- -------------------------------------------------------------------------------- Securities Act File No. 333-107410 As filed with the Securities and Exchange Commission on July 28, 2003 - -------------------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. ----- Post-Effective Amendment No. 1 ----- SECURITY EQUITY FUND (Exact Name of Registrant as Specified in Charter) One Security Benefit Place, Topeka, Kansas 66636 (Address of Principal Executive Offices) (Zip Code) (785) 438-3000 (Registrant's Area Code and Telephone Number) Christopher D. Swickard Security Management Company, LLC One Security Benefit Place Topeka, Kansas 66636 (Name and Address of Agent for Service) Approximate Date of Proposed Public Offering: ________________________________. This filing was effective on August 27, 2003 pursuant to Rule 488 under the Securities Act of 1933. No filing fee is required because an indefinite number of shares has previously been registered pursuant to Rule 24f-2 under the Investment Company Act of 1940, as amended.ITEM 16. EXHIBITS (1) Articles of Incorporation(a) (2) Bylaws(b) (3) Not Applicable (4) Form of Plan of Reorganization(c) (5) Certificate of Designation of Series and Classes of Common Stock(h) (6) Investment Management and Services Agreement(d) (7) (a) Distribution Agreement(d) (b) Class B Distribution Agreement(a) (c) Class C Distribution Agreement(a) (d) Underwriter-Dealer Agreement(e) (8) Not Applicable (9) Custodian Agreement - State Street(d) (10) (a) Class A Distribution Plan(d) (b) Class B Distribution Plan(a) (c) Class C Distribution Plan(a) (d) Brokerage Enhancement Plan(a) (e) Form of Shareholder Service Agreement(f) (11) Opinion of Counsel(g) (12) Opinion and Consent of Counsel supporting tax matters and consequences (13) Not Applicable (14) Consent of Independent Auditors(g) (15) Not Applicable (16) Powers of Attorney(g) (17) Not Applicable (a) Incorporated herein by reference to the Exhibits filed with the Registrant's Post-Effective Amendment No. 93 to Registration Statement No. 2-19458 on Form N-1A on November 15, 2002. (b) Incorporated herein by reference to the Exhibits filed with the Registrant's Post-Effective Amendment No. 86 to Registration Statement No. 2-19458 on Form N-1A on November 29, 1999. (c) Incorporated herein by reference to Appendix A of the Proxy Statement/Prospectus filed with the Registrant's Initial Registration Statement No. 333-107410 on Form N-14 as filed on July 25, 2003. (d) Incorporated herein by reference to the Exhibits filed with the Registrant's Post-Effective Amendment No. 94 to Registration Statement No. 2-19458 on Form N-1A on January 14, 2003. (e) Incorporated herein by reference to the Exhibits filed with the Registrant's Post-Effective Amendment No. 90 to Registration Statement No. 2-19458 on Form N-1A on November 20, 2000. (f) Incorporated herein by reference to the Exhibits filed with Security Income Fund's Post-Effective Amendment No. 71 to Registration Statement No. 2-38414 on Form N-1A on January 11, 2002. (g) Incorporated herein by reference to the Exhibits filed with the Registrant's Initial Registration Statement No. 333-107410 on Form N-14 as filed on July 25, 2003. (h) Incorporated herein by reference to the Exhibits filed with the Registrant's Post-Effective Amendment No. 89 to Registration Statement 2-19458 (filed May 1, 2000). 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 Securities Act 17 CFR 230.145(c), the reoffering prospectus will contain the information called for by the applicable registration form for 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 1933 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 discussed in this registration statement. SIGNATURES Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant has duly caused this Registration Statement on Form N-14 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Topeka and State of Kansas on the 25th day of July, 2003. SECURITY EQUITY FUND By: JAMES R. SCHMANK ------------------------------------- James R. Schmank President 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 and on the date indicated. John D. Cleland By: JAMES R. SCHMANK Chairman of the ------------------------------------- Board and Director James R. Schmank, Director, President and as Attorney-In-Fact for the Directors Whose Names Appear Opposite Donald A. Chubb, Jr. Director BRENDA M. HARWOOD ------------------------------------- Penny A. Lumpkin Brenda M. Harwood, Treasurer Director (Principal Financial Officer) Mark L. Morris, Jr. Director Maynard Oliverius Director EXHIBIT INDEX (1) None (2) None (3) None (4) None (5) None (6) None (7) None (8) None (9) None (10) None (11) None (12) Opinion and Consent of Counsel supporting tax matters and consequences (13) None (14) None (15) None (16) None (17) None
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N-14/A Filing
Guggenheim Core Bond Fund Class P (SIUPX) N-14/ARegistration statement for investment companies business combination (amended)
Filed: 14 Oct 03, 12:00am