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As filed with the Securities and Exchange Commission on April 14, 2000
File No. 333-02381
File No. 811-07589
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. 14 [ X ]
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and/or
REGISTRATION STATEMENT UNDER THE
INVESTMENT COMPANY ACT OF 1940 [ X ]
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Amendment No. 16 [ X ]
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THE HARTFORD MUTUAL FUNDS, INC.
(Exact Name of Registrant as Specified in Charter)
P. O. Box 2999, Hartford, Connecticut 06104-2999
(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)
Approximate Date of Proposed Public Offering:
Upon this amendment to the Registration Statement being declared effective.
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It is proposed that this filing will become effective (check appropriate box)
immediately upon filing pursuant to paragraph (b) of Rule 485
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X on May 1, 2000 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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Pursuant to Rule 24f-2 under the Investment Company Act of 1940, Registrant has
previously elected to register an indefinite number of shares of its Common
Stock.
The Rule 24f-2 Notice for the Registrant's most recent fiscal year was filed on
March 9, 2000.
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This registration statement is being filed for the purpose of changing its
effective date to May 1, 2000 pursuant to Rule 485(b)(1)(iii). Parts A and B of
the Registrant's Post-Effective Amendment No. 13 are incorporated by reference.
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PART C
OTHER INFORMATION
Item 23. Exhibits
a. Articles of Incorporation(1)
b. By-Laws(1)
c. Not Applicable
d.(i) Form of Investment Advisory Agreement(1)
d.(ii) Form of Sub-Advisory Agreement(1)
d.(iii) Investment Management Agreement with Hartford Investment
Financial Services Company(3)
d.(iv) Investment Sub-Advisory Agreement with Wellington Management
Company LLP(3)
d.(v) Investment Services Agreement with The Hartford Investment
Management Company(3)
d.(vi) Form of Amendment Number 1 to Investment Management
Agreement(4)
d.(vii) Form of Amendment Number 1 to Sub-Advisory Agreement between
Hartford Investment Financial Services Company and
Wellington Management Company LLP(4)
d.(viii) Form of Amendment Number 2 to Investment Management
Agreement(5)
d.(ix) Form of Amendment Number 2 to Sub-Advisory Agreement between
Hartford Investment Financial Services Company and
Wellington Management Company LLP(5)
d.(x) Form of Amendment Number 1 to Investment Services Agreement
with The Hartford Investment Management Company(8)
d.(xi) Form of Amendment Number 3 to Investment Management
Agreement(8)
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(1) Filed with Registrant's Initial Registration Statement on April 9, 1996.
(2) Filed with Registrant's Pre-Effective Amendment #1 on June 27, 1996.
(3) Filed with Registrant's Post-Effective Amendment #3 on June 20, 1997.
(4) Filed with Registrant's Post-Effective Amendment #4 on October 16, 1997.
(5) Filed with Registrant's Post-Effective Amendment #5 on February 6, 1998.
(6) Filed with Registrant's Post-Effective Amendment #6 on April 24, 1998.
(7) Filed with Registrant's Post-Effective Amendment #7 on May 13, 1998.
(8) Filed with Registrant's Post-Effective Amendment #9 on July 15, 1998.
(9) Incorporated by reference to Registrant's filing pursuant to Rule 30d-1 of
the Investment Company Act of 1940.
(10) Incorporated by reference to Registrant's NSAR-B filed on February 28,
2000.
(11) Filed with Registrant's Post-Effective Amendment #12 on April 26, 1999.
(12) Filed with Registrant's Post-Effective Amendment #13 on February 2, 2000.
(13) To be filed by Amendment.
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d.(xii) Form of Amendment Number 3 to Sub-Advisory Agreement between
Hartford Investment Financial Services Company and
Wellington Management Company LLP(8)
d.(xiii) Form of Amendment Number 4 to Investment Management
Agreement(12)
d.(xiv) Form of Amendment Number 4 to Sub-Advisory Agreement between
Hartford Investment Financial Services Company and
Wellington Management Company LLP(12)
e.(i) Form of Principal Underwriting Agreement(1)
e.(ii) Form of Dealer Agreement with the Distributor(2)
e.(iii) Form of Amendment Number 1 to Principal Underwriting Agreement(4)
e.(iv) Form of Amendment Number 2 to Principal Underwriting Agreement(5)
e.(v) Form of Amendment Number 3 to Principal Underwriting Agreement(8)
e.(vi) Form of Amendment Number 4 to Principal Underwriting Agreement(12)
f. Not Applicable
g.(i) Form of Custodian Agreement(2)
g.(ii) Form of Amendment Number 1 to Custodian Agreement(4)
g.(iii) Form of Amendment Number 2 to Custodian Agreement(5)
g.(iv) Form of Amendment Number 3 to Custodian Agreement(8)
g.(v) Form of Amendment Number 4 to Custodian Agreement(12)
h.(i) Form of Transfer Agency and Service Agreement(2)
h.(ii) Form of Amendment Number 1 to Transfer Agency and Service
Agreement(4)
h.(iii) Form of Amendment Number 2 to Transfer Agency and Service
Agreement(5)
h.(iv) Form of Amendment Number 3 to Transfer Agency and Service
Agreement(7)
h.(v) Form of Amendment Number 4 to Transfer Agency and Service
Agreement(8)
h.(vi) Form of Amendment Number 5 to Transfer Agency and Service
Agreement(12)
i. Opinion and Consent of Counsel(13)
j. Consent of Independent Public Accountants(13)
k. 1999 Annual Report to Shareholders' Financial Statements(9)
l. Not Applicable
m.(i) Form of Rule 12b-1 Distribution Plan for Class A Shares(1)
m.(ii) Form of Rule 12b-1 Distribution Plan for Class B Shares(1)
m.(iii) Form of Rule 12b-1 Distribution Plan for Class C Shares(7)
m.(iv) Form of Amended Rule 12b-1 Distribution Plan for Class A Shares(4)
m.(v) Form of Amended Rule 12b-1 Distribution Plan for Class B Shares(4)
m.(vi) Form of Amendment Number 1 to Amended and Restated Rule 12b-1
Distribution Plan for Class A Shares(5)
m.(vii) Form of Amendment Number 1 to Amended and Restated Rule 12b-1
Distribution Plan for Class B Shares(5)
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m.(viii) Form of Amendment Number 2 to Amended and Restated Rule 12b-1
Distribution Plan for Class A Shares(8)
m.(ix) Form of Amendment Number 2 to Amended and Restated Rule 12b-1
Distribution Plan for Class B Shares(8)
m.(x) Form of Amendment Number 1 to Rule 12b-1 Distribution Plan for
Class C Shares(8)
m.(xi) Form of Amendment Number 3 to Amended and Restated Rule 12b-1
Distribution Plan for Class A Shares(12)
m.(xii) Form of Amendment Number 3 to Amended and Restated Rule 12b-1
Distribution Plan for Class B Shares(12)
m.(xiii) Form of Amendment Number 2 to Rule 12b-1 Distribution Plan for
Class C Shares(12)
n. Not Applicable
o.(i) Form of Rule 18f-3 Plan(1)
o.(ii) Form of Amended Rule 18f-3 Plan(4)
o.(iii) Form of Amendment Number 1 to Amended and Restated Rule 18f-3
Plan(5)
o.(iv) Form of Amended and Restated Rule 18f-3 Plan to Add Class C Shares(7)
o.(v) Form of Amendment Number 1 to Amended and Restated Rule 18f-3
Plan which added Class C Shares(8)
o.(vi) Form of Amendment Number 2 to Amended and Restated Rule 18f-3
Plan which added Class C Shares(12)
p. Powers of Attorney(12)
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Item 24. PERSONS CONTROLLED BY OR UNDER COMMON CONTROL WITH REGISTRANT
Inapplicable
Item 25. INDEMNIFICATION
Reference is made to Article V of the Articles of Incorporation filed
with Registrant's Initial Registration Statement on April 9, 1996.
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Item 26. 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
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<S> <C> <C>
Lowndes A. Smith President and President and Chief Executive Officer of
Chief Executive Officer Hartford Life, Inc. ("H.L. Inc.")(1)
Thomas M. Marra Executive Vice Chief Operating Officer of H.L. Inc.
President-Sales and
Distribution
David Znamierowski Senior Vice Chief Investment Officer of H.L. Inc.
President-Investments
Peter W. Cummins Senior Vice President-Sales Senior Vice President of H.L. Inc.
and Distribution
Andrew W. Kohnke Senior Vice Managing Director of Hartford Investment
President-Investments Management Company ("HIMCO")(2)
Lynda Godkin Senior Vice President, General Counsel of H.L. Inc.
Secretary and General Counsel
David Foy Senior Vice President and Chief Financial Officer of H.L. Inc.
Treasurer
George R. Jay Controller Assistant Vice President of H.L. Inc.
David N. Levenson Vice President Vice President of H.L. Inc.
David A. Carlson Vice President and Director Vice President and Director of Taxes of
of Taxes H.L. Inc.
Mark E. Hunt Vice President Vice President of Hartford Life
Insurance Company ("HLIC")(3)
</TABLE>
(1) The principal business address for H.L. Inc. is 200 Hopmeadow Street,
Simsbury, CT 06089.
(2) The principal business address for HIMCO is 55 Farmington Avenue, Hartford,
CT 06105.
(3) The principal business address for The Hartford is Hartford Plaza,
Hartford, CT 06115.
Item 27. PRINCIPAL UNDERWRITERS
Hartford Investment Financial Services Company ("HIFSCO") is an indirect
wholly owned subsidiary of The Hartford Financial Services Group, Inc. HIFSCO is
the principal underwriter for no other investment companies.
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The directors and principal officers of HIFSCO and their position with the
Registrant are set forth below:
<TABLE>
<CAPTION>
Name and Principal Position and Offices
Business Address* Positions and Offices with Underwriter with Registrant
- ----------------- -------------------------------------- ---------------
<S> <C> <C>
Lowndes A. Smith President and Chief Executive Officer Chairman of the Board
Thomas M. Marra Executive Vice President-Sales and Distribution Vice President
David Znamierowski Senior Vice President-Investments President
Peter W. Cummins Senior Vice President-Sales and Distribution Vice President
Andrew W. Kohnke Senior Vice President-Investments Vice President
Lynda Godkin Senior Vice President, Secretary and General None
Counsel
David Foy Senior Vice President-Treasurer None
George R. Jay Controller Treasurer and Controller
David N. Levenson Vice President None
David A. Carlson Vice President and Director of Taxes None
Mark E. Hunt Vice President None
</TABLE>
*Principal business address is 200 Hopmeadow Street, Simsbury, CT 06089
Item 28. 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, 225 Franklin Street, Boston, MA 02110 and the Registrant's
transfer agent, National Financial Data Services, P.O. Box 219054, Kansas City,
MO 64121-9054. 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 29. MANAGEMENT SERVICES
Not Applicable
Item 30. UNDERTAKINGS
Not Applicable
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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 this 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 11th day of
April, 2000.
THE HARTFORD MUTUAL FUNDS, INC.
By: *
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David M. Znamierowski
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 April 13, 2000
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David M. Znamierowski & Director)
* Controller & Treasurer April 13, 2000
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George R. Jay Chief Financial Officer)
* Director April 13, 2000
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Robert J. Clark
* Director April 13, 2000
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Winifred E. Coleman
* Director April 13, 2000
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William A. O'Neill
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* Director April 13, 2000
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Millard H. Pryor, Jr.
* Director April 13, 2000
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Lowndes A. Smith
* Director April 13, 2000
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John K. Springer
/s/ Kevin J. Carr April 13, 2000
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* By Kevin J. Carr
Attorney-in-fact
