is the risk that one or more markets in which the Fund invests will go down in value, including the possibility that the markets will go down sharply and unpredictably. Securities of a company may decline in value due to its financial prospects and activities, including certain operational impacts, such as data breaches and cybersecurity attacks. Securities may also decline in value due to general market and economic movements and trends, including adverse changes to credit markets. A widespread health crisis, such as a global pandemic, could cause substantial market volatility, exchange trading suspensions or restrictions and closures of securities exchanges and businesses, impact the ability to complete redemptions, and adversely impact Fund performance. A recent outbreak of COVID-19, a respiratory disease caused by a novel coronavirus, has negatively affected the worldwide economy, the financial health of individual companies and the market in significant and unforeseen ways. The future impact of COVID-19 is currently unknown. The effects to public health, business and market conditions resulting from COVID-19 pandemic may have a significant negative impact on the performance of the Fund’s investments, including exacerbating other pre-existing political, social and economic risks. | | | | Yes | | | | Yes | | |
| | Interest Rate Risk — The risk that your investment may go down in value when interest rates rise, because when interest rates rise, the prices of bonds and fixed rate loans fall. A wide variety of factors can cause interest rates to rise, including central bank monetary policies and inflation rates. Generally, the longer the maturity of a bond or fixed rate loan, the more sensitive it is to this risk. Falling interest rates also create the potential for a decline in the Fund’s income. These risks are greater during periods of rising inflation. Volatility in interest rates and in fixed income markets may increase the risk that the Fund’s investment in fixed income securities will go down in value. Risks associated with rising interest rates are currently heightened because interest rates in the U.S. remain near historic lows and the Federal Reserve Board may raise interest rates. Actions taken by the Federal Reserve Board or foreign central banks to stimulate or stabilize economic growth, such as decreases or increases in short-term interest rates, may adversely affect markets, which could, in turn, negatively impact Fund performance. | | | | Yes | | | | Yes | | |
| | Credit Risk — Credit risk is the risk that the issuer of a security or other instrument will not be able to make principal and interest payments when due. Changes in an issuer’s financial strength, credit rating or the market’s perception of an issuer’s creditworthiness may also affect the value of the Fund’s investment in that issuer. The degree of credit risk depends on both the financial condition of the issuer and the terms of the obligation. | | | | Yes | | | | Yes | | |
| | Principal Risks | | | | Acquired Fund | | | | Acquiring Fund | | |
| | Mortgage-Related and Asset-Backed Securities Risk — Mortgage-related and asset-backed securities represent interests in “pools” of assets. These securities are subject to credit risk, interest rate risk, “prepayment risk” (the risk that borrowers will repay a loan more quickly in periods of falling interest rates) and “extension risk” (the risk that borrowers will repay a loan more slowly in periods of rising interest rates). The value of these securities will be influenced by factors affecting the assets underlying such securities. If the Fund invests in mortgage-related or asset-backed securities that are subordinated to other interests in the same asset pool, the Fund may only receive payments after the pool’s obligations to other investors have been satisfied. During periods of difficult or frozen credit markets, such securities may decline in value, face valuation difficulties, become more volatile and/or become illiquid. An unexpectedly high rate of defaults on the mortgages held by a mortgage pool may limit substantially the pool’s ability to make payments of principal or interest to the Fund, reducing the values of those securities or in some cases rendering them worthless. The risk of such defaults is generally higher in the case of mortgage pools that include so-called “subprime” mortgages. | | | | Yes | | | | Yes | | |
| | Collateralized Loan Obligations Risk — Collateralized loan obligations (“CLOs”) bear many of the same risks as other forms of asset-backed securities. As they are backed by pools of loans, CLOs also bear similar risks to investing in loans directly. CLOs may experience substantial losses attributable to loan defaults. Losses caused by defaults on underlying assets are borne first by the holders of subordinate tranches. The Fund’s investment in CLOs may decrease in market value when the CLO experiences loan defaults or credit impairment, the disappearance of a subordinate tranche, or market anticipation of defaults and investor aversion to CLO securities as a class. | | | | Yes | | | | Yes | | |
| | To Be Announced (TBA) Transactions Risk — TBA investments include when-issued and delayed delivery securities and forward commitments. TBA transactions involve the risk that the security the Fund buys will lose value prior to its delivery. The Fund is subject to this risk whether or not the Fund takes delivery of the securities on the settlement date for a transaction. There also is the risk that the security will not be issued or that the other party to the transaction will not meet its obligation. If this occurs, the Fund loses both the investment opportunity for the assets it set aside to pay for the security and any gain in the security’s price. The Fund may also take a short position in a TBA investment when it owns or has the right to obtain, at no added cost, identical securities. If the Fund takes such a short position, it may reduce the risk of a loss if the price of the securities declines in the future, but will lose the opportunity to profit if the price rises. | | | | Yes | | | | Yes | | |
| | Derivatives Risk — Derivatives are instruments whose value depends on, or is derived from, the value of an underlying asset, reference rate or index. Derivatives may be riskier than other types of investments because they may be more sensitive to changes in economic or market conditions than other types of investments and could result in losses that significantly exceed the Fund’s original investment. Successful use of derivative instruments by the Fund depends on the sub-adviser’s judgment with respect to a number of factors and the Fund’s performance could be worse and/or more volatile than if it had not used these instruments. In addition, the fluctuations in the value of derivatives may not correlate perfectly with the value of any portfolio assets being hedged, the performance of the asset class to which the sub-adviser seeks exposure, or the overall securities markets. | | | | Yes | | | | Yes | | |
| | Leverage Risk — Certain transactions, such as the use of derivatives, may give rise to leverage. Leverage can increase market exposure, increase volatility in the Fund, magnify investment risks, and cause losses to be realized more quickly. The use of leverage may cause the Fund to liquidate portfolio positions to satisfy its obligations or to meet asset segregation requirements when it may not be advantageous to do so. | | | | Yes | | | | Yes | | |
| | Principal Risks | | | | Acquired Fund | | | | Acquiring Fund | | |
| | Swaps Risk — A swap is a two-party contract that generally obligates the parties to exchange payments based on a specified reference security, basket of securities, security index or index component. Swaps can involve greater risks than direct investment in securities because swaps may be leveraged and are subject to counterparty risk (e.g., the risk of a counterparty defaulting on the obligation or bankruptcy), credit risk and pricing risk (i.e., swaps may be difficult to value). Certain swaps may also be considered illiquid. It may not be possible for the Fund to liquidate a swap position at an advantageous time or price, which may result in significant losses. | | | | Yes | | | | Yes | | |
| | Futures and Options Risks — Futures and options may be more volatile than direct investments in the securities underlying the futures and options, may not correlate perfectly to the underlying securities, may involve additional costs, and may be illiquid. Futures and options also may involve the use of leverage as the Fund may make a small initial investment relative to the risk assumed, which could result in losses greater than if futures or options had not been used. Futures and options are also subject to the risk that the other party to the transaction may default on its obligation. | | | | Yes | | | | Yes | | |
| | Forward Currency Contracts Risk — A forward currency contract is an agreement between two parties to buy and sell a currency at a set price on a future date. The market value of a forward currency contract fluctuates with changes in foreign currency exchange rates. While forward foreign currency exchange contracts do not eliminate fluctuations in the value of foreign securities, they do allow the Fund to establish a fixed rate of exchange for a future point in time. Use of such contracts, therefore, can have the effect of reducing returns and minimizing opportunities for gain. The Fund could also lose money when the contract is settled. The Fund’s gains from its positions in forward foreign currency contracts may accelerate and/or recharacterize the Fund’s income or gains and its distributions to shareholders as ordinary income. The Fund’s losses from such positions may also recharacterize the Fund’s income and its distributions to shareholders and may cause a return of capital to Fund shareholders. Such acceleration or recharacterization could affect an investor’s tax liability. | | | | No | | | | Yes | | |
| | Foreign Investments Risk — Investments in foreign securities may be riskier, more volatile, and less liquid than investments in U.S. securities. Differences between the U.S. and foreign regulatory regimes and securities markets, including the less stringent investor protection and disclosure standards of some foreign markets, as well as political and economic developments in foreign countries and regions and the U.S. (including the imposition of sanctions, tariffs, or other governmental restrictions), may affect the value of the Fund’s investments in foreign securities. Changes in currency exchange rates may also adversely affect the Fund’s foreign investments. The impact of the United Kingdom’s departure from the European Union, commonly known as “Brexit,” and the potential departure of one or more other countries from the European Union may have significant political and financial consequences for global markets. This may adversely impact Fund performance. | | | | No | | | | Yes | | |
| | Emerging Markets Risk — The risks related to investing in foreign securities are generally greater with respect to investments in companies that conduct their principal business activities in emerging markets or whose securities are traded principally on exchanges in emerging markets. The risks of investing in emerging markets include risks of illiquidity, increased price volatility, smaller market capitalizations, less government regulation, less extensive and less frequent accounting, financial and other reporting requirements, significant delays in settlement of trades, risk of loss resulting from problems in share registration and custody and substantial economic and political disruptions. Frontier markets are those emerging markets that are considered to be among the smallest, least mature and least liquid, and as a result, the risks of investing in emerging markets are magnified in frontier markets. | | | | No | | | | Yes | | |
| | Principal Risks | | | | Acquired Fund | | | | Acquiring Fund | | |
| | Currency Risk — The risk that the value of the Fund’s investments in foreign securities or currencies will be affected by the value of the applicable currency relative to the U.S. dollar. When the Fund sells a foreign currency or foreign currency denominated security, its value may be worth less in U.S. dollars even if the investment increases in value in its local market. U.S. dollar-denominated securities of foreign issuers may also be affected by currency risk, as the revenue earned by issuers of these securities may also be affected by changes in the issuer’s local currency. | | | | No | | | | Yes | | |
| | High Yield Investments Risk — High yield investments rated below investment grade (also referred to as “junk bonds”) are considered to be speculative and are subject to heightened credit risk, which may make the Fund more sensitive to adverse developments in the U.S. and abroad. Lower rated debt securities generally involve greater risk of default or price changes due to changes in the issuer’s creditworthiness than higher rated debt securities. The market prices of these securities may fluctuate more than higher quality securities and may decline significantly in periods of general economic difficulty. There may be little trading in the secondary market for particular debt securities, which may make them more difficult to value or sell. | | | | No | | | | Yes | | |
| | U.S. Government Securities Risk — Treasury obligations may differ in their interest rates, maturities, times of issuance and other characteristics. Securities backed by the U.S. Treasury or the full faith and credit of the United States are guaranteed only as to the timely payment of interest and principal when held to maturity. Accordingly, the current market values for these securities will fluctuate with changes in interest rates. Obligations of U.S. Government agencies and authorities are supported by varying degrees of credit but generally are not backed by the full faith and credit of the U.S. Government. No assurance can be given that the U.S. Government will provide financial support to its agencies and authorities if it is not obligated by law to do so. In addition, the value of U.S. Government securities may be affected by changes in the credit rating of the U.S. Government. U.S. Government securities are also subject to the risk that the U.S. Treasury will be unable to meet its payment obligations. | | | | Yes | | | | Yes | | |
| | Restricted Securities Risk — Restricted securities are subject to the risk that they may be difficult to sell at the time and price the Fund prefers. | | | | Yes | | | | Yes | | |
| | Call Risk — Call risk is the risk that an issuer, especially during a period of falling interest rates, may redeem a security by repaying it early, which may reduce the Fund’s income if the proceeds are reinvested at lower interest rates. | | | | Yes | | | | Yes | | |
| | Liquidity Risk — The risk that the market for a particular investment or type of investment is or becomes relatively illiquid, making it difficult for the Fund to sell that investment at an advantageous time or price. Illiquidity may be due to events relating to the issuer of the securities, market events, rising interest rates, economic conditions or investor perceptions. Illiquid securities may be difficult to value and their value may be lower than the market price of comparable liquid securities, which would negatively affect the Fund’s performance. | | | | No | | | | Yes | | |
| | Event Risk — Event risk is the risk that corporate issuers may undergo restructurings, such as mergers, leveraged buyouts, takeovers, or similar events financed by increased debt. As a result of the added debt, the credit quality and market value of a company’s bonds and/or other debt securities may decline significantly. | | | | No | | | | Yes | | |
| | Active Investment Management Risk -The risk that, if the sub-adviser’s investment strategy does not perform as expected, the Fund could underperform its peers or lose money. | | | | Yes | | | | Yes | | |
| | Securities Lending Risk — The Fund may engage in securities lending. The Fund may lose money because the borrower of the loaned securities fails to return the securities in a timely manner or at all. The Fund could also lose money in the event of a decline in the value of the collateral provided for loaned securities or a decline in the value of any investments made with cash collateral. These events could also trigger adverse tax consequences for the Fund. | | | | Yes | | | | Yes | | |
| | Principal Risks | | | | Acquired Fund | | | | Acquiring Fund | | |
| | Active Trading Risk — Active trading could increase the Fund’s transaction costs and may increase your tax liability as compared to a fund with less active trading policies. These effects may adversely affect Fund performance. | | | | Yes | | | | Yes | | |
| | Large Shareholder Transaction Risk — The Fund may experience adverse effects when certain large shareholders redeem or purchase large amounts of shares of the Fund. Such redemptions may cause the Fund to sell securities at times when it would not otherwise do so or borrow money (at a cost to the Fund), which may negatively impact the Fund’s performance and liquidity. Similarly, large purchases may adversely affect the Fund’s performance to the extent that the Fund is delayed in investing new cash and is required to maintain a larger cash position than it ordinarily would. These transactions may also accelerate the realization of taxable income to shareholders if such sales of investments resulted in gains, and may also increase transaction costs. | | | | Yes | | | | Yes | | |
| | Reverse Repurchase Agreements Risk — Reverse repurchase agreements involve the sale of securities held by the Fund with an agreement to repurchase the securities at an agreed-upon price, date and interest payment. Reverse repurchase agreements carry the risk that the market value of the securities that the Fund is obligated to repurchase may decline below the repurchase price. The Fund could also lose money if it is unable to recover the securities and the value of any collateral held or assets segregated by the Fund to cover the transaction is less than the value of securities. The use of reverse repurchase agreements may increase the possibility of fluctuation in the Fund’s net asset value. | | | | Yes | | | | No | | |
| | Repurchase Agreements Risk — Repurchase agreements involve the purchase of securities held by the Fund with an agreement to resell the securities at an agreed-upon price, date and interest payment. Repurchase transactions are subject to credit risk and the risk that the counterparty will not fulfill its obligations under the agreement. In addition, repurchase agreements carry the risk that the market value of the securities purchased may increase above the resell value, which means the Fund would be required to sell the securities back at a price below what they are worth. | | | | Yes | | | | No | | |
| | Dollar Rolls Risk — The Fund may enter into dollar rolls in which the Fund will sell securities for delivery in the current month and simultaneously contract to repurchase substantially similar (the same type and coupon) securities on a specified future date to the same party. Dollar rolls involve the risk that the market value of the securities that the Fund is committed to buy may decline below the price of the securities the Fund has sold or that the counterparty may be unable to fulfill its obligations. These transactions may involve leverage. | | | | Yes | | | | No | | |
THE ACQUIRING FUND
| | | | | | The Hartford Quality Bond Fund (Acquired Fund) | | | | The Hartford Total Return Bond Fund (Acquiring Fund) | | | | The Hartford Total Return Bond Fund (Acquiring Fund) Pro Forma(1) | | | ||||||||||||||||||||||||
| | Share Classes | | | | A | | | | C | | | | I, R3, R4, R5, Y and F | | | | A | | | | C | | | | I, R3, R4, R5, Y and F | | | | A | | | | C | | | | I, R3, R4, R5, Y and F | | |
| | Maximum sales charge (load) imposed on purchases (as a percentage of offering price) | | | | 4.50% | | | | None | | | | None | | | | 4.50% | | | | None | | | | None | | | | 4.50% | | | | None | | | | None | | |
| | Maximum deferred sales charge (load) (as a percentage of purchase price or redemption proceeds, whichever is less) | | | | None(2) | | | | 1.00% | | | | None | | | | None(2) | | | | 1.00% | | | | None | | | | None(2) | | | | 1.00% | | | | None | | |
| | | | | | The Hartford Quality Bond Fund (Acquired Fund) | | | | The Hartford Total Return Bond Fund (Acquiring Fund) | | | | The Hartford Total Return Bond Fund (Acquiring Fund) Pro Forma(1) | | | ||||||||||||||||||||||||
| | Share Classes | | | | A | | | | C | | | | I | | | | A | | | | C | | | | I | | | | A | | | | C | | | | I | | |
| | Management fees | | | | 0.40% | | | | 0.40% | | | | 0.40% | | | | 0.29%(3) | | | | 0.29%(3) | | | | 0.29%(3) | | | | 0.29%(3) | | | | 0.29%(3) | | | | 0.29%(3) | | |
| | Distribution and service (12b-1) fees | | | | 0.25% | | | | 1.00% | | | | None | | | | 0.25% | | | | 1.00% | | | | None | | | | 0.25% | | | | 1.00% | | | | None | | |
| | Other expenses | | | | 0.29% | | | | 0.27% | | | | 0.23% | | | | 0.19% | | | | 0.23% | | | | 0.16%(4) | | | | 0.18% | | | | 0.22% | | | | 0.16%(4) | | |
| | Acquired fund fees and expenses | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | |
| | Total annual fund operating expenses(5) | | | | 0.95% | | | | 1.68% | | | | 0.64% | | | | 0.74% | | | | 1.53% | | | | 0.46% | | | | 0.73% | | | | 1.52% | | | | 0.46% | | |
| | Fee waiver and/or expense reimbursement | | | | 0.09%(6) | | | | 0.07%(6) | | | | 0.03%(6) | | | | 0.00% | | | | 0.00% | | | | 0.00% | | | | 0.00% | | | | 0.00% | | | | 0.00% | | |
| | Total annual fund operating expenses after fee waiver and/or expense reimbursement | | | | 0.86%(6) | | | | 1.61%(6) | | | | 0.61%(6) | | | | 0.74% | | | | 1.53% | | | | 0.46% | | | | 0.73% | | | | 1.52% | | | | 0.46% | | |
| | | | | | The Hartford Quality Bond Fund (Acquired Fund) | | | | The Hartford Total Return Bond Fund (Acquiring Fund) | | | | The Hartford Total Return Bond Fund (Acquiring Fund) Pro Forma(1) | | | ||||||||||||||||||||||||
| | Share Classes | | | | R3 | | | | R4 | | | | R5 | | | | R3 | | | | R4 | | | | R5 | | | | R3 | | | | R4 | | | | R5 | | |
| | Management fees | | | | 0.40% | | | | 0.40% | | | | 0.40% | | | | 0.29%(3) | | | | 0.29%(3) | | | | 0.29%(3) | | | | 0.29%(3) | | | | 0.29%(3) | | | | 0.29%(3) | | |
| | Distribution and service (12b-1) fees | | | | 0.50% | | | | 0.25% | | | | None | | | | 0.50% | | | | 0.25% | | | | None | | | | 0.50% | | | | 0.25% | | | | None | | |
| | Other expenses | | | | 0.37% | | | | 0.32% | | | | 0.27% | | | | 0.27% | | | | 0.21% | | | | 0.17% | | | | 0.27% | | | | 0.20% | | | | 0.17% | | |
| | Acquired fund fees and expenses | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | |
| | Total annual fund operating expenses(5) | | | | 1.28% | | | | 0.98% | | | | 0.68% | | | | 1.07% | | | | 0.76% | | | | 0.47% | | | | 1.07% | | | | 0.75% | | | | 0.47% | | |
| | Fee waiver and/or expense reimbursement | | | | 0.08%(6) | | | | 0.03%(6) | | | | 0.03%(6) | | | | 0.00% | | | | 0.00% | | | | 0.00% | | | | 0.00% | | | | 0.00% | | | | 0.00% | | |
| | Total annual fund operating expenses after fee waiver and/or expense reimbursement | | | | 1.20%(6) | | | | 0.95%(6) | | | | 0.65%(6) | | | | 1.07% | | | | 0.76% | | | | 0.47% | | | | 1.07% | | | | 0.75% | | | | 0.47% | | |
| | | | | | The Hartford Quality Bond Fund (Acquired Fund) | | | | The Hartford Total Return Bond Fund (Acquiring Fund) | | | | The Hartford Total Return Bond Fund (Acquiring Fund) Pro Forma(1) | | | ||||||||||||
| | Share Classes | | | | Y | | | | F | | | | Y | | | | F | | | | Y | | | | F | | |
| | Management fees | | | | 0.40% | | | | 0.40% | | | | 0.29%(3) | | | | 0.29%(3) | | | | 0.29%(3) | | | | 0.29%(3) | | |
| | Distribution and service (12b-1) fees | | | | None | | | | None | | | | None | | | | None | | | | None | | | | None | | |
| | Other expenses | | | | 0.26%(4) | | | | 0.15% | | | | 0.16%(4) | | | | 0.05% | | | | 0.16%(4) | | | | 0.05% | | |
| | Acquired fund fees and expenses | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | | | 0.01% | | |
| | Total annual fund operating expenses(5) | | | | 0.67% | | | | 0.56% | | | | 0.46% | | | | 0.35% | | | | 0.46% | | | | 0.35% | | |
| | Fee waiver and/or expense reimbursement | | | | 0.12%(6) | | | | 0.11%(6) | | | | 0.00% | | | | 0.00% | | | | 0.00% | | | | 0.00% | | |
| | Total annual fund operating expenses after fee waiver and/or expense reimbursement | | | | 0.55%(6) | | | | 0.45%(6) | | | | 0.46% | | | | 0.35% | | | | 0.46% | | | | 0.35% | | |
| | | | | | Year 1 | | | | Year 3 | | | | Year 5 | | | | Year 10 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | Share Classes | | | | A | | | | C | | | | I | | | | A | | | | C | | | | I | | | | A | | | | C | | | | I | | | | A | | | | C | | | | I | | | ||||||||||||||||||||||||||||||||||||
| | The Hartford Quality Bond Fund (Acquired Fund) | | | | | $ | 534 | | | | | | $ | 264 | | | | | | $ | 62 | | | | | | $ | 731 | | | | | | $ | 523 | | | | | | $ | 202 | | | | | | $ | 943 | | | | | | $ | 906 | | | | | | $ | 354 | | | | | | $ | 1,556 | | | | | | $ | 1,981 | | | | | | $ | 796 | | | |
| | The Hartford Total Return Bond Fund (Acquiring Fund) | | | | | $ | 522 | | | | | | $ | 256 | | | | | | $ | 47 | | | | | | $ | 676 | | | | | | $ | 483 | | | | | | $ | 148 | | | | | | $ | 843 | | | | | | $ | 834 | | | | | | $ | 258 | | | | | | $ | 1,327 | | | | | | $ | 1,824 | | | | | | $ | 579 | | | |
| | The Hartford Total Return Bond Fund (Acquiring Fund) Pro Forma(1) | | | | | $ | 521 | | | | | | $ | 255 | | | | | | $ | 47 | | | | | | $ | 673 | | | | | | $ | 480 | | | | | | $ | 148 | | | | | | $ | 838 | | | | | | $ | 829 | | | | | | $ | 258 | | | | | | $ | 1,316 | | | | | | $ | 1,813 | | | | | | $ | 579 | | | |
| | | | | | Year 1 | | | | Year 3 | | | | Year 5 | | | | Year 10 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | Share Classes | | | | R3 | | | | R4 | | | | R5 | | | | R3 | | | | R4 | | | | R5 | | | | R3 | | | | R4 | | | | R5 | | | | R3 | | | | R4 | | | | R5 | | | ||||||||||||||||||||||||||||||||||||
| | The Hartford Quality Bond Fund (Acquired Fund) | | | | | $ | 122 | | | | | | $ | 97 | | | | | | $ | 66 | | | | | | $ | 398 | | | | | | $ | 309 | | | | | | $ | 215 | | | | | | $ | 695 | | | | | | $ | 539 | | | | | | $ | 376 | | | | | | $ | 1,538 | | | | | | $ | 1,199 | | | | | | $ | 844 | | | |
| | The Hartford Total Return Bond Fund (Acquiring Fund) | | | | | $ | 109 | | | | | | $ | 78 | | | | | | $ | 48 | | | | | | $ | 340 | | | | | | $ | 243 | | | | | | $ | 151 | | | | | | $ | 590 | | | | | | $ | 422 | | | | | | $ | 263 | | | | | | $ | 1,306 | | | | | $942 | | | | | $ | 591 | | | | |||
| | The Hartford Total Return Bond Fund (Acquiring Fund) Pro Forma(1) | | | | | $ | 109 | | | | | | $ | 77 | | | | | | $ | 48 | | | | | | $ | 340 | | | | | | $ | 240 | | | | | | $ | 151 | | | | | | $ | 590 | | | | | | $ | 417 | | | | | | $ | 263 | | | | | | $ | 1,306 | | | | | $930 | | | | | $ | 591 | | | |
| | | | | | Year 1 | | | | Year 3 | | | | Year 5 | | | | Year 10 | | | ||||||||||||||||||||||||||||||||||||||||
| | Share Classes | | | | Y | | | | F | | | | Y | | | | F | | | | Y | | | | F | | | | Y | | | | F | | | ||||||||||||||||||||||||
| | The Hartford Quality Bond Fund (Acquired Fund) | | | | | $ | 56 | | | | | | $ | 46 | | | | | | $ | 202 | | | | | | $ | 168 | | | | | | $ | 361 | | | | | | $ | 302 | | | | | | $ | 823 | | | | | | $ | 691 | | | |
| | The Hartford Total Return Bond Fund (Acquiring Fund) | | | | | $ | 47 | | | | | | $ | 36 | | | | | | $ | 148 | | | | | | $ | 113 | | | | | | $ | 258 | | | | | | $ | 197 | | | | | | $ | 579 | | | | | | $ | 443 | | | |
| | The Hartford Total Return Bond Fund (Acquiring Fund) Pro Forma(1) | | | | | $ | 47 | | | | | | $ | 36 | | | | | | $ | 148 | | | | | | $ | 113 | | | | | | $ | 258 | | | | | | $ | 197 | | | | | | $ | 579 | | | | | | $ | 443 | | | |
| | | | | | Year 1 | | | | Year 3 | | | | Year 5 | | | | Year 10 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | Share Classes | | | | A | | | | C | | | | I | | | | A | | | | C | | | | I | | | | A | | | | C | | | | I | | | | A | | | | C | | | | I | | | ||||||||||||||||||||||||||||||||||||
| | The Hartford Quality Bond Fund (Acquired Fund) | | | | | $ | 534 | | | | | | $ | 164 | | | | | | $ | 62 | | | | | | $ | 731 | | | | | | $ | 523 | | | | | | $ | 202 | | | | | | $ | 943 | | | | | | $ | 906 | | | | | | $ | 354 | | | | | | $ | 1,556 | | | | | | $ | 1,981 | | | | | | $ | 796 | | | |
| | The Hartford Total Return Bond Fund (Acquiring Fund) | | | | | $ | 522 | | | | | | $ | 156 | | | | | | $ | 47 | | | | | | $ | 676 | | | | | | $ | 483 | | | | | | $ | 148 | | | | | | $ | 843 | | | | | | $ | 834 | | | | | | $ | 258 | | | | | | $ | 1,327 | | | | | | $ | 1,824 | | | | | | $ | 579 | | | |
| | The Hartford Total Return Bond Fund (Acquiring Fund) Pro Forma(1) | | | | | $ | 521 | | | | | | $ | 155 | | | | | | $ | 47 | | | | | | $ | 673 | | | | | | $ | 480 | | | | | | $ | 148 | | | | | | $ | 838 | | | | | | $ | 829 | | | | | | $ | 258 | | | | | | $ | 1,316 | | | | | | $ | 1,813 | | | | | | $ | 579 | | | |
| | | | | | Year 1 | | | | Year 3 | | | | Year 5 | | | | Year 10 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | Share Classes | | | | R3 | | | | R4 | | | | R5 | | | | R3 | | | | R4 | | | | R5 | | | | R3 | | | | R4 | | | | R5 | | | | R3 | | | | R4 | | | | R5 | | | ||||||||||||||||||||||||||||||||||||
| | The Hartford Quality Bond Fund (Acquired Fund) | | | | | $ | 122 | | | | | | $ | 97 | | | | | | $ | 66 | | | | | | $ | 398 | | | | | | $ | 309 | | | | | | $ | 215 | | | | | | $ | 695 | | | | | | $ | 539 | | | | | | $ | 376 | | | | | | $ | 1,538 | | | | | | $ | 1,199 | | | | | | $ | 844 | | | |
| | The Hartford Total Return Bond Fund (Acquiring Fund) | | | | | $ | 109 | | | | | | $ | 78 | | | | | | $ | 48 | | | ��� | | | $ | 340 | | | | | | $ | 243 | | | | | | $ | 151 | | | | | | $ | 590 | | | | | | $ | 422 | | | | | | $ | 263 | | | | | | $ | 1,306 | | | | | $942 | | | | | $ | 591 | | | | |||
| | The Hartford Total Return Bond Fund (Acquiring Fund) Pro Forma(1) | | | | | $ | 109 | | | | | | $ | 77 | | | | | | $ | 48 | | | | | | $ | 340 | | | | | | $ | 240 | | | | | | $ | 151 | | | | | | $ | 590 | | | | | | $ | 417 | | | | | | $ | 263 | | | | | | $ | 1,306 | | | | | $930 | | | | | $ | 591 | | | |
| | | | | | Year 1 | | | | Year 3 | | | | Year 5 | | | | Year 10 | | | ||||||||||||||||||||||||||||||||||||||||
| | Share Classes | | | | Y | | | | F | | | | Y | | | | F | | | | Y | | | | F | | | | Y | | | | F | | | ||||||||||||||||||||||||
| | The Hartford Quality Bond Fund (Acquired Fund) | | | | | $ | 56 | | | | | | $ | 46 | | | | | | $ | 202 | | | | | | $ | 168 | | | | | | $ | 361 | | | | | | $ | 302 | | | | | | $ | 823 | | | | | | $ | 691 | | | |
| | The Hartford Total Return Bond Fund (Acquiring Fund) | | | | | $ | 47 | | | | | | $ | 36 | | | | | | $ | 148 | | | | | | $ | 113 | | | | | | $ | 258 | | | | | | $ | 197 | | | | | | $ | 579 | | | | | | $ | 443 | | | |
| | The Hartford Total Return Bond Fund (Acquiring Fund) Pro Forma(1) | | | | | $ | 47 | | | | | | $ | 36 | | | | | | $ | 148 | | | | | | $ | 113 | | | | | | $ | 258 | | | | | | $ | 197 | | | | | | $ | 579 | | | | | | $ | 443 | | | |
BENEFITS OF THE REORGANIZATION
| | Acquired Fund | | | | Acquiring Fund* | | | ||||||||
| | AVERAGE DAILY NET ASSETS | | | | ANNUAL RATE | | | | AVERAGE DAILY NET ASSETS | | | | ANNUAL RATE | | |
| | First $500 million | | | | 0.4000% | | | | First $500 million | | | | 0.3500% | | |
| | Next $500 million | | | | 0.3700% | | | | Next $500 million | | | | 0.3000% | | |
| | Next $4 billion | | | | 0.3400% | | | | Next $4 billion | | | | 0.2600% | | |
| | Next $5 billion | | | | 0.3300% | | | | Amount Over $5 billion | | | | 0.2500% | | |
| | Amount Over $10 billion | | | | 0.3200% | | | | | | | | | | |
| | Fund | | | | Effective Management Fee | | |
| | Acquired Fund | | | | 0.40% | | |
| | Acquiring Fund | | | | 0.31% | | |
| Share Classes | | | 1 Year | | | 5 Years | | | Since Inception (11/30/12) | | |||||||||
| Class A – Return Before Taxes | | | | | 2.20% | | | | | | 1.31% | | | | | | 1.51% | | |
| – After Taxes on Distributions | | | | | 1.19% | | | | | | 0.36% | | | | | | 0.67% | | |
| – After Taxes on Distributions and Sale of Fund Shares | | | | | 1.29% | | | | | | 0.57% | | | | | | 0.78% | | |
| Share Classes (Return Before Taxes) | | | | | | | | | | | | | | | | | | | |
| Class C | | | | | 5.16% | | | | | | 1.46% | | | | | | 1.38% | | |
| Class I | | | | | 7.38% | | | | | | 2.52% | | | | | | 2.44% | | |
| Class R3 | | | | | 6.45% | | | | | | 1.97% | | | | | | 1.86% | | |
| Class R4 | | | | | 7.18% | | | | | | 2.45% | | | | | | 2.29% | | |
| Class R5 | | | | | 7.19% | | | | | | 2.64% | | | | | | 2.51% | | |
| Class Y | | | | | 7.58% | | | | | | 2.64% | | | | | | 2.52% | | |
| Class F* | | | | | 7.41% | | | | | | 2.59% | | | | | | 2.49% | | |
| Bloomberg Barclays U.S. Aggregate Bond Index (reflects no deduction for fees, expenses or tases) | | | | | 8.72% | | | | | | 3.05% | | | | | | 2.66% | | |
| Share Classes | | | 1 Year | | | 5 Years | | | 10 Years | | |||||||||
| Class A – Return Before Taxes | | | | | 4.91% | | | | | | 2.22% | | | | | | 3.44% | | |
| – After Taxes on Distributions | | | | | 3.68% | | | | | | 1.03% | | | | | | 2.12% | | |
| – After Taxes on Distributions and Sale of Fund Shares | | | | | 2.88% | | | | | | 1.15% | | | | | | 2.11% | | |
| Share Classes (Return Before Taxes) | | | | | | | | | | | | | | | | | | | |
| Class C | | | | | 7.98% | | | | | | 2.39% | | | | | | 3.14% | | |
| Class I | | | | | 10.23% | | | | | | 3.44% | | | | | | 4.20% | | |
| Class R3 | | | | | 9.57% | | | | | | 2.84% | | | | | | 3.60% | | |
| Class R4 | | | | | 9.86% | | | | | | 3.15% | | | | | | 3.91% | | |
| Class R5 | | | | | 10.58% | | | | | | 3.52% | | | | | | 4.25% | | |
| Class R6* | | | | | 10.27% | | | | | | 3.54% | | | | | | 4.31% | | |
| Class Y | | | | | 10.25% | | | | | | 3.55% | | | | | | 4.32% | | |
| Class F* | | | | | 10.37% | | | | | | 3.53% | | | | | | 4.25% | | |
| Bloomberg Barclays U.S. Aggregate Bond Index (reflects no deduction for fees, expenses or taxes) | | | | | 8.72% | | | | | | 3.05% | | | | | | 3.75% | | |
| | Fund | | | | Short-Term Capital Loss Carryforward with No Expiration | | | | Long-Term Capital Loss Carryforward with No Expiration | | | ||||||
| | Acquired Fund | | | | | $ | 480,036 | | | | | | $ | 369,387 | | | |
| | Acquiring Fund | | | | | | — | | | | | | $ | 18,649,030 | | | |
| | | | | | Quality Bond Fund (Acquired Fund) | | | | Total Return Bond Fund (Acquiring Fund) | | | | Pro Forma Adjustments(1) | | | | Total Return Bond Fund (Acquiring Fund) Pro Forma(2) | | | ||||||||||||
| | Net Assets | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | Class A | | | | | $ | 24,427,684 | | | | | | $ | 1,022,035,655 | | | | | | | — | | | | | | $ | 1,046,463,339 | | | |
| | Class C | | | | | $ | 12,920,598 | | | | | | $ | 23,568,285 | | | | | | | — | | | | | | $ | 36,488,883 | | | |
| | Class I | | | | | $ | 19,808,710 | | | | | | $ | 151,923,672 | | | | | | | — | | | | | | $ | 171,732,382 | | | |
| | Class R3 | | | | | $ | 134,864 | | | | | | $ | 4,430,669 | | | | | | | — | | | | | | $ | 4,565,533 | | | |
| | Class R4 | | | | | $ | 12,570 | | | | | | $ | 9,697,742 | | | | | | | — | | | | | | $ | 9,710,312 | | | |
| | Class R5 | | | | | $ | 16,810 | | | | | | $ | 1,689,331 | | | | | | | — | | | | | | $ | 1,706,141 | | | |
| | Class R6 | | | | | | N/A | | | | | | $ | 53,808,531 | | | | | | | — | | | | | | $ | 53,808,531 | | | |
| | Class Y | | | | | $ | 262,379 | | | | | | $ | 341,227,356 | | | | | | | — | | | | | | $ | 341,489,735 | | | |
| | Class F | | | | | $ | 99,833,926 | | | | | | $ | 702,894,726 | | | | | | | — | | | | | | $ | 802,728,652 | | | |
| | Total Net Assets | | | | | $ | 157,417,541 | | | | | | $ | 2,311,275,967 | | | | | | | — | | | | | | $ | 2,468,693,508 | | | |
| | Shares Outstanding | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | Class A | | | | | | 2,336,101 | | | | | | | 95,492,211 | | | | | | | (53,140) | | | | | | | 97,775,172 | | | |
| | Class C | | | | | | 1,244,093 | | | | | | | 2,176,726 | | | | | | | (51,055) | | | | | | | 3,369,764 | | | |
| | Class I | | | | | | 1,901,791 | | | | | | | 14,238,930 | | | | | | | (45,305) | | | | | | | 16,095,416 | | | |
| | Class R3 | | | | | | 12,917 | | | | | | | 402,801 | | | | | | | (657) | | | | | | | 415,061 | | | |
| | Class R4 | | | | | | 1,204 | | | | | | | 889,387 | | | | | | | (51) | | | | | | | 890,540 | | | |
| | Class R5 | | | | | | 1,611 | | | | | | | 155,884 | | | | | | | (60) | | | | | | | 157,435 | | | |
| | Class R6 | | | | | | N/A | | | | | | | 5,003,173 | | | | | | | N/A | | | | | | | 5,003,173 | | | |
| | Class Y | | | | | | 25,031 | | | | | | | 31,672,601 | | | | | | | (669) | | | | | | | 31,696,963 | | | |
| | Class F | | | | | | 9,593,943 | | | | | | | 66,282,964 | | | | | | | (175,648) | | | | | | | 75,701,259 | | | |
| | Net Asset Value Per Share | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | Class A | | | | | $ | 10.46 | | | | | | $ | 10.70 | | | | | | | — | | | | | | $ | 10.70 | | | |
| | Class C | | | | | $ | 10.39 | | | | | | $ | 10.83 | | | | | | | — | | | | | | $ | 10.83 | | | |
| | Class I | | | | | $ | 10.42 | | | | | | $ | 10.67 | | | | | | | — | | | | | | $ | 10.67 | | | |
| | Class R3 | | | | | $ | 10.44 | | | | | | $ | 11.00 | | | | | | | — | | | | | | $ | 11.00 | | | |
| | Class R4 | | | | | $ | 10.44 | | | | | | $ | 10.90 | | | | | | | — | | | | | | $ | 10.90 | | | |
| | Class R5 | | | | | $ | 10.43 | | | | | | $ | 10.84 | | | | | | | — | | | | | | $ | 10.84 | | | |
| | Class R6 | | | | | | N/A | | | | | | $ | 10.75 | | | | | | | — | | | | | | $ | 10.75 | | | |
| | Class Y | | | | | $ | 10.48 | | | | | | $ | 10.77 | | | | | | | — | | | | | | $ | 10.77 | | | |
| | Class F | | | | | $ | 10.41 | | | | | | $ | 10.60 | | | | | | | — | | | | | | $ | 10.60 | | | |
| ||||||||||||||||||||||||||||||||||||||||||||||
– Selected Per-Share Data(1) – | | | – Ratios and Supplemental Data – | | ||||||||||||||||||||||||||||||||||||||||||
Class | | | Net Asset Value at Beginning of Period | | | Net Investment Income (Loss) | | | Net Realized and Unrealized Gain (Loss) on Investments | | | Total from Investment Operations | | | Dividends from Net Investment Income | | | Distributions from Capital Gains | | | Returns of Capital | | | Total Dividends and Distributions | | | Net Asset Value at End of Period | | | Total Return(2) | | | Net Assets at End of Period) (000s) | | | Ratio of Expenses to Average Net Assets Before Adjust- ments(3)(4) | | | Ratio of Expenses to Average Net Assets After Adjust- ments(3)(4) | | | Ratio of Net Investment Income (Loss) to Average Net Assets(4) | | | Portfolio Turnover | |
For the Year Ended October 31, 2019 | | |||||||||||||||||||||||||||||||||||||||||||||
A | | | $9.55 | | | $0.23 | | | $0.68 | | | $0.91 | | | $(0.27) | | | $— | | | $— | | | $(0.27) | | | $10.19 | | | 9.72% | | | $15,478 | | | 0.94% | | | 0.83% | | | 2.34% | | | 59% | |
C | | | 9.47 | | | 0.16 | | | 0.67 | | | 0.83 | | | (0.17) | | | — | | | — | | | (0.17) | | | 10.13 | | | 8.96 | | | 9,594 | | | 1.67 | | | 1.56 | | | 1.57 | | | 59 | |
I | | | 9.55 | | | 0.26 | | | 0.68 | | | 0.94 | | | (0.32) | | | — | | | — | | | (0.32) | | | 10.17 | | | 10.04 | | | 5,261 | | | 0.63 | | | 0.53 | | | 2.62 | | | 59 | |
R3 | | | 9.53 | | | 0.20 | | | 0.66 | | | 0.86 | | | (0.21) | | | — | | | — | | | (0.21) | | | 10.18 | | | 9.26 | �� | | 128 | | | 1.27 | | | 1.16 | | | 2.03 | | | 59 | |
R4 | | | 9.56 | | | 0.25 | | | 0.68 | | | 0.93 | | | (0.31) | | | — | | | — | | | (0.31) | | | 10.18 | | | 9.85 | | | 12 | | | 0.97 | | | 0.61 | | | 2.58 | | | 59 | |
R5 | | | 9.56 | | | 0.26 | | | 0.68 | | | 0.94 | | | (0.32) | | | — | | | — | | | (0.32) | | | 10.18 | | | 9.99 | | | 32 | | | 0.67 | | | 0.56 | | | 2.61 | | | 59 | |
Y | | | 9.64 | | | 0.27 | | | 0.70 | | | 0.97 | | | (0.35) | | | — | | | — | | | (0.35) | | | 10.26 | | | 10.23 | | | 34 | | | 0.13 | | | 0.02 | | | 2.70 | | | 59 | |
F | | | 9.56 | | | 0.27 | | | 0.67 | | | 0.94 | | | (0.34) | | | — | | | — | | | (0.34) | | | 10.16 | | | 10.17 | | | 102,455 | | | 0.55 | | | 0.44 | | | 2.74 | | | 59 | |
For the Year Ended October 31, 2018 | | |||||||||||||||||||||||||||||||||||||||||||||
A | | | $9.95 | | | $0.21 | | | $(0.38) | | | $(0.17) | | | $(0.23) | | | $— | | | $— | | | $(0.23) | | | $9.55 | | | (1.84)% | | | $10,117 | | | 0.93% | | | 0.82% | | | 2.11% | | | 67% | |
C | | | 9.87 | | | 0.13 | | | (0.38) | | | (0.25) | | | (0.15) | | | — | | | — | | | (0.15) | | | 9.47 | | | (2.65) | | | 2,630 | | | 1.75 | | | 1.60 | | | 1.33 | | | 67 | |
I | | | 9.95 | | | 0.23 | | | (0.37) | | | (0.14) | | | (0.26) | | | — | | | — | | | (0.26) | | | 9.55 | | | (1.45) | | | 1,760 | | | 0.65 | | | 0.54 | | | 2.32 | | | 67 | |
R3 | | | 9.93 | | | 0.17 | | | (0.37) | | | (0.20) | | | (0.20) | | | — | | | — | | | (0.20) | | | 9.53 | | | (2.18) | | | 196 | | | 1.27 | | | 1.15 | | | 1.79 | | | 67 | |
R4 | | | 9.96 | | | 0.22 | | | (0.37) | | | (0.15) | | | (0.25) | | | — | | | — | | | (0.25) | | | 9.56 | | | (1.56) | | | 11 | | | 1.00 | | | 0.63 | | | 2.29 | | | 67 | |
R5 | | | 9.96 | | | 0.23 | | | (0.38) | | | (0.15) | | | (0.25) | | | — | | | — | | | (0.25) | | | 9.56 | | | (1.49) | | | 29 | | | 0.67 | | | 0.56 | | | 2.37 | | | 67 | |
Y | | | 10.04 | | | 0.24 | | | (0.38) | | | (0.14) | | | (0.26) | | | — | | | — | | | (0.26) | | | 9.64 | | | (1.43) | | | 15 | | | 0.61 | | | 0.54 | | | 2.39 | | | 67 | |
F | | | 9.96 | | | 0.24 | | | (0.37) | | | (0.13) | | | (0.27) | | | — | | | — | | | (0.27) | | | 9.56 | | | (1.47) | | | 108,531 | | | 0.55 | | | 0.44 | | | 2.49 | | | 67 | |
For the Year Ended October 31, 2017 | | |||||||||||||||||||||||||||||||||||||||||||||
A | | | $10.34 | | | $0.16 | | | $(0.20) | | | $(0.04) | | | $(0.19) | | | $(0.16) | | | $— | | | $(0.35) | | | $9.95 | | | (0.35)% | | | $13,410 | | | 1.01% | | | 0.95% | | | 1.59% | | | 94% | |
C | | | 10.26 | | | 0.08 | | | (0.20) | | | (0.12) | | | (0.11) | | | (0.16) | | | — | | | (0.27) | | | 9.87 | | | (1.11) | | | 2,558 | | | 1.77 | | | 1.70 | | | 0.82 | | | 94 | |
I | | | 10.35 | | | 0.18 | | | (0.21) | | | (0.03) | | | (0.21) | | | (0.16) | | | — | | | (0.37) | | | 9.95 | | | (0.20) | | | 3,852 | | | 0.76 | | | 0.70 | | | 1.77 | | | 94 | |
R3 | | | 10.32 | | | 0.13 | | | (0.20) | | | (0.07) | | | (0.16) | | | (0.16) | | | — | | | (0.32) | | | 9.93 | | | (0.66) | | | 251 | | | 1.37 | | | 1.25 | | | 1.34 | | | 94 | |
R4 | | | 10.35 | | | 0.16 | | | (0.20) | | | (0.04) | | | (0.19) | | | (0.16) | | | — | | | (0.35) | | | 9.96 | | | (0.30) | | | 11 | | | 1.12 | | | 0.91 | | | 1.59 | | | 94 | |
R5 | | | 10.35 | | | 0.19 | | | (0.20) | | | (0.01) | | | (0.22) | | | (0.16) | | | — | | | (0.38) | | | 9.96 | | | (0.05) | | | 30 | | | 0.77 | | | 0.65 | | | 1.89 | | | 94 | |
Y | | | 10.36 | | | 0.18 | | | (0.18) | | | — | | | (0.16) | | | (0.16) | | | — | | | (0.32) | | | 10.04 | | | 0.01 | | | 15 | | | 0.65 | | | 0.60 | | | 1.80 | | | 94 | |
F(5) | | | 9.94 | | | 0.14 | | | 0.04 | | | 0.18 | | | (0.16) | | | — | | | — | | | (0.16) | | | 9.96 | | | 1.80(6) | | | 116,939 | | | 0.66(7) | | | 0.55(7) | | | 2.14(7) | | | 94 | |
| ||||||||||||||||||||||||||||||||||||||||||||||
– Selected Per-Share Data(1) – | | | – Ratios and Supplemental Data – | | ||||||||||||||||||||||||||||||||||||||||||
Class | | | Net Asset Value at Beginning of Period | | | Net Investment Income (Loss) | | | Net Realized and Unrealized Gain (Loss) on Investments | | | Total from Investment Operations | | | Dividends from Net Investment Income | | | Distributions from Capital Gains | | | Returns of Capital | | | Total Dividends and Distributions | | | Net Asset Value at End of Period | | | Total Return(2) | | | Net Assets at End of Period) (000s) | | | Ratio of Expenses to Average Net Assets Before Adjust- ments(3)(4) | | | Ratio of Expenses to Average Net Assets After Adjust- ments(3)(4) | | | Ratio of Net Investment Income (Loss) to Average Net Assets(4) | | | Portfolio Turnover | |
For the Year Ended October 31, 2016 | | |||||||||||||||||||||||||||||||||||||||||||||
A | | | $10.19 | | | $0.12 | | | $0.24 | | | $0.36 | | | $(0.14) | | | $(0.07) | | | $— | | | $(0.21) | | | $10.34 | | | 3.54% | | | $14,294 | | | 1.04% | | | 0.96%(18) | | | 1.14% | | | 84% | |
C | | | 10.12 | | | 0.04 | | | 0.23 | | | 0.27 | | | (0.06) | | | (0.07) | | | — | | | (0.13) | | | 10.26 | | | 2.70 | | | 3,890 | | | 1.78 | ��� | | 1.71(18) | | | 0.40 | | | 84 | |
I | | | 10.21 | | | 0.14 | | | 0.24 | | | 0.38 | | | (0.17) | | | (0.07) | | | — | | | (0.24) | | | 10.35 | | | 3.73 | | | 12,254 | | | 0.78 | | | 0.71(18) | | | 1.40 | | | 84 | |
R3 | | | 10.17 | | | 0.06 | | | 0.31 | | | 0.37 | | | (0.15) | | | (0.07) | | | — | | | (0.22) | | | 10.32 | | | 3.66 | | | 198 | | | 1.38 | | | 1.26(18) | | | 0.57 | | | 84 | |
R4 | | | 10.19 | | | 0.08 | | | 0.33 | | | 0.41 | | | (0.18) | | | (0.07) | | | — | | | (0.25) | | | 10.35 | | | 4.08 | | | 24 | | | 1.07 | | | 0.96(18) | | | 0.75 | | | 84 | |
R5 | | | 10.21 | | | 0.11 | | | 0.33 | | | 0.44 | | | (0.23) | | | (0.07) | | | — | | | (0.30) | | | 10.35 | | | 4.37 | | | 45 | | | 0.77 | | | 0.66(18) | | | 1.05 | | | 84 | |
Y | | | 10.21 | | | 0.16 | | | 0.24 | | | 0.40 | | | (0.18) | | | (0.07) | | | — | | | (0.25) | | | 10.36 | | | 3.90 | | | 93,809 | | | 0.67 | | | 0.61(18) | | | 1.53 | | | 84 | |
For the Year Ended October 31, 2015 | | |||||||||||||||||||||||||||||||||||||||||||||
A | | | $10.19 | | | $0.04 | | | $0.16 | | | $0.20 | | | $(0.05) | | | $(0.15) | | | $— | | | $(0.20) | | | $10.19 | | | 2.01% | | | $11,513 | | | 1.18% | | | 0.90% | | | 0.43% | | | 20% | |
C | | | 10.15 | | | (0.03) | | | 0.16 | | | 0.13 | | | (0.01) | | | (0.15) | | | — | | | (0.16) | | | 10.12 | | | 1.28 | | | 2,453 | | | 1.93 | | | 1.64 | | | (0.31) | | | 20 | |
I | | | 10.20 | | | 0.07 | | | 0.17 | | | 0.24 | | | (0.08) | | | (0.15) | | | — | | | (0.23) | | | 10.21 | | | 2.37 | | | 2,283 | | | 0.89 | | | 0.61 | | | 0.71 | | | 20 | |
R3 | | | 10.17 | | | 0.01 | | | 0.16 | | | 0.17 | | | (0.02) | | | (0.15) | | | — | | | (0.17) | | | 10.17 | | | 1.69 | | | 2,082 | | | 1.58 | | | 1.25 | | | 0.07 | | | 20 | |
R4 | | | 10.19 | | | 0.04 | | | 0.16 | | | 0.20 | | | (0.05) | | | (0.15) | | | — | | | (0.20) | | | 10.19 | | | 1.95 | | | 2,100 | | | 1.28 | | | 0.95 | | | 0.37 | | | 20 | |
R5 | | | 10.20 | | | 0.07 | | | 0.16 | | | 0.23 | | | (0.07) | | | (0.15) | | | — | | | (0.22) | | | 10.21 | | | 2.32 | | | 2,119 | | | 0.98 | | | 0.65 | | | 0.67 | | | 20 | |
Y | | | 10.20 | | | 0.07 | | | 0.17 | | | 0.24 | | | (0.08) | | | (0.15) | | | — | | | (0.23) | | | 10.21 | | | 2.36 | | | 9,547 | | | 0.89 | | | 0.60 | | | 0.72 | | | 20 | |
| ||||||||||||||||||||||||||||||||||||||||||||||
– Selected Per-Share Data(1) – | | | – Ratios and Supplemental Data – | | ||||||||||||||||||||||||||||||||||||||||||
Class | | | Net Asset Value at Beginning of Period | | | Net Investment Income (Loss) | | | Net Realized and Unrealized Gain (Loss) on Investments | | | Total from Investment Operations | | | Dividends from Net Investment Income | | | Distributions from Capital Gains | | | Returns of Capital | | | Total Dividends and Distributions | | | Net Asset Value at End of Period | | | Total Return(2) | | | Net Assets at End of Period) (000s) | | | Ratio of Expenses to Average Net Assets Before Adjust- ments(3)(4) | | | Ratio of Expenses to Average Net Assets After Adjust- ments(3)(4) | | | Ratio of Net Investment Income (Loss) to Average Net Assets(4) | | | Portfolio Turnover | |
For the Year Ended October 31, 2019 | | |||||||||||||||||||||||||||||||||||||||||||||
A | | | $9.92 | | | $0.30 | | | $0.79 | | | $1.09 | | | $(0.35) | | | $— | | | $— | | | $(0.35) | | | $10.66 | | | 11.24% | | | $940,594 | | | 0.74% | | | 0.74% | | | 2.90% | | | 71% | |
C | | | 9.97 | | | 0.22 | | | 0.80 | | | 1.02 | | | (0.22) | | | — | | | — | | | (0.22) | | | 10.77 | | | 10.37 | | | 27,334 | | | 1.54 | | | 1.54 | | | 2.12 | | | 71 | |
I | | | 9.95 | | | 0.33 | | | 0.79 | | | 1.12 | | | (0.42) | | | — | | | — | | | (0.42) | | | 10.65 | | | 11.49 | | | 108,633 | | | 0.42 | | | 0.42 | | | 3.19 | | | 71 | |
R3 | | | 10.14 | | | 0.27 | | | 0.82 | | | 1.09 | | | (0.28) | | | — | | | — | | | (0.28) | | | 10.95 | | | 10.93 | | | 4,769 | | | 1.08 | | | 1.07 | | | 2.58 | | | 71 | |
R4 | | | 10.09 | | | 0.30 | | | 0.81 | | | 1.11 | | | (0.35) | | | — | | | — | | | (0.35) | | | 10.85 | | | 11.20 | | | 11,476 | | | 0.77 | | | 0.76 | | | 2.89 | | | 71 | |
R5 | | | 10.06 | | | 0.33 | | | 0.83 | | | 1.16 | | | (0.41) | | | — | | | — | | | (0.41) | | | 10.81 | | | 11.80 | | | 1,049 | | | 0.48 | | | 0.48 | | | 3.22 | | | 71 | |
R6 | | | 10.03 | | | 0.32 | | | 0.82 | | | 1.14 | | | (0.43) | | | — | | | — | | | (0.43) | | | 10.74 | | | 11.67 | | | 40,368 | | | 0.35 | | | 0.34 | | | 3.04 | | | 71 | |
Y | | | 10.04 | | | 0.34 | | | 0.81 | | | 1.15 | | | (0.43) | | | — | | | — | | | (0.43) | | | 10.76 | | | 11.68 | | | 488,228 | | | 0.41 | | | 0.40 | | | 3.25 | | | 71 | |
F | | | 9.90 | | | 0.34 | | | 0.78 | | | 1.12 | | | (0.43) | | | — | | | — | | | (0.43) | | | 10.59 | | | 11.58 | | | 562,418 | | | 0.36 | | | 0.36 | | | 3.29 | | | 71 | |
For the Year Ended October 31, 2018 | | |||||||||||||||||||||||||||||||||||||||||||||
A | | | $10.44 | | | $0.28 | | | $(0.48) | | | $(0.20) | | | $(0.32) | | | $— | | | $— | | | $(0.32) | | | $9.92 | | | (1.95)% | | | $774,821 | | | 0.82% | | | 0.82% | | | 2.72% | | | 74% | |
C | | | 10.46 | | | 0.20 | | | (0.49) | | | (0.29) | | | (0.20) | | | — | | | — | | | (0.20) | | | 9.97 | | | (2.79) | | | 30,760 | | | 1.61 | | | 1.60 | | | 1.93 | | | 74 | |
I | | | 10.45 | | | 0.31 | | | (0.48) | | | (0.17) | | | (0.33) | | | — | | | — | | | (0.33) | | | 9.95 | | | (1.68) | | | 51,131 | | | 0.51 | | | 0.51 | | | 3.03 | | | 74 | |
R3 | | | 10.64 | | | 0.25 | | | (0.50) | | | (0.25) | | | (0.25) | | | — | | | — | | | (0.25) | | | 10.14 | | | (2.37) | | | 5,000 | | | 1.16 | | | 1.15 | | | 2.38 | | | 74 | |
R4 | | | 10.62 | | | 0.28 | | | (0.49) | | | (0.21) | | | (0.32) | | | — | | | — | | | (0.32) | | | 10.09 | | | (2.04) | | | 11,153 | | | 0.85 | | | 0.85 | | | 2.67 | | | 74 | |
R5 | | | 10.62 | | | 0.31 | | | (0.49) | | | (0.18) | | | (0.38) | | | — | | | — | | | (0.38) | | | 10.06 | | | (1.74) | | | 1,548 | | | 0.56 | | | 0.56 | | | 2.98 | | | 74 | |
R6 | | | 10.61 | | | 0.32 | | | (0.50) | | | (0.18) | | | (0.40) | | | — | | | — | | | (0.40) | | | 10.03 | | | (1.72) | | | 1,678 | | | 0.44 | | | 0.44 | | | 3.11 | | | 74 | |
Y | | | 10.61 | | | 0.32 | | | (0.50) | | | (0.18) | | | (0.39) | | | — | | | — | | | (0.39) | | | 10.04 | | | (1.69) | | | 449,292 | | | 0.48 | | | 0.48 | | | 3.06 | | | 74 | |
F | | | 10.46 | | | 0.31 | | | (0.47) | | | (0.16) | | | (0.40) | | | — | | | — | | | (0.40) | | | 9.90 | | | (1.59) | | | 678,207 | | | 0.44 | | | 0.44 | | | 3.10 | | | 74 | |
| ||||||||||||||||||||||||||||||||||||||||||||||
– Selected Per-Share Data(1) – | | | – Ratios and Supplemental Data – | | ||||||||||||||||||||||||||||||||||||||||||
Class | | | Net Asset Value at Beginning of Period | | | Net Investment Income (Loss) | | | Net Realized and Unrealized Gain (Loss) on Investments | | | Total from Investment Operations | | | Dividends from Net Investment Income | | | Distributions from Capital Gains | | | Returns of Capital | | | Total Dividends and Distributions | | | Net Asset Value at End of Period | | | Total Return(2) | | | Net Assets at End of Period) (000s) | | | Ratio of Expenses to Average Net Assets Before Adjust- ments(3)(4) | | | Ratio of Expenses to Average Net Assets After Adjust- ments(3)(4) | | | Ratio of Net Investment Income (Loss) to Average Net Assets(4) | | | Portfolio Turnover | |
For the Year Ended October 31, 2017 | | | ||||||||||||||||||||||||||||||||||||||||||||
A | | | $10.48 | | | $0.26 | | | $(0.04) | | | $0.22 | | | $(0.26) | | | $— | | | $— | | | $(0.26) | | | $10.44 | | | 2.19% | | | $772,486 | | | 0.84% | | | 0.84% | | | 2.55% | | | 56% | |
C | | | 10.50 | | | 0.19 | | | (0.04) | | | 0.15 | | | (0.19) | | | — | | | — | | | (0.19) | | | 10.46 | | | 1.43 | | | 59,204 | | | 1.58 | | | 1.58 | | | 1.82 | | | 56 | |
I | | | 10.49 | | | 0.29 | | | (0.04) | | | 0.25 | | | (0.29) | | | — | | | — | | | (0.29) | | | 10.45 | | | 2.41 | | | 35,182 | | | 0.77 | | | 0.62 | | | 2.78 | | | 56 | |
R3 | | | 10.68 | | | 0.23 | | | (0.04) | | | 0.19 | | | (0.23) | | | — | | | — | | | (0.23) | | | 10.64 | | | 1.86 | | | 5,851 | | | 1.17 | | | 1.17 | | | 2.22 | | | 56 | |
R4 | | | 10.66 | | | 0.27 | | | (0.04) | | | 0.23 | | | (0.27) | | | — | | | — | | | (0.27) | | | 10.62 | | | 2.18 | | | 14,290 | | | 0.85 | | | 0.85 | | | 2.54 | | | 56 | |
R5 | | | 10.65 | | | 0.30 | | | (0.03) | | | 0.27 | | | (0.30) | | | — | | | — | | | (0.30) | | | 10.62 | | | 2.48 | | | 1,548 | | | 0.55 | | | 0.55 | | | 2.84 | | | 56 | |
R6 | | | 10.64 | | | 0.30 | | | (0.02) | | | 0.28 | | | (0.31) | | | — | | | — | | | (0.31) | | | 10.61 | | | 2.69 | | | 1,092 | | | 0.45 | | | 0.44 | | | 2.87 | | | 56 | |
Y | | | 10.65 | | | 0.31 | | | (0.04) | | | 0.27 | | | (0.31) | | | — | | | — | | | (0.31) | | | 10.61 | | | 2.57 | | | 438,589 | | | 0.46 | | | 0.46 | | | 2.96 | | | 56 | |
F(5) | | | 10.32 | | | 0.20 | | | 0.14 | | | 0.34 | | | (0.20) | | | — | | | — | | | (0.20) | | | 10.46 | | | 3.36(6) | | | 937,170 | | | 0.44(7) | | | 0.44(7) | | | 2.88(7) | | | 56 | |
For the Year Ended October 31, 2016 | | |||||||||||||||||||||||||||||||||||||||||||||
A | | | $10.28 | | | $0.28 | | | $0.22 | | | $0.50 | | | $(0.25) | | | $(0.02) | | | $(0.03) | | | $(0.30) | | | $10.48 | | | 4.77% | | | $782,964 | | | 0.87% | | | 0.87%(23) | | | 2.68% | | | 41% | |
B | | | 10.20 | | | 0.20 | | | 0.21 | | | 0.41 | | | (0.18) | | | (0.02) | | | (0.02) | | | (0.22) | | | 10.39 | | | 4.09 | | | 4,406 | | | 1.89 | | | 1.63(23) | | | 1.92 | | | 41 | |
C | | | 10.30 | | | 0.20 | | | 0.22 | | | 0.42 | | | (0.18) | | | (0.02) | | | (0.02) | | | (0.22) | | | 10.50 | | | 4.10 | | | 73,841 | | | 1.60 | | | 1.60(23) | | | 1.95 | | | 41 | |
I | | | 10.30 | | | 0.30 | | | 0.22 | | | 0.52 | | | (0.28) | | | (0.02) | | | (0.03) | | | (0.33) | | | 10.49 | | | 5.08 | | | 115,889 | | | 0.61 | | | 0.61(23) | | | 2.86 | | | 41 | |
R3 | | | 10.48 | | | 0.25 | | | 0.22 | | | 0.47 | | | (0.23) | | | (0.02) | | | (0.02) | | | (0.27) | | | 10.68 | | | 4.51 | | | 5,943 | | | 1.18 | | | 1.18(23) | | | 2.37 | | | 41 | |
R4 | | | 10.46 | | | 0.28 | | | 0.22 | | | 0.50 | | | (0.25) | | | (0.02) | | | (0.03) | | | (0.30) | | | 10.66 | | | 4.85 | | | 15,348 | | | 0.86 | | | 0.86(23) | | | 2.69 | | | 41 | |
R5 | | | 10.46 | | | 0.32 | | | 0.20 | | | 0.52 | | | (0.28) | | | (0.02) | | | (0.03) | | | (0.33) | | | 10.65 | | | 5.16 | | | 1,473 | | | 0.56 | | | 0.56(23) | | | 3.00 | | | 41 | |
R6 | | | 10.45 | | | 0.32 | | | 0.21 | | | 0.53 | | | (0.29) | | | (0.02) | | | (0.03) | | | (0.34) | | | 10.64 | | | 5.15 | | | 11 | | | 0.45 | | | 0.45(23) | | | 3.07 | | | 41 | |
Y | | | 10.45 | | | 0.33 | | | 0.21 | | | 0.54 | | | (0.29) | | | (0.02) | | | (0.03) | | | (0.34) | | | 10.65 | | | 5.27 | | | 1,031,478 | | | 0.45 | | | 0.45(23) | | | 3.10 | | | 41 | |
For the Year Ended October 31, 2015 | | |||||||||||||||||||||||||||||||||||||||||||||
A | | | $10.71 | | | $0.23 | | | $(0.21) | | | $0.02 | | | $(0.22) | | | $(0.23) | | | $— | | | $(0.45) | | | $10.28 | | | 0.35% | | | $672,638 | | | 0.87% | | | 0.87% | | | 2.20% | | | 57% | |
B | | | 10.63 | | | 0.15 | | | (0.20) | | | (0.05) | | | (0.15) | | | (0.23) | | | — | | | (0.38) | | | 10.20 | | | (0.50) | | | 10,528 | | | 1.86 | | | 1.62 | | | 1.43 | | | 57 | |
C | | | 10.72 | | | 0.16 | | | (0.20) | | | (0.04) | | | (0.15) | | | (0.23) | | | — | | | (0.38) | | | 10.30 | | | (0.38) | | | 67,147 | | | 1.59 | | | 1.59 | | | 1.50 | | | 57 | |
I | | | 10.72 | | | 0.27 | | | (0.20) | | | 0.07 | | | (0.26) | | | (0.23) | | | — | | | (0.49) | | | 10.30 | | | 0.67 | | | 23,201 | | | 0.56 | | | 0.56 | | | 2.60 | | | 57 | |
R3 | | | 10.90 | | | 0.21 | | | (0.21) | | | — | | | (0.19) | | | (0.23) | | | — | | | (0.42) | | | 10.48 | | | 0.07 | | | 6,198 | | | 1.16 | | | 1.16 | | | 1.93 | | | 57 | |
R4 | | | 10.88 | | | 0.24 | | | (0.20) | | | 0.04 | | | (0.23) | | | (0.23) | | | — | | | (0.46) | | | 10.46 | | | 0.39 | | | 15,610 | | | 0.84 | | | 0.84 | | | 2.25 | | | 57 | |
R5 | | | 10.88 | | | 0.27 | | | (0.20) | | | 0.07 | | | (0.26) | | | (0.23) | | | — | | | (0.49) | | | 10.46 | | | 0.68 | | | 1,423 | | | 0.55 | | | 0.55 | | | 2.57 | | | 57 | |
R6(22) | | | 10.87 | | | 0.27 | | | (0.20) | | | 0.07 | | | (0.26) | | | (0.23) | | | — | | | (0.49) | | | 10.45 | | | 0.65(6) | | | 10 | | | 0.50(7) | | | 0.50(7) | | | 2.61(7) | | | 57 | |
Y | | | 10.87 | | | 0.28 | | | (0.20) | | | 0.08 | | | (0.27) | | | (0.23) | | | — | | | (0.50) | | | 10.45 | | | 0.79 | | | 1,103,177 | | | 0.44 | | | 0.44 | | | 2.67 | | | 57 | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Title:
Title:
Title:
| | Acquired Fund Share Class | | | | Corresponding Acquiring Fund Share Class* | | |
| | A | | | | A | | |
| | C | | | | C | | |
| | I | | | | I | | |
| | R3 | | | | R3 | | |
| | R4 | | | | R4 | | |
| | R5 | | | | R5 | | |
| | Y | | | | Y | | |
| | F | | | | F | | |
| | Name and Address* | | | | Class A | | | | Class C | | | | Class I | | | | Class R3 | | | | Class R4 | | | | Class R5 | | | | Class R6 | | | | Class Y | | | | Class F | | | |||||||||||||||||||||
| | ATTN MUTUAL FUND ADMINISTRATOR C/O STATE STREET BANK OAKS PA | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 9.05% | | | |
| | C/O FASCORE LLC GREENWOOD VILLAGE CO | | | | | | | | | | | | | | | | | | | | | | | | 11.65% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | C/O RELIANCE TRUST CO WI MITRA & CO FBO NG GREEN BAY WI | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 6.40% | | | | | | | | | | | | | | | | | |
| | CAPITAL BANK & TRUST CO TRUSTEE FBO C/O FASCORE LLC GREENWOOD VILLAGE CO | | | | | | | | | | | | | | | | | | | | | | | | 8.40% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT SAN FRANCISCO CA | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 55.91% | | | | | | | | | | |
| | CHET ADVISOR SAVINGS PLAN TRUST FBO STATE OF CONNECTICUT AS TTEE WAYNE PA | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 6.72% | | | |
| | DCGT AS TTEE AND/OR CUST FBO PLIC VARIOUS RETIREMENT PLANS DES MOINES IA | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 5.40% | | | | | | | | | | | | | | | | | |
| | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS** SAINT LOUIS MO | | | | | | 81.85% | | | | | | | 31.97% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 72.75% | | | |
| | GREAT-WEST TRUST COMPANY LLC TTEE F TRIHEALTH 401K RETIREMENT SAVINGS GREENWOOD VILLAGE CO | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 31.64% | | | | | | | | | | | | | | | | | |
| | GREAT-WEST TRUST COMPANY LLC TTEE F TRIHEALTH 403B VOLUNTARY SAVINGS P GREENWOOD VILLAGE CO | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 13.35% | | | | | | | | | | | | | | | | | |
| | GREAT-WEST TRUST COMPANY LLC TTEE F TRIHEALTH INC EXECUTIVE 457B GREENWOOD VILLAGE CO | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 7.18% | | | | | | | | | | | | | | | | | |
| | HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNT HARTFORD CT | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 15.47% | | | | | | | | | | | | | | | | | | | | | | | | |
| | Name and Address* | | | | Class A | | | | Class C | | | | Class I | | | | Class R3 | | | | Class R4 | | | | Class R5 | | | | Class R6 | | | | Class Y | | | | Class F | | | ||||||||||||||||||||||||
| | HARTFORD LIFE INSURANCE COMPANY SEPARATE ACCOUNTS 401K BUSINESS HARTFORD CT | | | | | | | | | | | | | | | | | | | | | | | | 46.19% | | | | | | | 66.98% | | | | | | | 30.37% | | | | | | | | | | | | | | | | | | | | | | | | |
| | ICMA RETIREMENT CORPORATION WASHINGTON DC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 44.90% | | | | | | | | | | | | | | | | | | | | | | | | |
| | MACKIE SHEA DURNING PC TRUSTEE FBO MACKIE SHEA DURNING PC 401K PSP GREENWOOD VILLAGE CO | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 8.49% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS JACKSONVILLE FL | | | | | | | | | | | | | | | | | 15.06% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUST JERSEY CITY NJ | | | | | | | | | | 5.06% | | | | | | | 19.70% | | | | | | | | | | | | | | | | | | | | | | | | | | | | 9.82% | | | | | | | 29.97% | | | | | | | | | | |
| | PERSHING LLC PERSHING PLAZA JERSEY CITY NJ | | | | | | | | | | 6.00% | | | | | | | 9.21% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ST PETERSBURG FL | | | | | | | | | | 17.55% | | | | | | | 41.92% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | T. ROWE PRICE RETIREMENT PLAN SVCS FBO RETIREMENT PLAN CLIENTS OWINGS MILLS MD | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 10.17% | | | | | | | | | | | | | | | | | |
| | WELLS FARGO CLEARING SERVICES LLC SPECIAL CUSTODY ACCOUNT FOR THE SAINT LOUIS MO | | | | | | | | | | 6.17% | | | | | | | 6.28% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | WV SAVINGS PLAN TRUSTEE FBO WV SAVINGS PLAN TRST DTD 2/20/2002 WAYNE PA | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 9.28% | | | |
| | Name and Address* | | | | Class A | | | | Class C | | | | Class I | | | | Class R3 | | | | Class R4 | | | | Class R5 | | | | Class Y | | | | Class F | | | ||||||||||||||||||||||||
| | EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS SAINT LOUIS MO | | | | | | 49.77% | | | | | | | 6.55% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | HARTFORD CONSERVATIVE ALLOCATION FUND WAYNE PA | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 26.76% | | | |
| | HARTFORD FUNDS MANAGEMENT COMPANY, LLC WAYNE PA | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 100.00% | | | | | | | 67.99% | | | | | | | | | | | | | | | | | |
| | HARTFORD GROWTH ALLOCATION FUND WAYNE PA | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 27.64% | | | |
| | HARTFORD MODERATE ALLOCATION FUND WAYNE PA | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 42.57% | | | |
| | LPL FINANCIAL OMNIBUS CUSTOMER ACCOUNT SAN DIEGO CA | | | | | | 5.53% | | | | | | | 6.48% | | | | | | | 6.98% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | MATRIX TRUST COMPANY CUST FBO NASHOBA VALLEY TECH HS SD 403(B) DENVER CO | | | | | | | | | | | | | | | | | | | | | | | | | | | 7.64% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | MATRIX TRUST COMPANY CUST FBO PDQ PRINT CENTER 401(K) RETIREMENT DENVER CO | | | | | | | | | | | | | | | | | | | | | | | | | | | 79.83% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | NATIONAL FINANCIAL SERVICES LLC FOR THE EXCLUSIVE BENE OF OUR CUST JERSEY CITY NJ | | | | | | | | | | | | | | | | | | | | 46.85% | | | | | | | | | | | | | | | | | | | | | 32.01% | | | | | | | | | | | | | | | | | |
| | PERSHING LLC PERSHING PLAZA JERSEY CITY NJ | | | | | | 5.92% | | | | | | | 5.63% | | | | | | | 32.41% | | | | | | | | | | | | | | | | | | | | | | | | | | | | 95.62% | | | | | | | | | | |
| | PRAYED TO BE FRAMED INC HAZELWOOD MO | | | | | | | | | | | | | | | | | | | | | | | | | | | 9.90% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS ST PETERSBURG FL | | | | | | | | | | | | | 58.57% | | | | | | | 9.53% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
PART B
The Hartford Mutual Funds, Inc.
690 Lee Road
Wayne, Pennsylvania 19087
Statement of Additional Information
May 1, 2020
This Statement of Additional Information is available to the shareholders of The Hartford Quality Bond Fund (the “Acquired Fund”) in connection with the proposed transaction (the “Reorganization”) whereby all of the assets and liabilities of the Acquired Fund will be transferred to The Hartford Total Return Bond Fund (the “Acquiring Fund,” and together with the Acquired Fund, the “Funds”) in exchange for shares of the Acquired Fund. The Acquiring Fund, following completion of the Reorganization, may be referred to as the “Combined Fund.”
This Statement of Additional Information of the Acquiring Fund consists of this cover page, the accompanying pro forma financial information related note, and the following documents, each of which was filed electronically with the U.S. Securities and Exchange Commission (“SEC”) and is incorporated by reference herein:
1. | The Statement of Additional Information for The Hartford Mutual Funds, Inc. and The Hartford Mutual Funds II, Inc. dated February 28, 2020, as may be amended, supplemented or restated (File Nos. 333-02381 and 811-07589) with respect to the information that pertains to the Acquired Fund and Acquiring Fund only; and |
2. | The Financial Statements of the Acquired Fund and Acquiring Fund as included in its Annual Report filed for the year ended October 31, 2019 (File No. 811-07589). |
This Statement of Additional Information is not a prospectus. A Combined Information Statement/Prospectus (the “Information Statement/Prospectus”) dated May 1, 2020, relating to the transaction may be obtained, without charge, by writing to The Hartford Mutual Funds, Inc., P.O. Box 219060, Kansas City, MO 64121-9060 or calling 1-888-843-7824. This Statement of Additional Information should be read in conjunction with the Information Statement/Prospectus.
For additional information, see the Funds’ Annual Report dated October 31, 2019.
PRO FORMA FINANCIAL Information (Unaudited)
The pro forma financial statements required by Rule 11-01 of Regulation S-X have not been prepared and included in this SAI because, as of April 9, 2020, the net asset value of Acquired Fund does not exceed ten percent (10%) of the net asset value of the Acquiring Fund. The Acquiring Fund will be the accounting survivor.
The Hartford Mutual Funds, Inc.
PART C
OTHER INFORMATION
Item 15. Indemnification
Article V, paragraph (f) of the Registrant’s Articles of Restatement provides that the Registrant shall indemnify (i) its directors and officers to the full extent required or permitted by law and (ii) other employees and agents to such extent authorized by the Registrant’s board of directors or bylaws and as permitted by law; provided, however, that no such indemnification shall protect any director or officer of the Registrant against any liability to the Registrant or its shareholders to which he would otherwise be subject by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of his office. The rights of indemnification contained in Article V are not exclusive to any other rights to which any officer, director or employee seeking indemnification may be entitled.
Subsection (b) of Section 2-418 of the General Corporation Law of Maryland permits a corporation to indemnify any person who was or is party or is threatened to be made a party to any threatened, pending or completed action, suit or proceeding, whether civil, criminal, administrative or investigative (other than an action by or in the right of the corporation) by reason of the fact that he is or was a director, officer, employee or agent of the corporation or is or was serving at the request of the corporation as a director, officer, employee or agent of another corporation or enterprise, against reasonable expenses (including attorneys’ fees), judgments, penalties, fines and amounts paid in settlement actually incurred by him in connection with such action, suit or proceeding unless it is proved that: (i) the act or omission of the person was material to the cause of action adjudicated in the proceeding and was committed in bad faith or was the result of active and deliberate dishonesty; (ii) the person actually received an improper personal benefit of money, property or services; or (iii) with respect to any criminal action or proceeding, the person had reasonable cause to believe his act or omission was unlawful.
Indemnification under subsection (b) of Section 2-418 may not be made by a corporation unless authorized for a specific proceeding after a determination has been made that indemnification is permissible in the circumstances because the party to be indemnified has met the standard of conduct set forth in subsection (b). This determination shall be made (i) by the Board of Directors by a majority vote of a quorum consisting of directors not, at the time, parties to the proceeding, or, if such quorum cannot be obtained, then by a majority vote of a committee of the Board consisting solely of two or more directors not, at the time, parties to such proceeding and who were duly designated to act in the matter by a majority vote of the full Board in which the designated directors who are parties may participate; (ii) by special legal counsel selected by the Board of Directors or a committee of the Board by vote as set forth in subparagraph (i),or, if the requisite quorum of the full Board cannot be obtained therefor and the committee cannot be established, by a majority vote of the full Board in which any director who is a party may participate; or (iii) by the stockholders (except that shares held by directors who are parties to the specific proceeding may not be voted). A court of appropriate jurisdiction may also order indemnification if the court determines that a person seeking indemnification is entitled to reimbursement under subsection (b).
Section 2-418 further provides that indemnification provided for by Section 2-418 shall not be deemed exclusive of any rights to which the indemnified party may be entitled; and permits a corporation to purchase and maintain insurance on behalf of a director, officer, employee or agent of the corporation against any liability asserted against or incurred by such person in any such capacity or arising out of such person’s status as such whether or not the corporation would have the power to indemnify such person against such liabilities under Section 2-418.
Insofar as indemnification for liability arising under the Securities Act of 1933, as amended (the “Act”) may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person in connection with the securities being registered), the Registrant undertakes that it will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the questions whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue.
The Registrant’s various agreements with its service providers provide for indemnification.
A-1
Item 16. | Exhibits |
1.(i) | Articles of Restatement dated July 9, 2010 (incorporated by reference to Post-Effective Amendment No. 86 to Registration Statement on Form N-1A (File No. 333-02381) filed on December 15, 2010) |
1.(v) | Articles Supplementary dated February 25, 2011 (incorporated by reference to Post-Effective Amendment No. 88 to Registration Statement on Form N-1A (File No. 333-02381) filed on March 15, 2011) |
1.(vi) | Articles Supplementary dated July 14, 2011 (incorporated by reference to Post-Effective Amendment No. 94 to Registration Statement on Form N-1A (File No. 333-02381) filed on September 30, 2011) |
1.(vii) | Articles of Amendment dated July 14, 2011 (incorporated by reference to Post-Effective Amendment No. 94 to Registration Statement on Form N-1A (File No. 333-02381) filed on September 30, 2011) |
1.(x) | Articles of Amendment dated April 11, 2012 (incorporated by reference to Post-Effective Amendment No. 107 to Registration Statement on Form N-1A (File No. 333-02381) filed on September 17, 2012) |
1.(xxi) | Articles Supplementary dated March 6, 2014 (incorporated by reference to Post-Effective Amendment No. 126 to Registration Statement on Form N-1A (File No. 333-02381) filed on April 30, 2014) |
1.(xxiii) | Articles of Amendment dated May 20, 2014 (incorporated by reference to Post-Effective Amendment No. 128 to Registration Statement on Form N-1A (File No. 333-02381) filed on May 30, 2014) |
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1.(xxiv) | Articles Supplementary dated July 23, 2014 (incorporated by reference to Post-Effective Amendment No. 132 to Registration Statement on Form N-1A (File No. 333-02381) filed on August 29, 2014) |
1.(xxix) | Articles Supplementary dated May 26, 2015 (incorporated by reference to Post-Effective Amendment No. 140 to Registration Statement on Form N-1A (File No. 333-02381) filed on May 28, 2015) |
1.(xxx) | Articles of Amendment dated May 28, 2015 (incorporated by reference to Post-Effective Amendment No. 143 to Registration Statement on Form N-1A (File No. 333-02381) filed on December 22, 2015) |
1.(xxxi) | Articles of Amendment dated July 7, 2015 (incorporated by reference to Post-Effective Amendment No. 143 to Registration Statement on Form N-1A (File No. 333-02381) filed on December 22, 2015) |
1.(xliv) | Articles of Amendment dated April 2, 2019 (incorporated by reference to Post-Effective Amendment No. 163 to Registration Statement on Form N-1A (File No. 333-02381) filed on April 30, 2019) |
1.(xlv) | Articles Supplementary dated May 6, 2019 (incorporated by reference to Post-Effective Amendment No. 166 to Registration Statement on Form N-1A (File No. 333-02381) filed on July 10, 2019) |
1.(xlvi) | Articles of Amendment dated July 8, 2019 (incorporated by reference to Post-Effective Amendment No. 166 to Registration Statement on Form N-1A (File No. 333-02381) filed on July 10, 2019) |
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2. | Amended and Restated Bylaws (incorporated by reference to Post-Effective Amendment No. 157 to Registration Statement on Form N-1A (File No. 333-02381) filed on February 28, 2018) |
3. | Not Applicable |
4. | Form of Agreement and Plan of Reorganization is incorporated herein as Appendix A to the Information Statement/Prospectus |
5. | Not Applicable |
7.(ii) | Form of Selling Agreement (incorporated by reference to Post-Effective Amendment No. 169 to Registration Statement on Form N-1A (File No. 333-02381) filed on February 28, 2020) |
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8. | Not Applicable |
10.(ii) | Amended and Restated Rule 18f-3 Plan (incorporated by reference to Post-Effective Amendment No. 169 to Registration Statement on Form N-1A (File No. 333-02381) filed on February 28, 2020) |
11. | Opinion and Consent of Counsel as to legality of the securities being registered (incorporated by reference to Registration Statement on Form N-14 (File No. 333-237253) filed on March 18, 2020) |
12. | Opinion and Consent of Dechert LLP as to tax matters (to be filed by subsequent amendment) |
13.(ii) | Share Purchase Agreement (incorporated by reference to Post-Effective Amendment No. 35 to Registration Statement on Form N-1A (File No. 333-02381) filed on May 19, 2004) |
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14. | Consent of Independent Registered Public Accounting Firm (filed herewith) |
15. | Not Applicable |
16. | Power of Attorney (incorporated by reference to Registration Statement on Form N-14 (File No. 333-237253) filed on March 18, 2020) |
Item 17. | Undertakings |
1. | The undersigned registrant agrees that prior to any public reoffering of the securities registered through the use of a prospectus which is a part of this registration statement by any person or party who is deemed to be an underwriter within the meaning of Rule 145(c) of the Act (17 CFR 230.145c), the reoffering prospectus will contain the information called for by the applicable registration form for the reofferings by persons who may be deemed underwriters, in addition to the information called for by the other items of the applicable form. |
2. | The undersigned registrant agrees that every prospectus that is filed under paragraph (1) above will be filed as a part of an amendment to the registration statement and will not be used until the amendment is effective, and that, in determining any liability under the Act, each post-effective amendment shall be deemed to be a new registration statement for the securities offered therein, and the offering of the securities at that time shall be deemed to be the initial bona fide offering of them. |
3. | The undersigned registrant undertakes to file a post-effective amendment to this registration statement upon the closing of the reorganization described in this registration statement that contains an opinion of counsel supporting the tax matters. |
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SIGNATURES
As required by the Securities Act of 1933, this Pre-Effective Amendment to the Registration Statement on Form N-14 has been signed on behalf of the Registrant, in the city of Wayne and Commonwealth of Pennsylvania, on the 29th day of April 2020.
THE HARTFORD MUTUAL FUNDS, INC. | ||
By: | /s/ James E. Davey* | |
James E. Davey | ||
President |
As required by the Securities Act of 1933, this Pre-Effective Amendment to the Registration Statement on Form N-14 has been signed by the following persons in the capacities and on the date indicated.
Signature | Title | Date | ||
/s/ James E. Davey* | Director, President and Chief Executive Officer | April 29, 2020 | ||
James E. Davey | ||||
/s/ Amy N. Furlong* | Treasurer | April 29, 2020 | ||
Amy N. Furlong | (Principal Financial Officer and Principal Accounting Officer) | |||
/s/ Hilary E. Ackermann* | Director | April 29, 2020 | ||
Hilary E. Ackermann | ||||
/s/ Robin C. Beery* | Director | April 29, 2020 | ||
Robin C. Beery | ||||
/s/ Lynn S. Birdsong * | Chairman of the Board and Director | April 29, 2020 | ||
Lynn S. Birdsong | ||||
/s/ Christine R. Detrick* | Director | April 29, 2020 | ||
Christine R. Detrick | ||||
/s/ Duane E. Hill* | Director | April 29, 2020 | ||
Duane E. Hill | ||||
/s/ Lemma W. Senbet* | Director | April 29, 2020 | ||
Lemma W. Senbet | ||||
/s/ David Sung* | Director | April 29, 2020 | ||
David Sung | ||||
*By: | /s/ Thomas R. Phillips | April 29, 2020 | ||
Thomas R. Phillips, Attorney-in-fact | ||||
Pursuant to Power of Attorney (previously filed) |
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EXHIBIT INDEX
Exhibit No. | Description |
14. | Consent of Independent Public Accounting Firm |
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