1933 Act File No. 33-63621
1940 Act File No. 811-7369
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933..... X
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Pre-Effective Amendment No. _____.......................... __
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Post-Effective Amendment No. 9 .......................... X
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and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 X
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Amendment No. 10 ........................................ X
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FTI FUNDS
(Exact name of Registrant as Specified in Charter)
5800 Corporate Drive
Pittsburgh, Pennsylvania 15237-7010
(Address of Principal Executive Offices)
(412) 288-1900
(Registrant's Telephone Number)
John W. McGonigle, Esquire
Federated Investors Tower
Pittsburgh, Pennsylvania 15222-3779
(Name and Address of Agent for Service)
(Notices should be sent to the Agent for Service)
It is proposed that this filing will become effective: _ immediately upon filing
pursuant to paragraph (b) __ on ______________ pursuant to paragraph (b) 60 days
after filing pursuant to paragraph (a)(i) on pursuant to paragraph (a)(i) X_ 75
days after filing pursuant to paragraph (a)(ii) on ______________ pursuant to
paragraph (a)(ii) of Rule 485.
If appropriate, check the following box:
This post-effective amendment designates a new effective date for a
previously filed post-effective amendment
Copy to:
John N. Ake, Esquire
Ballard Spahr Andrews & Ingersoll, LLP
1735 Market Street
51st Floor
Philadelphia, PA 19103-7599
Incorporate by reference pursuant to Rule 411 under the Securities Act of 1933,
Parts A and B of Post-Effective Amendment No. 8, filed September 22, 2000, in
their entirety.
PART C. OTHER INFORMATION.
Item 23. EXHIBITS:
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(a). (i) Conformed copy of Declaration of Trust of the Registrant; (1)
(ii) Conformed copy of Amendment No. 1 to the Declaration of Trust
of the Registrant; (2)
(iii) Conformed copy of Amendment No. 2 to the Declaration of Trust
of the Registrant; (7)
(b) Copy of By-Laws of the Registrant; (1)
(c) Copy of Specimen Certificate for Shares of Beneficial Interest of
the Registrant; (3)
(d). (i) Conformed copy of Investment Advisory Contract of the
Registrant; (3)
(ii) Conformed copy of Exhibit F to the Investment Advisory Contract
of the Registrant; (6)
(iii) Conformed copy of Exhibit G to the Investment Advisory Contract
of the Registrant; (6)
(iv) Conformed copy of Exhibit H to the Investment Advisory Contract
of the Registrant; (6)
(v) Conformed copy of Exhibit I to the Investment Advisory Contract
of the Registrant; (6)
(e). (i) Conformed copy of Distributor's Contract of the Registrant; (3)
(ii) Conformed copy of Exhibit B to the Distributor's Contract of
the Registrant; (6)
(f) Not applicable;
(g) (i) Conformed copy of Custodian Agreement of the
Registrant; (3) (ii) Conformed copy of Global Custody Fee
Schedule; (5)
(iii) Conformed copy of Domestic Custodian Fee Schedule; (5)
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(1) Response is incorporated by reference to Registrant's Initial Registration
Statement on Form N-1A filed October 23, 1995 (File Nos. 33-63621 and
811-7369).
(2) Response is incorporated by reference to Registrant's Registration
Statement filed December 20, 1995 (File Nos. 33-63621 and 811-7369).
(3) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 1 on Form N-1A filed July 2, 1996 (File Nos. 33-63621 and
811-7369).
(5) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 4 on Form N-1A filed January 28, 1998 (File Nos. 33-63621 and
811-7369).
(6) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 5 on Form N-1A filed September 24, 1998 (File Nos. 33-63621
and 811-7369).
(7) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 6 on Form N-1A filed March 29, 1999 (File Nos. 33-63621 and
811-7369).
(h) (i) Conformed copy of Administrative Services
Agreement; (3)
(ii) Conformed copy of Agreement for Fund Accounting, Shareholder
Recordkeeping, and Custody Services Procurement; (3)
(iii) Amendment No. 1 to Agreement for Fund Accounting, Shareholder
Recordkeeping, and Custody Services Procurement; (6)
(iv) Conformed copy of Shareholder Services Agreement; (3)
(v) Amendment No. 1 to Schedule A to the Shareholder Services
Agreement; (6)
(i) Conformed copy of Opinion and Consent of Counsel as to legality of
shares being registered; (3)
(j) Conformed copy of Consent of Independent Accountants; (8)
(k) Not applicable; (l) Conformed copy of Initial Capital
Understanding; (2) (m) (i) Conformed copy of Amended and
Restated Distribution Plan; (8)
(ii) Copy of 12b-1 Agreement; (3)
(iii) Conformed copy of Amendment No. 1 to Exhibit A to
the 12b-1 Agreement; (6)
(n) Not applicable;
(o) Conformed copy of Power of Attorney; +
(p) (i) Fiduciary International, Inc. Code of Ethics; +
(ii) Edgewood Services Code of Ethics; +
(iii) FTI Funds Code of Ethics; +
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+ All exhibits have been filed electronically
(2) Response is incorporated by reference to Registrant's Registration
Statement filed December 20, 1995 (File Nos. 33-63621 and 811-7369).
(3) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 1 on Form N-1A filed July 2, 1996 (File Nos. 33-63621 and
811-7369).
(6) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 5 on Form N-1A filed September 24, 1998 (File Nos. 33-63621
and 811-7369).
(8) Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 8 on Form N-1A filed March 31, 2000 (File Nos. 33-63621 and
811-7369).
Item 24. PERSONS CONTROLLED BY OR UNDER COMMON CONTROL WITH REGISTRANT:
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None
Item 25. INDEMNIFICATION: (1)
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Item 26. BUSINESS AND OTHER CONNECTIONS OF INVESTMENT ADVISER:
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(a) For a description of the other business of the investment
adviser, see the section entitled "Management of the Funds" in
Part A.
For information as to the business, profession, vocation, and
employment of a substantial nature of directors and officers of
Fiduciary International, Inc., reference is made to Fiduciary
International, Inc.'s current Form ADV (File No. 801-18352)
filed under the Investment Advisers Act of 1940, as amended,
which is incorporated herein by reference.
ITEM 27. PRINCIPAL UNDERWRITERS:
(a) Edgewood Services, Inc. the Distributor for shares of the Registrant, acts
as principal underwriter for the following open-end investment companies,
including the Registrant: Excelsior Funds, Excelsior Funds, Inc.,
(formerly, UST Master Funds, Inc.), Excelsior Institutional Trust,
Excelsior Tax-Exempt Funds, Inc. (formerly, UST Master Tax-Exempt Funds,
Inc.), FTI Funds, Great Plains Funds, Old Westbury Funds, Inc., The
Riverfront Funds, Robertsons Stephens Investment Trust, and WesMark Funds.
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(1) Response is incorporated by reference to Registrant's Initial Registration
Statement on Form N-1A filed October 23, 1995 (File Nos. 33-63621 and
811-7369).
(b)
(1) (2) (3)
Name and Principal Positions and Offices Positions and Offices
BUSINESS ADDRESS WITH DISTRIBUTOR WITH REGISTRANT
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Lawrence Caracciolo Director, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Arthur L. Cherry Director, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
J. Christopher Donahue Director, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Thomas R. Donahue Director and Executive --
5800 Corporate Drive Vice President,
Pittsburgh, PA 15237-7002 Edgewood Services, Inc.
Peter J. Germain President, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Charles L. Davis, Jr. Vice President,
5800 Corporate Drive Edgewood Services, Inc. --
Pittsburgh, PA 15237-7002
Christine Johnston Vice President, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Ernest L. Linane Vice President, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Denis McAuley, III Treasurer, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Timothy S. Johnson Secretary, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Victor R. Siclari Assistant Secretary, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
(c) Not applicable
Item 28. LOCATION OF ACCOUNTS AND RECORDS:
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All accounts and records required to be maintained by Section 31(a) of the
Investment Company Act of 1940 and Rules 31a-1 through 31a-3 promulgated
thereunder are maintained at one of the following locations:
Registrant Federated Investors Tower
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
5800 Corporate Drive
Pittsburgh, PA 15237-7010
Federated Services Company Federated Investors Tower
("Transfer Agent, Dividend Pittsburgh, PA 15222-3779
Disbursing Agent and Portfolio
Accountant")
Federated Administrative Services Federated Investors Tower
("Administrator") Pittsburgh, PA 15222-3779
Fiduciary International, Inc. Two World Trade Center
("Adviser") New York, NY 10048-0772
Fiduciary Trust Company International Two World Trade Center
("Custodian") New York, NY 10048-0772
Item 29. MANAGEMENT SERVICES: Not applicable.
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Item 30. UNDERTAKINGS:
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Registrant hereby undertakes to comply with the provisions of
Section 16(c) of the 1940 Act with respect to the removal of
Trustees and the calling of special shareholder meetings by
shareholders.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the
Investment Company Act of 1940, the Registrant, FTI FUNDS, has duly caused this
Amendment to its Registration Statement to be signed on its behalf by the
undersigned, thereto duly authorized, in the City of Pittsburgh and Commonwealth
of Pennsylvania, on the 4th day of December, 2000.
FTI FUNDS
BY: /s/Gail Cagney
Gail Cagney, Secretary
Attorney in Fact for Peter J. Germain
December 4, 2000
Pursuant to the requirements of the Securities Act of 1933, this Amendment
to its Registration Statement has been signed below by the following person in
the capacity and on the date indicated:
NAME TITLE DATE
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By: /s/ Gail C. Jones
Gail C. Jones Attorney In Fact December 4, 2000
SECRETARY For the Persons
Listed Below
NAME TITLE
Peter J. Germain* President and Treasurer
(Chief Executive Officer and
Principal Financial and
Accounting Officer)
Peter A. Aron* Trustee
James C. Goodfellow* Trustee
Burton J. Greenwald* Trustee
Kevin J. O'Donnell* Trustee
* By Power of Attorney
