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As filed with the Securities and Exchange Commission on February 27, 2002
Registration No. 333-73146
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-14
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
[ ] Pre-Effective Amendment No. _____ [X] Post-Effective Amendment No. 1
(Check appropriate box or boxes)
Exact name of Registrant as Specified in Charter:
THE HARTFORD MUTUAL FUNDS, INC.
Address of Principal Executive Offices:
P.O. Box 2999
Hartford, Connecticut 06104-2999
Registrant's Telephone Number: (860) 297-6443
Name and Address of Agent for Service: Copy to:
Kevin J. Carr, Esq. Kathleen L. Prudhomme, Esq.
Investment Law Unit Dorsey & Whitney LLP
The Hartford Financial Services Group, Inc. Suite 1500
55 Farmington Avenue 50 South Sixth Street
Hartford, Connecticut 06105 Minneapolis, Minnesota 55402
The title of the securities being registered is shares of common stock.
An indefinite number of shares of the Registrant have previously been registered
on Form N-1A (Registration Nos. 333-02381, 811-07589) pursuant to Rule 24f-2
under the Investment Company Act of 1940. Accordingly, no filing fee is being
paid at this time.
This Post-Effective Amendment consists of the following:
(1) Facing Sheet of the Registration Statement.
(2) Part C to the Registration Statement (including signature page).
Parts A and B are incorporated herein by reference from Pre-Effective Amendment
No. 2 to the Registration Statement on Form N-14 (File No. 333-73146) filed on
December 19, 2001.
This Post-Effective Amendment is being filed solely to file the final tax
opinions as Exhibits 12(a)-12(f) to this Registration Statement on Form N-14.
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PART C
OTHER INFORMATION
ITEM 15. INDEMNIFICATION.
Incorporated herein by reference to Article V of the Articles of
Incorporation filed with the Registrant's initial registration statement on
April 9, 1996.
Insofar as indemnification for liability arising under the Securities
Act of 1933 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 is made 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 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.
(1) Articles of Incorporation (a)
(2) By-Laws (a)
(3) Not applicable
(4) Agreement and Plan of Reorganization is attached as Exhibit
A to the Prospectus/Proxy Statement included in Part A of
this Registration Statement on Form N-14
(5) See (1) above
(6a) Form of Investment Advisory Agreement (a)
(6b) Form of Sub-Advisory Agreement (a)
(6c) Investment Management Agreement with Hartford Investment
Financial Services Company (c)
(6d) Investment Sub-Advisory Agreement with Wellington Management
Company LLP (c)
(6e) Investment Services Agreement with The Hartford Investment
Management Company (c)
(6f) Form of Amendment Number 1 to Investment Management
Agreement (d)
(6g) Form of Amendment Number 1 to Sub-Advisory Agreement between
Hartford Investment Financial Services Company and
Wellington Management Company LLP (d)
(6h) Form of Amendment Number 2 to Investment Management
Agreement (e)
(6i) Form of Amendment Number 2 to Sub-Advisory Agreement between
Hartford Investment Financial Services Company and
Wellington Management Company LLP (e)
(6j) Form of Amendment Number 1 to Investment Services Agreement
with The Hartford Investment Management Company (g)
(6k) Form of Amendment Number 3 to Investment Management
Agreement (g)
(6l) Form of Amendment Number 3 to Sub-Advisory Agreement between
Hartford Investment Financial Services Company and
Wellington Management Company LLP (g)
(6m) Form of Amendment Number 4 to Investment Management
Agreement (h)
(6n) Form of Amendment Number 4 to Sub-Advisory Agreement between
Hartford Investment Financial Services Company and
Wellington Management Company LLP (h)
(6o) Form of Amendment Number 5 to Investment Management
Agreement (i)
(6p) Form of Amendment Number 5 to Sub-Advisory Agreement between
Hartford Investment Financial Services Company and
Wellington Management Company LLP (i)
(6q) Form of Amendment Number 6 to Investment Management
Agreement (j)
(6r) Form of Amendment Number 6 to Sub-Advisory Agreement between
Hartford Investment Financial Services Company and
Wellington Management Company LLP (j)
(7a) Form of Principal Underwriting Agreement (a)
(7b) Form of Dealer Agreement with the Distributor (b)
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(7c) Form of Amendment Number 1 to Principal Underwriting
Agreement (d)
(7d) Form of Amendment Number 2 to Principal Underwriting
Agreement (e)
(7e) Form of Amendment Number 3 to Principal Underwriting
Agreement (g)
(7f) Form of Amendment Number 4 to Principal Underwriting
Agreement (h)
(7g) Form of Amendment Number 5 to Principal Underwriting
Agreement (i)
(7h) Form of Amendment Number 6 to Principal Underwriting
Agreement (j)
(8) Not applicable
(9a) Form of Custodian Agreement (b)
(9b) Form of Amendment Number 1 to Custodian Agreement (d)
(9c) Form of Amendment Number 2 to Custodian Agreement (e)
(9d) Form of Amendment Number 3 to Custodian Agreement (g)
(9e) Form of Amendment Number 4 to Custodian Agreement (h)
(9f) Form of Letter Amendment to Custodian Agreement (i)
(9g) Form of Letter Amendment to Custodian Agreement (j)
(10a) Form of Rule 12b-1 Distribution Plan for Class A Shares (a)
(10b) Form of Rule 12b-1 Distribution Plan for Class B Shares (a)
(10c) Form of Rule 12b-1 Distribution Plan for Class C Shares (f)
(10d) Form of Amended Rule 12b-1 Distribution Plan for Class A
Shares (d)
(10e) Form of Amended Rule 12b-1 Distribution Plan for Class B
Shares (d)
(10f) Form of Amendment Number 1 to Amended and Restated Rule
12b-1 Distribution Plan for Class A Shares (e)
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(10g) Form of Amendment Number 1 to Amended and Restated Rule
12b-1 Distribution Plan for Class B Shares (e)
(10h) Form of Amendment Number 2 to Amended and Restated Rule
12b-1 Distribution Plan for Class A Shares (g)
(10i) Form of Amendment Number 2 to Amended and Restated Rule
12b-1 Distribution Plan for Class B Shares (g)
(10j) Form of Amendment Number 1 to Rule 12b-1 Distribution Plan
for Class C Shares (g)
(10k) Form of Amendment Number 3 to Amended and Restated Rule
12b-1 Distribution Plan for Class A Shares (h)
(10l) Form of Amendment Number 3 to Amended and Restated Rule
12b-1 Distribution Plan for Class B Shares (h)
(10m) Form of Amendment Number 2 to Rule 12b-1 Distribution Plan
for Class C Shares (h)
(10n) Form of Amendment Number 4 to Amended and Restated Rule
12b-1 Distribution Plan for Class A Shares (i)
(10o) Form of Amendment Number 4 to Amended and Restated Rule
12b-1 Distribution Plan for Class B Shares (i)
(10p) Form of Amendment Number 3 to Rule 12b-1 Distribution Plan
for Class C Shares (i)
(10q) Form of Amendment Number 5 to Amended and Restated Rule
12b-1 Distribution Plan for Class A Shares (j)
(10r) Form of Amendment Number 5 to Amended and Restated Rule
12b-1 Distribution Plan for Class B Shares (j)
(10s) Form of Amendment Number 4 to Rule 12b-1 Distribution Plan
for Class C Shares (j)
(10t) Form of Rule 18f-3 Plan (a)
(10u) Form of Amended Rule 18f-3 Plan (d)
(10v) Form of Amendment Number 1 to Amended and Restated Rule
18f-3 Plan (e)
(10w) Form of Amended and Restated Rule 18f-3 Plan to Add Class C
Shares (f)
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(10x) Form of Amendment Number 1 to Amended and Restated Rule
18f-3 Plan which added Class C Shares (g)
(10y) Form of Amendment Number 2 to Amended and Restated Rule
18f-3 Plan which added Class C Shares (h)
(10z) Form of Amendment Number 3 to Amended and Restated Rule
18f-3 Plan which added Class C Shares (i)
(10aa) Form of Amendment Number 4 to Amended and Restated Rule
18f-3 Plan which added Class C Shares (j)
(11) Opinion and consent of Kevin J. Carr, in-house counsel to
the Registrant, with respect to the legality of the
securities being registered (k).
(12a) Opinion and consent of Dorsey & Whitney LLP with respect to
tax matters concerning the reorganization of Fortis Asset
Allocation Portfolio (filed herewith).
(12b) Opinion and consent of Dorsey & Whitney LLP with respect to
tax matters concerning the reorganization of Fortis Global
Growth Portfolio (filed herewith).
(12c) Opinion and consent of Dorsey & Whitney LLP with respect to
tax matters concerning the reorganization of Fortis Growth &
Income Fund (filed herewith).
(12d) Opinion and consent of Dorsey & Whitney LLP with respect to
tax matters concerning the reorganization of Fortis High
Yield Portfolio (filed herewith).
(12e) Opinion and consent of Dorsey & Whitney LLP with respect to
tax matters concerning the reorganization of Fortis
International Equity Portfolio (filed herewith).
(12f) Opinion and consent of Dorsey & Whitney LLP with respect to
tax matters concerning the reorganization of Fortis Money
Fund (filed herewith).
(13) Not applicable.
(14a) Consent of Arthur Andersen LLP (l) .
(14b) Consent of KPMG LLP (l).
(15) Not applicable.
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(16) Power of attorney (k).
(17) Form of proxy card (k).
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(a) Incorporated herein by reference to Registrant's Initial Registration
Statement filed on April 9, 1996.
(b) Incorporated herein by reference to Registrant's Pre-Effective Amendment #1
filed on June 27, 1996.
(c) Incorporated herein by reference to Registrant's Post-Effective Amendment
#3 filed on June 20, 1997.
(d) Incorporated herein by reference to Registrant's Post-Effective Amendment
#4 filed on October 16, 1997.
(e) Incorporated herein by reference to Registrant's Post-Effective Amendment
#5 filed on February 6, 1998.
(f) Incorporated herein by reference to Registrant's Post-Effective Amendment
#7 filed on May 13, 1998.
(g) Incorporated herein by reference to Registrant's Post-Effective Amendment
#9 filed on July 15, 1998.
(h) Incorporated herein by reference to Registrant's Post-Effective Amendment
#13 filed on February 2, 2000.
(i) Incorporated herein by reference to Registrant's Post-Effective Amendment
#16 filed on August 10, 2000.
(j) Incorporated herein by reference to Registrant's Post-Effective Amendment
#17 filed on February 14, 2001.
(k) Incorporated herein by reference to Registrant's Registration Statement on
Form N-14 (File No. 333-73146), filed on November 9, 2001.
(l) Incorporated herein by reference to Pre-Effective Amendment No. 2 to
Registrant's Registration Statement on Form N-14 (File No. 333-73146),
filed on December 19, 2001.
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, 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.
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(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.
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SIGNATURES
As required by the Securities Act of 1933, this registration statement
has been signed on behalf of the registrant, in the city of Hartford, and the
state of Connecticut on the 27th day of February, 2002.
THE HARTFORD MUTUAL FUNDS, INC.
By: David M. Znamierowski*
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Its: President
As required by the Securities Act of 1933, this registration
statement has been signed by the following persons in the capacities and on the
date indicated.
Signature Title
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David M. Znamierowski* President
(Chief Executive Officer
& Director)
George R. Jay* Controller & Treasurer
(Chief Accounting Officer &
Chief Financial Officer)
Winifred E. Coleman* Director
Duane E. Hill* Director
William A. O'Neil* Director
Millard H. Pryor, Jr.* Director
Lowndes A. Smith* Director
John K. Springer* Director
/s/ Kevin J. Carr Dated: February 27, 2002
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* By Kevin J. Carr
Attorney-in-fact
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