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Securities Act File No. 333-107410
As filed with the Securities and Exchange Commission on July 28, 2003
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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-14
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X]
Pre-Effective Amendment No.
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Post-Effective Amendment No. 1
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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
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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
Guggenheim Alpha Opportunity Fund (SAOAX)
Filed: 14 Oct 03, 12:00am