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As filed with the Securities and Exchange Commission on July 7, 1998
Registration No. 333-02381
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X]
Pre-Effective Amendment No. [ ]
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Post-Effective Amendment No. 8 [X]
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and/or
REGISTRATION STATEMENT UNDER THE
INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 10 [X]
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THE HARTFORD MUTUAL FUNDS, INC.
(Exact Name of Registrant as Specified in Charter)
Hartford Plaza, Hartford, Connecticut 06115
(Address of Principal Executive Offices)
Registrant's Telephone Number Including Area Code: (860) 297-6443
Kevin J. Carr, Esquire
The Hartford Financial Services Group, Inc.
Investment Law Unit
55 Farmington Avenue
Hartford, Connecticut 06105
(Name and Address of Agent for Service)
The Registrant has registered an indefinite number of its shares under the
Securities Act of 1933 pursuant to Section (a)(1) of Rule 24f-2 under the
Investment Company Act of 1940. The Registrant filed the Rule 24f-2 Notice for
its fiscal year ended December 31, 1997 with the Securities and Exchange
Commission on March 30, 1998.
It is proposed that this filing will become effective (check appropriate box).
Immediately upon filing pursuant to paragraph (b)
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X On July 13, 1998 pursuant to paragraph (b) of Rule 485
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60 days after filing pursuant to paragraph (a)(1) of Rule 485
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On pursuant to paragraph (a)(1)of Rule 485
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75 days after filing pursuant to paragraph (a)(2) of Rule 485
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On pursuant to paragraph (a)(2) of Rule 485
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THE HARTFORD MUTUAL FUNDS, INC.
INTRODUCTORY NOTE
This post-effective amendment number 8 is being filed for the purpose of
including one exhibit and to supplement or amend certain portions of the
prospectuses and combined statement of additional information filed as part of
post-effective amendment number 7. Except for the amended or supplemented
portions of the prospectuses contained in this filing, the prospectuses and
combined statement of additional information filed with post-effective amendment
number 7 are incorporated herein by reference.
The following language replaces Note 5 to the Investor Expenses table of
the Class A, B and C prospectus filed as part of post-effective amendment number
7:
(5) The Hartford Financial Services Group, Inc. ("The Hartford"), the
ultimate parent company of the Hartford Investment Financial Services
Company ("HIFSCO"), has voluntarily agreed to limit the Total
Operating Expenses of the Class A, Class B and Class C shares of each
Fund, exclusive of taxes, interest, brokerage commissions, certain
distribution fees and extraordinary expenses, until at least April 30,
1999. This policy may be discontinued at any time after such date. In
the absence of such an agreement, the Other Expenses for the Class A,
Class B and Class C shares of the following Funds for the most recent
fiscal year would have been: Small Company Fund, 0.62%, 0.68% and
0.73%; Capital Appreciation Fund, 0.54%, 0.58% and 0.64%; MidCap Fund,
0.54%, 0.58% and 0.64%; International Opportunities Fund, 1.10%, 1.18%
and 1.23%; Stock Fund, 0.54%, 0.58% and 0.63%; Growth and Income Fund,
0.52%, 0.59% and 0.65%; Dividend and Growth Fund, 0.54%, 0.59% and
0.65%; Advisers Fund, 0.50%, 0.56% and 0.62%; Bond Income Strategy
Fund, 0.49%, 0.54% and 0.59%; and Money Market Fund, 0.43%, 2.13% and
2.18%; respectively, and the Total Operating Expenses of such Funds
would have been: Small Company Fund, 1.82%, 2.53% and 2.58%; Capital
Appreciation Fund, 1.69%, 2.38% and 2.44%; MidCap Fund, 1.74%, 2.43%
and 2.49%; International Opportunities Fund, 2.30%, 3.03% and 3.08%;
Stock Fund, 1.69%, 2.38% and 2.43%; Growth and Income Fund, 1.67%,
2.39% and 2.45%; Dividend and Growth Fund, 1.64%, 2.34% and 2.40%;
Advisers Fund, 1.60%, 2.31% and 2.37%; Bond Income Strategy Fund,
1.49%, 2.19% and 2.24%; and Money Market Fund, 1.28%, 3.63% and 3.68%;
respectively.
The following language replaces the first paragraph under Prior Performance
of Similar Funds in the Class A, B and C and Class Y prospectuses:
Because the Funds commenced operations in July, 1996 they have limited
operating history and performance. However, the Capital Appreciation Fund,
International Opportunities Fund, Stock Fund, Dividend and Growth Fund and
Advisers Fund are modeled after existing funds (the "HLS Funds") that are
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managed by HIMCO or Wellington Management and have investment objectives,
policies and strategies substantially similar to the corresponding Funds.
The HLS Funds are used as investment vehicles for the assets of variable
annuity and variable life insurance contracts issued by The Hartford
affiliates.
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THE HARTFORD MUTUAL FUNDS, INC.
PART C - OTHER INFORMATION
Item 24. Financial Statements and Exhibits.
(a) Financial Statements for each Fund in operation as of the
date shown.
In Part A: Financial Highlights for each Fund
In Part B: Statement of Net Assets as of December 31, 1997 for each Fund
Statement of Operations for the fiscal year ended December 31,
1997 for each Fund
Statement of Changes in Net Assets for the fiscal year ended
December 31, 1997 and for the period from July 1, 1996
through December 31, 1996 for each Fund
(b) Exhibits
1. Articles of Incorporation(a)
2. By-Laws(a)
3. Not Applicable
5. Form of Investment Advisory Agreement(a)
5.1 Form of Sub-Advisory Agreement(a)
5.2 Investment Management Agreement with Hartford Investment Financial
Services Company(c)
5.3 Investment Sub-Advisory Agreement with Wellington Management
Company LLP(c)
5.4 Investment Services Agreement with Hartford Investment Management
Company(c)
5.5 Form of Amendment Number 1 to Investment Management Agreement(d)
5.6 Form of Amendment Number 1 to Sub-Advisory Agreement between Hartford
Investment Financial Services Company and Wellington Management
Company LLP(d)
5.7 Form of Amendment Number 2 to Investment Management Agreement(e)
5.8 Form of Amendment Number 2 to Sub-Advisory Agreement between Hartford
Investment Financial Services Company and Wellington Management
Company LLP(e)
6. Form of Principal Underwriting Agreement(a)
6.1 Form of Dealer Agreement with the Distributor(b)
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(a) Filed with Registrant's Initial Registration Statement on April 9, 1996.
(b) Filed with Registrant's Pre-Effective Amendment #1 on June 27, 1996.
(c) Filed with Registrant's Post-Effective Amendment #3 on June 20, 1997.
(d) Filed with Registrant's Post-Effective Amendment #4 on October 16, 1997.
(e) Filed with Registrant's Post-Effective Amendment #5 on February 6, 1998.
(f) Incorporated by reference to Registrant's filing pursuant to Rule 30d-1
under the Investment Company Act of 1940.
(g) Filed with Registrant's Post-Effective Amendment #6 on April 24, 1998.
(h) Filed with Registrant's Post-Effective Amendment #7 on May 13, 1998.
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6.2 Form of Amendment Number 1 to Principal Underwriting Agreement(d)
6.3 Form of Amendment Number 2 to Principal Underwriting Agreement(e)
7. Not Applicable
8. Form of Custodian Agreement(b)
8.1 Form of Amendment Number 1 to Custodian Agreement(d)
8.2 Form of Amendment Number 2 to Custodian Agreement(e)
9. Form of Transfer Agency and Service Agreement(b)
9.1 Form of Amendment Number 1 to Transfer Agency and Service Agreement(d)
9.2 Form of Amendment Number 2 to Transfer Agency and Service Agreement(e)
9.3 Form of Amendment Number 3 to Transfer Agency and Service Agreement(h)
10. Opinion and Consent of Counsel(h)
11. Consent of Independent Public Accountants (filed herewith)
12. 1997 Annual Report to Shareholders' Financial Statements(f)
13. Not Applicable
14. Not Applicable
15. Form of Rule 12b-1 Distribution Plan for Class A Shares(a)
15.1 Form of Rule 12b-1 Distribution Plan for Class B Shares(a)
15.2 Form of Rule 12b-1 Distribution Plan for Class C Shares(h)
15.3 Form of Amended Rule 12b-1 Distribution Plan for Class A Shares(d)
15.4 Form of Amended Rule 12b-1 Distribution Plan for Class B Shares(d)
15.5 Form of Amendment Number 1 to Amended and Restated Rule 12b-1
Distribution Plan for Class A Shares(e)
15.6 Form of Amendment Number 1 to Amended and Restated Rule 12b-1
Distribution Plan for Class B Shares(e)
16. Not Applicable
17. Not Applicable
18. Form of Rule 18f-3 Plan(a)
18.1 Form of Amended Rule 18f-3 Plan(d)
18.2 Form of Amendment Number 1 to Amended and Restated Rule 18f-3 Plan(e)
18.3 Form of Amended and Restated Rule 18f-3 Plan to Add Class C Shares(h)
19. Powers of Attorney(g)
27. Financial Data Schedules(g)
Item 25. Persons Controlled by or Under Common Control with Registrant.
Inapplicable
Item 26. Number of Record Holders by Class of Securities as of May 29, 1998.
<TABLE>
<CAPTION>
FUND NAME CLASS A CLASS B CLASS Y
- --------- ------- ------- -------
<S> <C> <C> <C>
The Hartford Small Company Fund 2,274 1,189 80
The Hartford Capital Appreciation Fund 23,245 24,842 592
The Hartford International Opportunities Fund 1,634 888 61
The Hartford MidCap Fund 772 372 2
The Hartford Stock Fund 6,256 6,929 68
The Hartford Growth and Income Fund 17 4 1
The Hartford Dividend and Growth Fund 5,374 5,589 58
The Hartford Advisers Fund 4,196 5,022 59
</TABLE>
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<TABLE>
<S> <C> <C> <C>
The Hartford Bond Income Strategy Fund 314 277 5
The Hartford Money Market Fund 1,184 360 5
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Total Number of Record Holders by Class 45,266 45,472 931
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</TABLE>
Item 27. Indemnification.
Reference is made to Article V of the Articles of Incorporation filed with
Registrant's Initial Registration Statement on April 9, 1996.
Item 28. Business and Other Connections of Investment Adviser.
Hartford Investment Financial Services Company serves as investment adviser
to each of the portfolios included in this Registration Statement.
<TABLE>
<CAPTION>
Position with Hartford
Investment Financial
Name Services Company Other Business
- ---- ---------------- --------------
<S> <C> <C>
Lowndes A. Smith President President of Hartford Life, Inc.
Thomas M. Marra Executive Vice Executive Vice President of
President-Sales and Hartford Life, Inc.
Distribution
Joseph H. Gareau Executive Vice President and Director of The
President-Investments Hartford Investment Management
Company ("HIMCO") and HL
Investment Advisors, Inc. ("HL
Advisors")
Peter W. Cummins Vice President-Sales and Senior Vice President of
Distribution Hartford Life, Inc.
Andrew W. Kohnke Vice President-Investments Managing Director and Director
of HIMCO and HL Advisors
David N. Levenson Vice President Assistant Vice President of
Hartford Life, Inc.
George R. Jay Controller Director and Secretary, Life
Controllers of Hartford Life, Inc.
Edmund V. Mahoney Chief Compliance Officer Vice President of HIMCO
Lynda Godkin General Counsel and Secretary Senior Vice President and General
Counsel of Hartford Life, Inc.
</TABLE>
<PAGE> 7
Item 29. Principal Underwriters
Hartford Securities Distribution Company, Inc. ("HSD") is an indirect
wholly owned subsidiary of The Hartford Financial Services Group, Inc. HSD is
the principal underwriter for the following registered investment companies:
Hartford Life Insurance
Company
DC Variable Account I
Separate Account Two (DC Variable Account II)
Separate Account Two (Variable Account "A")
Separate Account Two (QP Variable Account)
Separate Account Two (NQ Variable Account)
Putnam Capital Manager Trust Separate Account
Separate Account One
Separate Account Two
Separate Account Three
Separate Account Five
Hartford Life and Annuity
Insurance Company Separate Account One
Separate Account Three
Separate Account Five
Separate Account Six
Putnam Capital Manager Trust Separate Account Two
American Maturity Life
Insurance Company Separate Account American Maturity Life Variable
Annuity
The Directors and principal officers of HSD and their position with the
Registrant are as follows:
<TABLE>
<CAPTION>
Position or Office
Name* HSD with Registrant
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<S> <C> <C>
Peter Cummins Senior Vice-President Vice President
Lynda Godkin Senior Vice President, General None
Counsel and Corporate Secretary
John P. Ginnetti Executive Vice President Vice President
George Jay Controller & Fin. Principal Controller & Treasurer
Stephen T. Joyce Asst. Secretary None
Glen J. Kvadus Asst. Secretary None
Thomas M. Marra Exec. Vice-Pres. Vice President
Paul Eugene Olson Supv. Registered Principal None
Edward M. Ryan, Jr. Asst. Secretary None
</TABLE>
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<TABLE>
<S> <C> <C>
Lowndes A. Smith President and CEO Chairman
Donald W. Waggaman, Jr. Treasurer None
</TABLE>
*Principal business address is P.O. Box 2999, Hartford, CT 06104-2999
Item 30. Location of Accounts and Records.
Books or other documents required to be maintained by the Registrant by
Section 31(a) of the Investment Company Act of 1940 and the Rules promulgated
thereunder are maintained by the Registrant's custodian, State Street Bank and
Trust Company, 224 Franklin Street, Boston, MA 02110 and the Registrant's
transfer agent, Boston Financial Data Services, Inc., 66 Brooks Drive,
Braintree, MA 02184. Registrant's financial ledgers and other corporate records
are maintained at its offices at the Hartford Life Insurance Companies, 200
Hopmeadow Street, Simsbury, CT 06089.
Item 31. Management Services
Not Applicable
Item 32. Undertakings.
(a) Not Applicable
(b) Not Applicable
(c) The Company will furnish each person to whom a prospectus is
delivered with a copy of the Company's latest annual report to
shareholders, upon request and without charge.
(d) The Registrant undertakes to comply with Section 16(c) of the
Investment Company Act of 1940, as amended, as it relates to the
assistance to be rendered to shareholders with respect to the
call of a meeting to replace a director.
<PAGE> 9
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the
Investment Company Act of 1940 the Registrant certifies that it meets all of the
requirements for effectiveness of the Registration Statement pursuant to Rule
485(b) under the Securities Act of 1933 and has caused this Registration
Statement to be signed on its behalf by the undersigned, thereunto duly
authorized, in the City of Hartford, State of Connecticut, on the 7th day of
July, 1998.
THE HARTFORD MUTUAL FUNDS, INC.
By: *
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Joseph H. Gareau
Its: President
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed below by the following persons in the
capacities and on the date indicated.
SIGNATURE TITLE DATE
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* President July 7, 1998
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Joseph H. Gareau & Director)
* Controller & Treasurer July 7, 1998
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George R. Jay Chief Financial Officer)
* Director July 7, 1998
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Joseph A. Biernat
* Director July 7, 1998
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Winifred E. Coleman
* Director July 7, 1998
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William A. O'Neill
* Director July 7, 1998
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Millard H. Pryor, Jr.
* Director July 7, 1998
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Lowndes A. Smith
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* Director July 7, 1998
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John K. Springer
/s/ Kevin J. Carr July 7, 1998
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* By Kevin J. Carr
Attorney-in-fact
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EXHIBIT INDEX
Exhibit No.
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11 Consent of Independent Public Accountants
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EXHIBIT 11
CONSENT OF INDEPENDENT PUBLIC ACCOUNTANTS
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ARTHUR ANDERSEN LLP
CONSENT OF INDEPENDENT PUBLIC ACCOUNTANTS
As independent public accountants, we hereby consent to the use of our report
(and all references to our Firm) incorporated by reference herein or made a part
of this Registration Statement File No. 333-02381 for The Hartford Mutual Funds,
Inc. (consisting of The Hartford Money Market, The Hartford Bond Income
Strategy, The Hartford Advisers, The Hartford Dividend and Growth, The Hartford
Stock, The Hartford Capital Appreciation, The Hartford Small Company and The
Hartford International Opportunities Funds) on Form N-1A.
ARTHUR ANDERSEN LLP
Hartford, CT
July 2, 1998
