As filed with the Securities and Exchange Commission on August 15, 2023
1933 Act Registration File No. 333-272183
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N‑14
(Check appropriate box or boxes.)
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 | |||||
Pre‑Effective Amendment No. | |||||
Post‑Effective Amendment No. 1 | [X] |
TOTAL FUND SOLUTION
(Exact Name of Registrant as Specified in Charter)
615 East Michigan Street
Milwaukee, Wisconsin 53202
(Address of Principal Executive Offices) (Zip Code)
(Registrant’s Telephone Number, including Area Code) (626) 914-7363
Elaine E. Richards
U.S. Bank Global Fund Services
615 East Michigan Street, 2nd Floor
Milwaukee, Wisconsin 53202
(Name and Address of Agent for Service)
Copies to:
Fabio Battaglia, III, Esq.
Stradley Ronon Stevens & Young, LLP
2005 Market Street, Suite 2600
Philadelphia, Pennsylvania 19103-7018
(215) 564-8077
The definitive Prospectus/Proxy Statement and Statement of Additional Information, each in the form filed on June 29, 2023 to the Trust’s Registration Statement on Form N-14 pursuant to Rule 497 (File No. 333-272183) (Accession No. 0000894189-23-004529), are incorporated herein by reference.
The sole purpose of this amendment is to file as an exhibit to this Registration Statement the final tax opinion of Stradley Ronon Stevens & Young, LLP.
PART C: OTHER INFORMATION
Item 15. Indemnification.
Reference is made to Article VII of the Registrant’s Declaration of Trust.
Pursuant to Rule 484 under the Securities Act of 1933, as amended, the Registrant furnishes the following undertaking: “Insofar as indemnification for liability arising under the Securities Act of 1933 (the “Act”) may be permitted to trustees, 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 of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question 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.”
Item 16. Exhibits.
(a) | Declaration of Trust. | ||||||||||
(1) | (i) | ||||||||||
(ii) | |||||||||||
(b) | |||||||||||
(c) | Instruments Defining Rights of Security Holders are incorporated by reference to the Declaration of Trust and Bylaws. | ||||||||||
(d) | (1) | ||||||||||
(2) | |||||||||||
(3) | |||||||||||
(4) | |||||||||||
(5) | |||||||||||
(6) | |||||||||||
(7) |
(e) | (1) | (i) | |||||||||
(ii) | |||||||||||
(iii) | |||||||||||
(f) | Bonus or Profit Sharing Contracts — Not Applicable. | ||||||||||
(g) | (1) | (i) | |||||||||
(ii) | |||||||||||
(iii) | |||||||||||
(h) | Other Material Contracts. | ||||||||||
(1) | (i) | ||||||||||
(ii) | |||||||||||
(2) | (i) | ||||||||||
(3) | (i) | ||||||||||
(ii) | |||||||||||
(iii) | |||||||||||
(i) | Legal Opinions. | ||||||||||
(1) | |||||||||||
(2) | |||||||||||
(3) |
(4) | |||||||||||
(6) | |||||||||||
(5) | |||||||||||
(j) | Other Opinions. | ||||||||||
(1) | |||||||||||
(2) | |||||||||||
(k) | Omitted Financial Statements — Not Applicable. | ||||||||||
(l) | Form of Agreement Relating to Initial Capital — Not Applicable. | ||||||||||
(m) | Form of Distribution and Shareholder Servicing Plan — Not Applicable. | ||||||||||
(n) | (1) | ||||||||||
(2) | |||||||||||
(3) | |||||||||||
(4) | |||||||||||
(5) | |||||||||||
(o) | (1) | ||||||||||
(2) | |||||||||||
(3) | |||||||||||
(4) | |||||||||||
(p) | Code of Ethics. |
(1) | |||||||||||
(2) | |||||||||||
(3) | |||||||||||
(4) | |||||||||||
(5) | |||||||||||
(6) | |||||||||||
(7) | |||||||||||
(8) | Code of Ethics for Principal Underwriter — not applicable per Rule 17j-1(c)(3). |
Item 17. Undertakings
Not Applicable.
SIGNATURES
As required by the Securities Act of 1933, this registration statement has been signed on behalf of the Registrant, in the City of Milwaukee and State of Wisconsin, on August 15, 2023.
TOTAL FUND SOLUTION
By: /s/ Michael J. Weckwerth*
Michael J. Weckwerth
President, Principal Executive Officer, Chairperson and Interested Trustee
Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed below by the following persons in the capacities indicated as of August 15, 2023.
Signature | Title | ||||
/s/ Michael J. Weckwerth* Michael J. Weckwerth | President, Principal Executive Officer, Chairperson and Interested Trustee | ||||
/s/ R. Alastair Short* R. Alastair Short | Independent Trustee | ||||
/s/ Thomas F. Mann* Thomas F. Mann | Independent Trustee | ||||
/s/ Sanjeev Handa* Sanjeev Handa | Independent Trustee | ||||
/s/ Kyle Kroken Kyle Kroken | Treasurer and Principal Financial and Accounting Officer | ||||
* By: /s/ Elaine Richards Elaine Richards |
Exhibit Index
Exhibit Number | Exhibit: | ||||
(i)(5) |