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As filed with the Securities and Exchange Commission on May 31, 2000
1933 Act Registration No. 2-25469
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1940 Act Registration No. 811-1424
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SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 X
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Pre-Effective Amendment No.
Post-Effective Amendment No. 66 X
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and/or
REGISTRATION STATEMENT UNDER THE
INVESTMENT COMPANY ACT OF 1940
Amendment No. 66 X
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(Check appropriate box or boxes.)
AIM EQUITY FUNDS
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(Exact Name of Registrant as Specified in Charter)
11 Greenway Plaza, Suite 100, Houston, TX 77046
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(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code (713) 626-1919
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Charles T. Bauer
11 Greenway Plaza, Suite 100, Houston, TX 77046
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(Name and Address of Agent for Service)
Copy to:
Lisa A. Moss, Esquire Martha J. Hays, Esquire
A I M Advisors, Inc. Ballard Spahr Andrews & Ingersoll, LLP
11 Greenway Plaza, Suite 100 1735 Market Street, 51st Floor
Houston, Texas 77046-1173 Philadelphia, Pennsylvania 19103-7599
Approximate Date of Proposed Public Offering: As soon as practicable
after the effective date of
this Amendment.
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 June 21, 2000 pursuant to paragraph (b)
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60 days after filing pursuant to paragraph (a)(1)
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on (date) pursuant to paragraph (a)(1)
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75 days after filing pursuant to paragraph (a)(2)
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on (date) pursuant to paragraph (a)(2) of rule 485.
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If appropriate, check the following box:
X this post-effective amendment designates a new effective date for a
---- previously filed post-effective amendment.
Title of Securities Being Registered: Shares of Beneficial Interest
THE REGISTRANT IS THE SUCCESSOR ISSUER TO AIM EQUITY FUNDS, INC. (THE
"PREDECESSOR FUND"). BY FILING THIS POST-EFFECTIVE AMENDMENT TO CURRENTLY
EFFECTIVE REGISTRATION STATEMENT NO.2-25469 OF THE PREDECESSOR FUND, THE
REGISTRANT EXPRESSLY ADOPTS THE REGISTRATION STATEMENT OF THE PREDECESSOR FUND
AS ITS OWN REGISTRATION STATEMENT FOR ALL PURPOSES OF THE SECURITIES ACT OF
1933, AS AMENDED, AND THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED, AND THE
INVESTMENT COMPANY ACT OF 1940, AS AMENDED.
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PART C: OTHER INFORMATION
Item 23 Exhibits
a (1) - (a) Articles of Incorporation of Registrant, as filed with
the State of Maryland on May 20, 1988, were filed as an
Exhibit to Post-Effective Amendment No. 34 on June 13,
1988, and were filed electronically as an Exhibit to
Post-Effective Amendment No. 47 on December 29, 1995.
- (b) Articles Supplementary, as filed with the State of
Maryland on March 27, 1991, were filed as an Exhibit to
Post-Effective Amendment No. 40 on February 26, 1992, and
were filed electronically as an Exhibit to Post-Effective
Amendment No. 47 on December 29, 1995.
- (c) Articles Supplementary, as filed with the State of
Maryland on December 23, 1991, were filed as an Exhibit to
Post-Effective Amendment No. 40 on February 26, 1992, and
were filed electronically as an Exhibit to Post-Effective
Amendment No. 47 on December 29, 1995.
- (d) Articles Supplementary, as filed with the State of
Maryland on October 8, 1993, were filed as an Exhibit to
Post-Effective Amendment No. 43 on February 28, 1994, and
were filed electronically as an Exhibit to Post-Effective
Amendment No. 47 on December 29, 1995.
- (e) Articles of Amendment, as filed with the State of
Maryland on June 5, 1995, were filed electronically as an
Exhibit to Post-Effective Amendment No. 47 on December 29,
1995.
- (f) Articles Supplementary, as filed with the State of
Maryland on June 5, 1995, were filed electronically as an
Exhibit to Post-Effective Amendment No. 47 on December 29,
1995.
- (g) Articles Supplementary, as filed with the State of
Maryland on December 19, 1995, were filed electronically as
an Exhibit to Post-Effective Amendment No. 47 on December
29, 1995.
- (h) Articles Supplementary, as filed with the State of
Maryland on June 26, 1996, were filed electronically as an
Exhibit to Post-Effective Amendment No. 50 on July 24,
1996.
- (i) Articles Supplementary, as filed with the State of
Maryland on June 24, 1997, were filed electronically as an
Exhibit to Post-Effective Amendment No. 53 on October 9,
1997.
- (j) Articles Supplementary, as filed with the State of
Maryland on October 1, 1997, were filed electronically as
an Exhibit to Post-Effective Amendment No. 53 on October 9,
1997.
- (k) Articles Supplementary, as filed with the State of
Maryland on November 24, 1998, were filed electronically as
an Exhibit to Post-Effective Amendment No. 55 on December
11, 1998.
- (l) Articles Supplementary, as filed with the State of
Maryland on December 11, 1998, were filed electronically as
an Exhibit to Post-Effective Amendment No. 56 on February
23, 1999.
- (m) Articles Supplementary, as filed with the State of
Maryland on March 15, 1999 were filed electronically as an
Exhibit to Post-Effective Amendment No. 57 on March 24,
1999.
- (n) Articles of Amendment, as filed with the State of
Maryland on July 13, 1999, were filed as an Exhibit to
Post-Effective Amendment No. 62 on January 6, 2000.
- (o) Articles Supplementary, as filed with the State of
Maryland on July 13, 1999, were filed as an Exhibit to
Post-Effective Amendment No. 62 on January 6, 2000.
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- (p) Articles Supplementary, as filed with the State of
Maryland on December 29, 1999, were filed as Exhibits to
Post-Effective Amendment No. 63 on January 7, 2000.
- (q) Articles Supplementary, as filed with the State of
Maryland on December 29, 1999, were filed as Exhibits to
Post-Effective Amendment No. 63 on January 7, 2000.
(2) - (a) Agreement and Declaration of Trust of AIM Equity Funds,
dated December 6, 1999, was filed electronically as an
Exhibit to Post-Effective Amendment No. 64 on March 27,
2000, and is hereby incorporated by reference.
- (b) Amendment No. 1, dated May 10, 2000, to Agreement and
Declaration of Trust of AIM Equity Funds, dated December 6,
1999, filed electronically as an Exhibit to Post-Effective
Amendment No. 65 on May 25, 2000, and is hereby
incorporated by reference.
b (1) - By-Laws of Registrant were filed as an Exhibit to
Post-Effective Amendment No. 34 on June 13, 1988.
(2) - (a) Amended and Restated By-Laws of Registrant were filed
as an Exhibit to Post-Effective Amendment No. 37 on
February 28, 1990.
- (b) First Amendment, dated April 22, 1991, to Amended and
Restated By-Laws was filed as an Exhibit to Post-Effective
Amendment No. 40 on February 26, 1992.
- (c) Second Amendment, dated September 28, 1994, to Amended
and Restated By-Laws was filed as an Exhibit to
Post-Effective Amendment No. 44 on February 24, 1995.
(3) - (a) Amended and Restated Bylaws, dated effective December
11, 1996, were filed electronically as an Exhibit to
Post-Effective Amendment No. 51 on January 15, 1997.
- (b) First Amendment, dated June 9, 1999, to Amended and
Restated By-Laws was filed as an Exhibit to Post-Effective
Amendment No. 62 on January 6, 2000.
(4) - By-Laws of Registrant, dated effective December 6, 1999,
were filed electronically as an Exhibit to Post-Effective
Amendment No. 64 on March 27, 2000, and is hereby
incorporated by reference.
c - Instruments Defining Rights of Security Holders - None.
d (1) - Investment Advisory Agreement, dated September 30, 1988,
between Registrant and A I M Advisors, Inc., was filed as
an Exhibit to Post-Effective Amendment No. 38 on February
28, 1991.
(2) - Investment Advisory Agreement, dated August 6, 1993,
between Registrant's AIM Aggressive Growth Fund and A I M
Advisors, Inc., was filed as an Exhibit to Post-Effective
Amendment No. 43 on February 28, 1994.
(3) - (a) Master Investment Advisory Agreement, dated October 18,
1993, between Registrant and A I M Advisors, Inc., was
filed as an Exhibit to Post-Effective Amendment No. 43 on
February 28, 1994, and was filed electronically as an
Exhibit to Post-Effective Amendment No. 47 on December 29,
1995.
- (b) Amendment No. 1, dated November 14, 1994, to the Master
Investment Advisory Agreement, dated October 18, 1993,
between Registrant and A I M Advisors, Inc., was filed as
an Exhibit to Post-Effective Amendment No. 44 on February
24, 1995, and was filed electronically as an Exhibit to
Post-Effective Amendment No. 47 on December 29, 1995.
- (c) Amendment No. 2, dated March 12, 1996, to the Master
Investment Advisory Agreement, dated October 18, 1993,
between Registrant and A I M Advisors, Inc., was filed
electronically as an Exhibit to Post-Effective Amendment
No. 49 on May 31, 1996.
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(4) - (a) Master Investment Advisory Agreement, dated February
28, 1997, between Registrant and A I M Advisors, Inc. was
filed electronically as an Exhibit to Post-Effective
Amendment No. 53 on October 9, 1997, and is hereby
incorporated by reference.
- (b) Amendment No. 1, dated as of March 1, 1999, to the
Master Investment Advisory Agreement, dated February 28,
1997, between Registrant and A I M Advisors, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 56 on February 23, 1999, and is hereby incorporated by
reference.
- (c) Amendment No. 2, dated May 12, 1999, to the Master
Investment Advisory Agreement between Registrant and A I M
Advisors, Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 60 on July 15, 1999, and is
hereby incorporated by reference.
- (d) Amendment No. 3, dated July 15, 1999, to the Master
Investment Advisory Agreement between Registrant and A I M
Advisors, Inc. was filed as an Exhibit to Post-Effective
Amendment No. 62 on January 6, 2000, and is hereby
incorporated by reference.
- (e) Amendment No. 4, dated September 28, 1999, to the
Master Investment Advisory Agreement between Registrant and
A I M Advisors, Inc. was filed as an Exhibit to
Post-Effective Amendment No. 62 on January 6, 2000, and is
hereby incorporated by reference.
(5) - Form of Advisory Agreement between Registrant and A I M
Advisors, Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 64 on March 27, 2000, and is
hereby incorporated by reference.
(6) - (a) Foreign Country Selection and Mandatory Securities
Depository Responsibilities Delegation Agreement, dated
September 9, 1998, between Registrant and A I M Advisors,
Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 55 on December 11, 1998, and
is hereby incorporated by reference.
- (b) Amendment No. 1, dated September 28, 1998, to Foreign
Country Selection and Mandatory Securities Depository
Responsibilities Delegation Agreement, dated September 9,
1998, between Registrant and A I M Advisors, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 55 on December 11, 1998, and is hereby incorporated by
reference.
- (c) Amendment No. 2, dated as of December 14, 1998, to
Foreign Country Selection and Mandatory Securities
Depository Responsibilities Delegation Agreement, dated
September 9, 1998, between Registrant and A I M Advisors,
Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 57 on March 24, 1999, and is
hereby incorporated by reference.
- (d) Amendment No. 3, dated as of December 22, 1998, to
Foreign Country Selection and Mandatory Securities
Depository Responsibilities Delegation Agreement, dated
September 9, 1998, between Registrant and A I M Advisors,
Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 57 on March 24, 1999, and is
hereby incorporated by reference.
- (e) Amendment No. 4, dated as of January 26, 1999, to
Foreign Country Selection and Mandatory Securities
Depository Responsibilities Delegation Agreement, dated
September 9, 1998, between Registrant and A I M Advisors,
Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 57 on March 24, 1999, and is
hereby incorporated by reference.
- (f) Amendment No. 5, dated as of March 1, 1999, to Foreign
Country Selection and Mandatory Securities Depository
Responsibilities Delegation Agreement, dated September 9,
1998,
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between Registrant and A I M Advisors, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 57 on March 24, 1999, and is hereby incorporated by
reference.
- (g) Amendment No. 6, dated as of March 18, 1999, to Foreign
Country Selection and Mandatory Securities Depository
Responsibilities Delegation Agreement, dated September 9,
1998, between Registrant and A I M Advisors, Inc. was filed
as an Exhibit to Post-Effective Amendment No. 62 on January
6, 2000, and is hereby incorporated by reference.
- (h) Amendment No. 7, dated as of November 15, 1999, to
Foreign Country Selection and Mandatory Securities
Depository Responsibilities Delegation Agreement, dated
September 9, 1998, between Registrant and A I M Advisors,
Inc. was filed as an Exhibit to Post-Effective Amendment
No. 62 on January 6, 2000, and is hereby incorporated by
reference.
(7) - Sub-Advisory Agreement, dated September 30, 1988, between
Registrant, A I M Advisors, Inc. and A I M Capital
Management, Inc., was filed as an Exhibit to Post-Effective
Amendment No. 38 on February 28, 1991.
(8) - Master Sub-Advisory Agreement, dated October 18, 1993,
between Registrant, A I M Advisors, Inc. and A I M Capital
Management, Inc., was filed as an Exhibit to Post-Effective
Amendment No. 43 on February 28, 1994, and was filed
electronically as an Exhibit to Post-Effective Amendment
No. 51 on January 15, 1997.
(9) - Master Sub-Advisory Agreement, dated February 28, 1997,
between Registrant, A I M Advisors, Inc. and A I M Capital
Management, Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 53 on October 9, 1997, and is
hereby incorporated by reference.
(10) - Sub-Advisory Agreement dated May 12, 1999, between A I M
Advisors, Inc. and H. S. Dent Advisors, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 60 on July 15, 1999, and is hereby incorporated by
reference.
e (1) - Distribution Agreement, dated May 24, 1988, between
Registrant and A I M Distributors, Inc., was filed as an
Exhibit to Post-Effective Amendment No. 38 on February 28,
1991.
(2) - Distribution Agreement, dated March 15, 1991, between
Registrant and Fund Management Company, was filed as an
Exhibit to Post-Effective Amendment No. 39 on March 1,
1991.
(3) - Distribution Agreement, dated August 6, 1993, between
Registrant's AIM Aggressive Growth Fund and A I M
Distributors, Inc., was filed as an Exhibit to
Post-Effective Amendment No. 43 on February 28, 1994.
(4) - Master Distribution Agreement, dated October 18, 1993,
between Registrant and Fund Management Company, was filed
as an Exhibit to Post-Effective Amendment No. 43 on
February 28, 1994.
(5) - (a) Master Distribution Agreement, dated October 18, 1993,
between Registrant (on behalf of the portfolio's Class A
shares) and A I M Distributors, Inc., was filed as an
Exhibit to Post-Effective Amendment No. 43 on February 28,
1994, and was filed electronically as an Exhibit to
Post-Effective Amendment No. 47 on December 29, 1995.
- (b) Amendment No. 1, dated December 4, 1995, to Master
Distribution Agreement, dated October 18, 1993, between
Registrant (on behalf of the portfolio's Class A shares)
and A I M Distributors, Inc., was filed electronically as
an Exhibit to Post-Effective Amendment No. 49 on May 31,
1996.
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(6) - (a) Master Distribution Agreement, dated June 14, 1995,
between Registrant (on behalf of the portfolio's Class B
shares) and A I M Distributors, Inc., was filed
electronically as an Exhibit to Post-Effective Amendment
No. 47 on December 29, 1995.
- (b) Amendment No. 1, dated June 11, 1996, to Master
Distribution Agreement, dated June 14, 1995, between
Registrant (on behalf of the portfolio's Class B shares)
and A I M Distributors, Inc., was filed electronically as
an Exhibit to Post-Effective Amendment No. 50 on July 24,
1996, and was filed electronically as an Exhibit to
Post-Effective Amendment No. 53 on October 9, 1997.
(7) - Master Distribution Agreement, dated February 28, 1997,
between Registrant and Fund Management Company was filed
electronically as an Exhibit to Post-Effective Amendment
No. 53 on October 9, 1997, and is hereby incorporated by
reference.
(8) - Master Distribution Agreement, dated February 28, 1997,
between Registrant (on behalf of Registrant's Class A
shares) and A I M Distributors, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 53 on October 9, 1997.
(9) - (a) Master Distribution Agreement, dated August 4, 1997,
between Registrant (on behalf of the portfolio's Class A
and Class C shares) and A I M Distributors, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 53 on October 9, 1997, and is hereby incorporated by
reference.
- (b) Amendment No. 1, dated as of March 1, 1999, to the
Master Distribution Agreement dated August 4, 1997, between
Registrant (on behalf of Registrant's Class A and Class C
shares) and A I M Distributors, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 56 on February 23, 1999, and is hereby incorporated by
reference.
- (c) Amendment No. 2, dated as of March 1, 1999, to the
Master Distribution Agreement dated August 4, 1997, between
Registrant (on behalf of Registrant's Class A and Class C
shares) and A I M Distributors, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 56 on February 23, 1999, and is hereby incorporated by
reference.
- (d) Amendment No. 3, dated May 12, 1999, to the Master
Distribution Agreement, dated August 4, 1997, between
Registrant (on behalf of Registrant's Class A and C shares)
and A I M Distributors, Inc. was filed electronically as an
Exhibit to Post-Effective Amendment No. 60 on July 15,
1999, and is hereby incorporated by reference.
- (e) Amendment No. 4, dated July 15, 1999, to the Master
Distribution Agreement, dated August 4, 1997, between
Registrant (on behalf of Registrant's Class A and Class C
shares) and A I M Distributors, Inc. was filed as an
Exhibit to Post-Effective Amendment No. 62 on January 6,
2000, and is hereby incorporated by reference.
- (f) Amendment No. 5, dated September 28, 1999, to the
Master Distribution Agreement, dated August 4, 1997,
between Registrant (on behalf of Registrant's Class A and
Class C shares) and A I M Distributors, Inc. was filed as
an Exhibit to Post-Effective Amendment No. 62 on January 6,
2000, and is hereby incorporated by reference.
- (g) Form of Amendment No. 6 to the Master Distribution
Agreement between Registrant and A I M Distributors, Inc.
was filed as an Exhibit to Post-Effective Amendment No. 63
on January 7, 2000, and is hereby incorporated by
reference.
(10) - (a) Master Distribution Agreement, dated February 28, 1997,
between Registrant (on behalf of Registrant's Class B
shares) and A I M Distributors, Inc. was filed
electronically as an
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Exhibit to Post-Effective Amendment No. 53 on October 9,
1997, and is hereby incorporated by reference.
- (b) Amendment No. 1 to the Master Distribution Agreement,
dated February 28, 1997, between Registrant (on behalf of
the Class B shares of AIM Constellation Fund) and A I M
Distributors, Inc. was filed electronically as an Exhibit
to Post-Effective Amendment No. 54 on February 27, 1998,
and is hereby incorporated by reference.
- (c) Amendment No. 2, dated as of March 1, 1999, to the
Master Distribution Agreement, dated February 28, 1997,
between Registrant (on behalf of Registrant's Class B
shares) and A I M Distributors, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 56 on February 23, 1999 and is hereby incorporated by
reference.
- (d) Amendment No. 3, dated as of March 1, 1999, to the
Master Distribution Agreement, dated February 28, 1997,
between Registrant (on behalf of Registrant's Class B
shares) and A I M Distributors, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 56 on February 23, 1999, and is hereby incorporated by
reference.
- (e) Amendment No. 4, dated May 12, 1999, to the Master
Distribution Agreement, dated February 28, 1997, between
Registrant (on behalf of Registrant's Class B shares) and
A I M Distributors, Inc. was filed electronically as an
Exhibit to Post-Effective Amendment No. 60 on July 15,
1999, and is hereby incorporated by reference.
- (f) Amendment No. 5, dated July 15, 1999, to the Master
Distribution Agreement, dated February 28, 1997, between
Registrant (on behalf of Registrant's Class B shares) and
A I M Distributors, Inc. was filed as an Exhibit to
Post-Effective Amendment No. 62 on January 6, 2000, and is
hereby incorporated by reference.
- (g) Amendment No. 6, dated September 28, 1999, to the
Master Distribution Agreement, dated February 28, 1997,
between Registrant (on behalf of Registrant's Class B
shares) and A I M Distributors, Inc. was filed as an
Exhibit to Post-Effective Amendment No. 62 on January 6,
2000, and is hereby incorporated by reference.
- (h) Form of Amendment No. 7 to the Master Distribution
Agreement between Registrant (on behalf of Registrant's
Class B shares) and A I M Distributors, Inc. was filed as
an Exhibit to Post-Effective Amendment No. 63 on January 7,
2000, and is hereby incorporated by reference.
(11) - Form of Selected Dealer Agreement between A I M
Distributors, Inc. and selected dealers was filed
electronically as an Exhibit to Post-Effective Amendment
No. 55 on December 11, 1998, and is hereby incorporated by
reference.
(12) - Form of Bank Selling Group Agreement between A I M
Distributors, Inc. and banks was filed electronically as an
Exhibit to Post-Effective Amendment No. 55 on December 11,
1998, and is hereby incorporated by reference.
f (1) - Form of Deferred Compensation Agreement for Registrant's
Non-Affiliated Directors was filed as an Exhibit to
Post-Effective Amendment No. 44 on February 24, 1995.
(2) - Form of Deferred Compensation Agreement for Registrant's
Non-Affiliated Directors, as approved December 5, 1995, was
filed electronically as an Exhibit to Post-Effective
Amendment No. 47 on December 29, 1995.
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(3) - Form of Deferred Compensation Agreement for Registrants
Non-Affiliated Directors as approved March 12, 1997, was
filed electronically as an Exhibit to Post-Effective
Amendment No. 54 on February 27, 1998, and is hereby
incorporated by reference.
(4) - Retirement Plan for Registrant's Non-Affiliated Directors
was filed as an Exhibit to Post-Effective Amendment No. 44
on February 24, 1995.
(5) - Retirement Plan for Registrant's Non-Affiliated Directors,
effective as of March 8, 1994, as restated September 18,
1995, was filed electronically as an Exhibit to
Post-Effective Amendment No. 47 on December 29, 1995, and
is hereby incorporated by reference.
g (1) - (a) Custodian Contract, dated October 1, 1992, between
Registrant and State Street Bank and Trust Company, was
filed as an Exhibit to Post-Effective Amendment No. 41 on
February 26, 1993, and was filed electronically as an
Exhibit to Post-Effective Amendment No. 47 on December 29,
1995, and is hereby incorporated by reference.
- (b) Amendment No. 1, dated October 15, 1993, to the
Custodian Contract, dated October 1, 1992, between
Registrant and State Street Bank and Trust Company, was
filed electronically as an Exhibit to Post-Effective
Amendment No. 47 on December 29, 1995, and is hereby
incorporated by reference.
- (c) Amendment No. 2, dated September 19, 1995, to the
Custodian Contract, dated October 1, 1992, between
Registrant and State Street Bank and Trust Company, was
filed electronically as an Exhibit to Post-Effective
Amendment No. 47 on December 29, 1995, and is hereby
incorporated by reference.
- (d) Amendment No. 3, dated December 4, 1995, to the
Custodian Contract, dated October 1, 1992, between
Registrant and State Street Bank and Trust Company, was
filed electronically as an Exhibit to Post-Effective
Amendment No. 49 on May 31, 1996, and is hereby
incorporated by reference.
- (e) Amendment No. 4, dated September 28, 1996, to the
Custodian Contract dated October 1, 1992, between
Registrant and State Street Bank and Trust Company was
filed electronically as an Exhibit to Post-Effective
Amendment No. 57 on March 24, 1999, and is hereby
incorporated by reference.
- (f) Amendment, dated September 9, 1998, to the Custodian
Contract, dated October 1, 1992, between Registrant and
State Street Bank and Trust Company was filed
electronically as an Exhibit to Post-Effective Amendment
No. 55 on December 11, 1998, and is hereby incorporated by
reference.
(2) - (a) Subcustodian Agreement, dated September 9, 1994,
between Registrant, Texas Commerce Bank National
Association, State Street Bank and Trust Company and A I M
Fund Services, Inc., was filed as an Exhibit to
Post-Effective Amendment No. 44 on February 24, 1995, and
is hereby incorporated by reference.
- (b) Amendment No. 1, dated October 2, 1998, to Subcustodian
Agreement between Registrant, Chase Bank of Texas, N.A.
(formerly Texas Commerce Bank), State Street and Trust
Company and A I M Fund Services, Inc. was filed as an
Exhibit to Post-Effective Amendment No. 62 on January 6,
2000, and is hereby incorporated by reference.
h (1) - Transfer Agency Agreement, dated May 15, 1989, between
Registrant and TAC Shareholder Services, Inc., was filed as
an Exhibit to Post-Effective Amendment No. 37 on February
28, 1990.
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(2) - Transfer Agency and Service Agreement, dated July 6, 1992,
between State Street Bank and Trust Company and Registrant,
with respect to the Institutional Classes, was filed as an
Exhibit to Post-Effective Amendment No. 41 on February 26,
1993.
(3) - (a) Transfer Agency and Registrar Agreement, dated May 15,
1992, as amended May 15, 1992, between The Shareholder
Services Group, Inc. and Registrant, with respect to the
Retail Classes, was filed as an Exhibit to Post-Effective
Amendment No. 41 on February 26, 1993.
- (b) Amendment No. 2, dated October 15, 1993, to the
Transfer Agency and Registrar Agreement, dated May 15,
1992, as amended, between Registrant and The Shareholder
Services Group, Inc., was filed as an Exhibit to
Post-Effective Amendment No. 44 on February 24, 1995.
- (c) Amendment No. 3, dated April 1, 1994, to the Transfer
Agency and Registrar Agreement, dated May 15, 1992, as
amended, between Registrant and The Shareholder Services
Group, Inc., was filed as an Exhibit to Post-Effective
Amendment No. 44 on February 24, 1995.
(4) - (a) Transfer Agency and Service Agreement, dated July 1,
1995, between Registrant and A I M Institutional Fund
Services, Inc., was filed electronically as an Exhibit to
Post-Effective Amendment No. 47 on December 29, 1995.
- (b) Amendment No. 1, dated July 1, 1996, to the Transfer
Agency and Service Agreement dated July 1, 1995, between
Registrant and A I M Institutional Fund Services, Inc. was
filed electronically as an Exhibit to Post-Effective
Amendment No. 53 on October 9, 1997.
- (c) Amendment No. 2, dated July 1, 1997, to the Transfer
Agency and Service Agreement dated July 1, 1995, between
Registrant and A I M Institutional Fund Services, Inc. was
filed electronically as an Exhibit to Post-Effective
Amendment No. 53 on October 9, 1997.
(5) - (a) Transfer Agency and Service Agreement, dated November
1, 1994, between Registrant and A I M Fund Services, Inc.,
was filed as an Exhibit to Post-Effective Amendment No. 44
on February 24, 1995.
- (b) Amendment No. 1, dated August 4, 1997, to the Transfer
Agency and Service Agreement dated November 1, 1994,
between Registrant and A I M Fund Services, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 53 on October 9, 1997.
(6) - (a) Amended and Restated Transfer Agency and Service
Agreement, dated as of December 29, 1997, between
Registrant and A I M Fund Services, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 54 on February 27, 1998, and is hereby incorporated by
reference.
- (b) Amendment No. 1, dated January 1, 1999, to the Amended
and Restated Transfer Agency and Services Agreement between
Registrant and A I M Fund Services, Inc. was filed as an
Exhibit to Post-Effective Amendment No. 62 on January 6,
2000, and is hereby incorporated by reference.
- (c) Amendment No. 2, dated July 1, 1999, to the Amended and
Restated Transfer Agency and Services Agreement between
Registrant and A I M Fund Services, Inc. was filed as an
Exhibit to Post-Effective Amendment No. 62 on January 6,
2000, and is hereby incorporated by reference.
(7) - Shareholder Sub-Accounting Services Agreement between
Registrant, First Data Investor Services Group (formerly
The Shareholder Services Group, Inc.), Financial Data
Services Inc.
C-8
<PAGE> 10
and Merrill Lynch, Pierce, Fenner & Smith Inc., dated July
1, 1990, was filed as an Exhibit to Post-Effective
Amendment No. 40 on February 26, 1992, and is hereby
incorporated by reference.
(8) - (a) Remote Access and Related Services Agreement, dated
December 23, 1994, between Registrant and First Data
Investor Services Group, Inc. (formerly The Shareholder
Services Group, Inc.), was filed as an Exhibit to
Post-Effective Amendment No. 44 on February 24, 1995, and
was filed electronically as an Exhibit to Post-Effective
Amendment No. 47 on December 29, 1995, and is hereby
incorporated by reference.
- (b) Amendment No. 1, dated October 4, 1995, to the Remote
Access and Related Services Agreement dated December 23,
1994, between Registrant and First Data Investor Services
Group, Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 47 on December 29, 1995, and
is hereby incorporated by reference.
- (c) Addendum No. 2, dated October 12, 1995, to the Remote
Access and Related Services Agreement, dated December 23,
1994, between Registrant and First Data Investor Services
Group, Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 47 on December 29, 1995, and
is hereby incorporated by reference.
- (d) Amendment No. 3, dated February 1, 1997, to the Remote
Access and Related Services Agreement, dated December 23,
1994, between Registrant and First Data Investor Services
Group, Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 53 on October 9, 1997, and is
hereby incorporated by reference.
- (e) Amendment No. 4, dated June 30, 1998, to the Remote
Access and Related Services Agreement, dated December 23,
1994, between Registrant and First Data Investor Services
Group, Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 55 on December 11, 1998, and
is hereby incorporated by reference.
- (f) Amendment No. 5, dated July 1, 1998, to the Remote
Access and Related Services Agreement, dated December 23,
1994, between Registrant and First Data Investor Services
Group, Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 55 on December 11, 1998, and
is hereby incorporated by reference.
- (g) Exhibit 1, effective as of August 4, 1997, to the
Remote Access and Related Services Agreement, dated
December 23, 1994, between the Registrant and First Data
Investor Services Group, Inc. was filed electronically as
an Exhibit to Post-Effective Amendment No. 54 on February
27, 1998, and is hereby incorporated by reference.
- (h) Amendment No. 6, dated August 30, 1999, to the Remote
Access and Related Services Agreement, dated December 23,
1994, between Registrant and First Data Investor Services
Group, Inc. was filed as an Exhibit to Post-Effective
Amendment No. 62 on January 6, 2000, and is hereby
incorporated by reference.
(9) - Preferred Registered Technology Escrow Agreement, dated
September 10, 1997, between Registrant and First Data
Investor Services Group, Inc. was filed electronically as
an Exhibit to Post-Effective Amendment No. 54 on February
27, 1998, and is hereby incorporated by reference.
(10) - Articles of Merger, dated September 30, 1988, was filed as
an Exhibit to Post-Effective Amendment No. 35 on September
30, 1988.
(11) - Agreement and Plan of Merger, dated September 30, 1988, was
filed as an Exhibit to Post-Effective Amendment No. 35 on
September 30, 1988.
C-9
<PAGE> 11
(12) - (a) Agreement and Plan of Reorganization between Registrant
and Baird Capital Development Fund, Inc., dated December
20, 1995, was filed electronically as an Appendix to Part A
of Registrant's AIM Capital Development Fund registration
statement on Form N-14 on December 29, 1995.
- (b) Amendment, dated May 23, 1996, to Agreement and Plan of
Reorganization between Registrant and Baird Capital
Development Fund, Inc., dated December 20, 1995, was filed
electronically as an Exhibit to Post-Effective Amendment
No. 49 on May 31, 1996.
(13) - Agreement and Plan of Reorganization between Registrant and
Baird Blue Chip Fund, Inc., dated December 20, 1995, was
filed electronically as an Appendix to Part A of
Registrant's AIM Blue Chip Fund registration statement on
Form N-14 on December 29, 1995.
(14) - Administrative Services Agreement, dated June 11, 1989,
between Registrant and A I M Advisors, Inc., was filed as
an Exhibit to Post-Effective Amendment No. 37 on February
28, 1990.
(15) - Administrative Services Agreement, dated August 6, 1993,
between Registrant's AIM Aggressive Growth Fund and A I M
Advisors, Inc., was filed as an Exhibit to Post-Effective
Amendment No. 43 on February 28, 1994.
(16) - Administrative Services Agreement, dated September 16,
1994, between A I M Advisors, Inc. and A I M Institutional
Fund Services, Inc., on behalf of the Institutional
Classes, was filed as an Exhibit to Post-Effective
Amendment No. 44 on February 24, 1995.
(17) - (a) Administrative Services Agreement, dated October 18,
1993, between A I M Advisors, Inc. and A I M Fund Services,
Inc., on behalf of the Retail Classes, was filed as an
Exhibit to Post-Effective Amendment No. 43 on February 28,
1994, and was filed electronically as an Exhibit to
Post-Effective Amendment No. 47 on December 29, 1995.
- (b) Amendment No. 1, dated May 11, 1994, to the
Administrative Services Agreement dated October 18, 1993,
between A I M Advisors, Inc. and A I M Fund Services, Inc.,
was filed as an Exhibit to Post-Effective Amendment No. 44
on February 24, 1995, and was filed electronically as an
Exhibit to Post-Effective Amendment No. 47 on December 29,
1995.
- (c) Amendment No. 2, dated July 1, 1994, to the
Administrative Services Agreement, dated October 18, 1993,
between A I M Advisors, Inc. and A I M Fund Services, Inc.,
was filed as an Exhibit to Post-Effective Amendment No. 44
on February 24, 1995 and was filed electronically as an
Exhibit to Post-Effective Amendment No. 47 on December 29,
1995.
- (d) Amendment No. 3, dated September 16, 1994, to the
Administrative Services Agreement, dated October 18, 1993,
between A I M Advisors, Inc. and A I M Fund Services, Inc.,
was filed as an Exhibit to Post-Effective Amendment No. 44
on February 24, 1995, and was filed electronically as an
Exhibit to Post-Effective Amendment No. 47 on December 29,
1995.
- (e) Amendment No. 4, dated November 1, 1994, to the
Administrative Services Agreement, dated October 18, 1993,
between A I M Advisors, Inc. and A I M Fund Services, Inc.,
was filed electronically as an Exhibit to Post-Effective
Amendment No. 47 on December 29, 1995.
(18) - (a) Master Administrative Services Agreement, dated October
18, 1993, between Registrant and A I M Advisors, Inc., was
filed as an Exhibit to Post-Effective Amendment No. 43 on
February 28, 1994, and was filed electronically as an
Exhibit to Post-Effective Amendment No. 47 on December 29,
1995.
C-10
<PAGE> 12
- (b) Amendment No. 1, dated December 4, 1995, to the Master
Administrative Services Agreement, dated October 18, 1993,
between Registrant and A I M Advisors, Inc., was filed
electronically as an Exhibit to Post-Effective Amendment
No. 49 on May 31, 1996.
- (c) Amendment No. 2, dated June 11, 1996, to the Master
Administrative Services Agreement dated October 18, 1993,
between Registrant and A I M Advisors, Inc., was filed
electronically as an Exhibit to Post-Effective Amendment
No. 50 on July 24, 1996.
(19) - (a) Master Administrative Services Agreement, dated
February 28, 1997, between Registrant and A I M Advisors,
Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 53 on October 9, 1997, and is
hereby incorporated by reference.
- (b) Amendment No. 1, dated as of March 1, 1999, to the
Master Administrative Services Agreement, dated February
28, 1997, between Registrant and A I M Advisors, Inc. was
filed electronically as an Exhibit to Post-Effective
Amendment No. 56 on February 23, 1999, and is hereby
incorporated by reference.
- (c) Amendment No. 2 , dated May 12, 1999, to the Master
Administrative Services Agreement, dated February 28, 1997,
between Registrant and A I M Advisors, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 60 on July 15, 1999, and is hereby incorporated by
reference.
- (d) Amendment No. 3 to the Master Administrative Services
Agreement, dated February 28, 1997, between Registrant and
A I M Advisors, Inc. was filed as an Exhibit to
Post-Effective Amendment No. 62 on January 6, 2000, and is
hereby incorporated by reference.
- (e) Amendment No. 4, to the Master Administrative Services
Agreement, dated February 28, 1997, between Registrant and
A I M Advisors, Inc. was filed as an Exhibit to
Post-Effective Amendment No. 62 on January 6, 2000, and is
hereby incorporated by reference.
(20) - (a) Memorandum of Agreement, dated March 1, 1999, between
Registrant, on behalf of AIM Charter Fund, AIM
Constellation Fund and AIM Weingarten Fund, and A I M
Advisors, Inc. was filed electronically as an Exhibit to
Post-Effective Amendment No. 60 on July 15, 1999, and is
hereby incorporated by reference.
- (b) Memorandum of Agreement, dated June 7, 1999, between
Registrant, on behalf of AIM Large Cap Basic Value Fund,
and A I M Advisors, Inc. was filed as an Exhibit to
Post-Effective Amendment No. 62 on January 6, 2000, and is
hereby incorporated by reference.
- (c) Form of Memorandum of Agreement between Registrant, on
behalf of AIM Large Cap Growth Fund, and A I M Advisors,
Inc. was filed as an Exhibit to Post-Effective Amendment
No. 63 on January 7, 2000, and is hereby incorporated by
reference.
(21) - Agreement and Plan of Reorganization, dated December 30,
1999, between AIM Equity Funds, Inc., a Maryland
Corporation, and AIM Equity Funds, a Delaware business
trust was filed electronically as an Exhibit to
Post-Effective Amendment No. 64 on March 27, 2000, and is
hereby incorporated by reference.
i (1) - Opinion of Ballard Spahr Andrews & Ingersoll was filed as
an Exhibit to Registrant's Rule 24f-2 Notice for the fiscal
year ending October 31, 1996 on December 20, 1996.
(2) - Opinion of Ballard Spahr Andrews & Ingersoll was filed as
an Exhibit to Registrant's Rule 24f-2 Notice for the fiscal
year ending September 30, 1996 on November 27, 1996 (for
AIM Blue Chip Fund).
(3) Opinion and Consent of Ballard Spahr Andrews & Ingersoll,
LLP was filed as an Exhibit to Post-Effective Amendment
No. 64 on March 27, 2000, and is hereby incorporated by
reference.
C-11
<PAGE> 13
j - None
k - Financial Statements - None.
l (1) - Agreement Concerning Initial Capitalization of Registrant's
AIM Large Cap Growth Fund, dated February 26, 1999, was
filed electronically as an Exhibit to Post-Effective
Amendment No. 56 on February 23, 1999, and is hereby
incorporated by reference.
(2) - Agreement Concerning Initial Capitalization of Registrant's
AIM Dent Demographic Trends Fund, dated June 4, 1999, was
filed electronically as an Exhibit to Post-Effective
Amendment No. 60 on July 15, 1999, and is hereby
incorporated by reference.
(3) - Agreement Concerning Initial Capitalization of Registrant's
AIM Large Cap Basic Value Fund, dated June 29, 1999, was
filed electronically as an Exhibit to Post-Effective
Amendment No. 60 on July 15, 1999, and is hereby
incorporated by reference.
(4) - Agreement Concerning Initial Capitalization of Registrant's
AIM Mid Cap Growth Fund, dated November 1, 1999, was filed
as an Exhibit to Post-Effective Amendment No. 62 on January
6, 2000, and is hereby incorporated by reference.
(5) - Form of Agreement Concerning Initial Capitalization of
Registrant's AIM Emerging Growth Fund was filed as an
Exhibit to Post-Effective Amendment No. 63 on January 7,
2000, and is hereby incorporated by reference.
m (1) - Registrant's Amended Distribution Plans for the Retail
Classes, dated September 5, 1991, were filed as an Exhibit
to Post-Effective Amendment No. 40 on February 26, 1992.
(2) - Registrant's Amended Distribution Plan for AIM Aggressive
Growth Fund, dated August 6, 1993, was filed as an Exhibit
to Post-Effective Amendment No. 43 on February 28, 1994.
(3) - Registrant's Master Distribution Plan for the Retail
Classes and AIM Aggressive Growth Fund, dated September 27,
1993, was filed as an Exhibit to Post-Effective Amendment
No. 43 on February 28, 1994.
(4) - Registrant's Amended Master Distribution Plan for the
Retail Classes and AIM Aggressive Growth Fund, dated
September 27, 1993, as amended March 8, 1994, was filed as
an Exhibit to Post-Effective Amendment No. 44 on February
24, 1995.
(5) - (a) Registrant's Amended Master Distribution Plan for the
Retail Classes, dated September 27, 1993, as amended March
8, 1994 and September 10, 1994, was filed as an Exhibit to
Post-Effective Amendment No. 44 on February 24, 1995, and
was filed electronically as an Exhibit to Post-Effective
Amendment No. 47 on December 29, 1995.
- (b) Amendment No. 1, dated December 4, 1995, to the Amended
Master Distribution Plan for the Retail Classes, dated
September 27, 1993, as amended, was filed electronically as
an Exhibit to Post-Effective Amendment No. 49 on May 31,
1996.
(6) - Registrant's Amended and Restated Master Distribution Plan
for the Class A shares, effective as of June 15, 1995
(effective as of December 4, 1995, with respect to the AIM
Blue Chip Fund and AIM Capital Development Fund), was filed
electronically as an Exhibit to Post-Effective Amendment
No. 49 on May 31, 1996.
C-12
<PAGE> 14
(7) - Registrant's Second Amended and Restated Master
Distribution Plan, dated June 30, 1997, for the Class A
shares was filed electronically as an Exhibit to
Post-Effective Amendment No. 53 on October 9, 1997.
(8) - Registrant's Third Amended and Restated Master Distribution
Plan, dated August 4, 1997, for the Class A and Class C
shares was filed electronically as an Exhibit to
Post-Effective Amendment No. 53 on October 9, 1997.
(9) - (a) Registrant's Master Distribution Plan for the Class B
shares of AIM Charter Fund and AIM Weingarten Fund, dated
June 14, 1995, was filed electronically as an Exhibit to
Post-Effective Amendment No. 47 on December 29, 1995.
- (b) Amendment No. 1, dated June 11, 1996, to Registrant's
Master Distribution Plan for the Class B shares of AIM
Charter Fund, AIM Weingarten Fund, AIM Blue Chip Fund and
AIM Capital Development Fund, dated June 14, 1995, was
filed electronically as an Exhibit to Post-Effective
Amendment No. 50 on July 24, 1996.
(10) - (a) Registrant's Amended and Restated Master Distribution
Plan, dated June 30, 1997, for the Class B shares was filed
electronically as an Exhibit to Post-Effective Amendment
No. 53 on October 9, 1997, and is hereby incorporated by
reference.
- (b) Amendment No. 1 to Registrant's Amended and Restated
Master Distribution Plan for the Class B shares of AIM
Constellation Fund was filed electronically as an Exhibit
to Post-Effective Amendment No. 54 on February 27, 1998 and
is hereby incorporated by reference.
- (c) Amendment No. 2, dated as of March 1, 1999, to
Registrant's Amended and Restated Master Distribution Plan
for the Class B shares of AIM Large Cap Growth Fund was
filed electronically as an Exhibit to Post-Effective
Amendment No. 56 on February 23, 1999, and is hereby
incorporated by reference.
- (d) Amendment No. 3, dated as of March 1, 1999, to
Registrant's Amended and Restated Master Distribution Plan
for the Class B shares of AIM Aggressive Growth Fund was
filed electronically as an Exhibit to Post-Effective
Amendment No. 56 on February 23, 1999, and is hereby
incorporated by reference.
- (e) Amendment No. 4, dated May 12, 1999, to Registrant's
Amended and Restated Master Distribution Plan for the Class
B shares of AIM Dent Demographic Trends Fund and AIM Growth
and Income Fund was filed electronically as an Exhibit to
Post-Effective Amendment No. 60 on July 15, 1999, and is
hereby incorporated by reference.
- (f) Amendment No. 5, dated July 15, 1999, to Registrant's
Amended and Restated Master Distribution Plan for the Class
B shares of AIM Large Cap Basic Value Fund was filed as an
Exhibit to Post-Effective Amendment No. 62 on January 6,
2000, and is hereby incorporated by reference.
- (g) Amendment No. 6, dated September 28, 1999, to
Registrant's Amended and Restated Master Distribution Plan
for the Class B shares of AIM Mid Cap Growth Fund was filed
as an Exhibit to Post-Effective Amendment No. 62 on January
6, 2000, and is hereby incorporated by reference.
- (h) Form of Amendment No. 7 to Registrant's Amended and
Restated Master Distribution Plan for the Class B shares of
AIM Emerging Growth Fund was filed as an Exhibit to
Post-Effective Amendment No. 63 on January 7, 2000, and is
hereby incorporated by reference.
C-13
<PAGE> 15
(11) - (a) Registrant's Fourth Amended and Restated Master
Distribution Plan, dated as of June 30, 1998, for the Class
A and Class C shares was filed electronically as an Exhibit
to Post-Effective Amendment No. 55 on December 11, 1998,
and is hereby incorporated by reference.
- (b) Amendment No. 1, dated as of March 1, 1999, to
Registrant's Fourth Amended and Restated Master
Distribution Plan for the Class A and Class C shares was
filed electronically as an Exhibit to Post-Effective
Amendment No. 56 on February 23, 1999, and is hereby
incorporated by reference.
- (c) Amendment No. 2, dated as of March 1, 1999, to
Registrant's Fourth Amended and Restated Master
Distribution Plan for the Class A and Class C shares was
filed electronically as an Exhibit to Post-Effective
Amendment No. 56 on February 23, 1999, and is hereby
incorporated by reference.
- (d) Amendment No. 3, dated May 12, 1999, to Registrant's
Fourth Amended and Restated Master Distribution Plan for
Class A and Class C shares was filed electronically as an
Exhibit to Post-Effective Amendment No. 60 on July 15,
1999, and is hereby incorporated by reference.
- (e) Amendment No. 4, dated July 15, 1999, to Registrant's
Fourth Amended and Restated Master Distribution Plan for
the Class A and Class C shares of AIM Large Cap Basic Value
Fund was filed as an Exhibit to Post-Effective Amendment
No. 62 on January 6, 2000, and is hereby incorporated by
reference.
- (f) Amendment No. 5, dated September 28, 1999, to
Registrant's Fourth Amended and Restated Master
Distribution Plan for Class A and Class C shares was filed
as an Exhibit to Post-Effective Amendment No. 62 on January
6, 2000, and is hereby incorporated by reference.
- (g) Form of Amendment No. 6 to Registrant's Fourth Amended
and Restated Master Distribution Plan for Class A and Class
C shares was filed as an Exhibit to Post-Effective
Amendment No. 63 on January 7, 2000, and is hereby
incorporated by reference.
(12) - Form of Shareholder Service Agreement to be used in
connection with Registrant's Master Distribution Plan was
filed electronically as an Exhibit to Post-Effective
Amendment No. 60 on July 15, 1999, and is hereby
incorporated by reference.
(13) - Form of Bank Shareholder Service Agreement to be used in
connection with Registrant's Master Distribution Plan was
filed electronically as an Exhibit to Post-Effective
Amendment No. 60 on July 15, 1999, and is hereby
incorporated by reference.
(14) - Form of Variable Group Annuity Contract Holder Service
Agreement to be used in connection with Registrant's Master
Distribution Plan was filed electronically as an Exhibit to
Post-Effective Amendment No. 60 on July 15, 1999, and is
hereby incorporated by reference.
(15) - Form of Agency Pricing Agreement to be used in connection
with Registrant's Master Distribution Plan was filed
electronically as an Exhibit to Post-Effective Amendment
No. 60 on July 15, 1999, and is hereby incorporated by
reference.
(16) - Forms of Service Agreement for Brokers for Bank Trust
Departments and for Bank Trust Departments was filed
electronically as an Exhibit to Post-Effective Amendment
No. 60 on July 15, 1999, and is hereby incorporated by
reference.
n (1) - Multiple Class Plan (Rule 18f-3) was filed electronically
as an Exhibit to Post-Effective Amendment No. 46 on June 6,
1995.
C-14
<PAGE> 16
(2) - (a) Amended Multiple Class Plan (Rule 18f-3), as amended
December 4, 1995, was filed electronically as an Exhibit to
Post-Effective Amendment No. 47 on December 29, 1995.
- (b) Amendment No. 1, dated June 11, 1996, to the Multiple
Class Plan (Rule 18f-3), dated December 4, 1995 was filed
electronically as an Exhibit to Post-Effective Amendment
No. 50 on July 24, 1996.
(3) - Multiple Class Plan (Rule 18f-3) (effective September 27,
1996) was filed as an Exhibit to Post-Effective Amendment
No. 51 on January 15, 1997.
(4) - Amended and Restated Multiple Class Plan (Rule 18f-3)
(effective July 1, 1997) was filed electronically as an
Exhibit to Post-Effective Amendment No. 53 on October 9,
1997.
(5) - Second Amended and Restated Multiple Class Plan (Rule
18f-3) (effective September 1, 1997) was filed
electronically as an Exhibit to Post-Effective Amendment
No. 53 on October 9, 1997, and is hereby incorporated by
reference.
(6) - Third Amended and Restated Multiple Class Plan (Rule 18f-3)
(effective August 5, 1999) were filed as an Exhibit to
Post-Effective Amendment No. 62 on January 6, 2000, and are
hereby incorporated by reference.
o - Reserved
p (1) - (a) The AIM Management Group Code of Ethics, as amended
August 17, 1999, relating to AIM Management Group Inc. and
A I M Advisors, Inc. were filed as an Exhibit to
Post-Effective Amendment No. 62 on January 6, 2000, and are
hereby incorporated by reference.
- (b) The AIM Management Group Code of Ethics, adopted May 1,
1981, as last amended February 24, 2000, relating to A I M
Management Group Inc. and A I M Advisors, Inc. was filed
electronically as an Exhibit to Post-Effective Amendment
No. 65 on May 25, 2000, and is hereby incorporated by
reference.
(2) - Code of Ethics of AIM Equity Funds, Inc., effective as of
January 1, 1989, was filed as an Exhibit to Post-Effective
Amendment No. 62 on January 6, 2000, and is hereby
incorporated by reference.
Item 24. Persons Controlled by or Under Common Control With Registrant
Provide a list or diagram of all persons directly or indirectly controlled
by or under common control with the Registrant. For any person controlled by
another person, disclose the percentage of voting securities owned by the
immediately controlling person or other basis of that person's control. For
each company, also provide the state or other sovereign power under the laws of
which the company is organized.
None.
Item 25. Indemnification
State the general effect of any contract, arrangement or statute
under which any director, officer, underwriter or affiliated person of the
Registrant is insured or indemnified against any liability incurred in their
official capacity, other than insurance provided by any director, officer,
affiliated person, or underwriter for their own protection.
The Registrant's Agreement and Declaration of Trust, dated December
6, 1999, provides, among other things (i) that trustees and officers
of the Registrant, when acting as such, shall not be personally
liable for any act, omission or obligation of the Registrant or any
trustee or officer (except for liabilities to the Registrant or its
shareholders by reason of willful misfeasance, bad faith, gross
negligence or reckless disregard to duty); (ii) for the
indemnification by the Registrant of the trustees, officers,
employees and agents of the Registrant to the fullest extent
permitted by the Delaware Business Trust Act and Bylaws and other
applicable law; (iii) that shareholders of the Registrant shall not
be personally liable for the debts, liabilities, obligations or
expenses of the Registrant or any portfolio or class; and (iv) for
the indemnification by the Registrant, out of the assets belonging
to the applicable
C-15
<PAGE> 17
portfolio, of shareholders and former shareholders of the Registrant
in case they are held personally liable solely by reason of being or
having been shareholders of the Registrant or any portfolio or class
and not because of their acts or omissions or for some other reason.
Insofar as indemnification for liability arising under the
Securities Act of 1933 may be permitted to trustees, 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 1940
Act and is, therefore unenforceable. In the event that a claim for
indemnification against such liabilities (other than the payment by
the Registrant of expenses incurred or paid by a trustee, officer
or controlling person of the Registrant in the successful defense of
any action, suit or proceeding) is asserted by such trustee,
officer or controlling person in connection with the securities
being registered, the Registrant 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
1940 Act and will be governed by the final adjudication of such
issue. Insurance coverage is provided under a joint Mutual Fund &
Investment Advisory Professional and Directors & Officers Liability
Policy, issued by ICI Mutual Insurance Company, with a $35,000,000
limit of liability.
Item 26. Business and Other Connections of Investment Advisor
Describe any other business, profession, vocation or employment of a
substantial nature that each investment advisor and each director, officer or
partner of the advisor, is or has been, engaged within the last two fiscal
years, for his or her own account or in the capacity of director, officer,
employee, partner, or trustee.
The only employment of a substantial nature of the Advisor's
directors and officers is with the Advisor and its affiliated
companies. Reference is also made to the caption "Fund
Management-The Advisor" of the Prospectus which comprises Part A of
the Registration Statement, and to the caption "Management" of the
Statement of Additional Information which comprises Part B of the
Registration Statement, and to Item 27(b) of this Part C.
Item 27. Principal Underwriters
(a) State the name of each investment company (other than the Registrant) for
which each principal underwriter currently distributing the Registrant's
securities also acts as a principal underwriter, depositor, or investment
advisor.
A I M Distributors, Inc., the Registrant's principal underwriter
of its Retail Classes, also acts as a principal underwriter to the
following investment companies:
AIM Advisor Funds, Inc.
AIM Funds Group
AIM Growth Series
AIM International Mutual Funds
AIM Investment Funds
AIM Investment Securities Funds - Retail Classes
AIM Series Trust
AIM Special Opportunities Funds
AIM Summit Fund, Inc.
AIM Tax-Exempt Funds
AIM Variable Insurance Funds
AIM Floating Rate Fund
C-16
<PAGE> 18
Fund Management Company, the Registrant's principal underwriter of
its Institutional Classes, also acts as a principal underwriter to
the following investment companies:
AIM Investment Securities Funds - Institutional Class
Short-Term Investments Co.
Short-Term Investments Trust
Tax-Free Investments Co.
(b) Provide the information required by the following tables for each director,
officer or partner of each principal underwriter named in response to Item 20:
A I M Distributors, Inc.:
<TABLE>
<CAPTION>
Name and Principal Position and Offices with Positions and Offices
------------------ ------------------------- ---------------------
Business Address* Underwriter with Registrant
----------------- ----------- ---------------
<S> <C> <C>
Charles T. Bauer Director & Chairman Chairman & Trustee
Michael J. Cemo President & Director None
Gary T. Crum Director Senior Vice President
Robert H. Graham Senior Vice President & Director President & Trustee
W. Gary Littlepage Senior Vice President & Director None
James L. Salners Executive Vice President None
John Caldwell Senior Vice President None
Marilyn M. Miller Senior Vice President None
Gene L. Needles Senior Vice President None
Gordon J. Sprague Senior Vice President None
Michael C. Vessels Senior Vice President None
B.J. Thompson First Vice President None
Ofelia M. Mayo Vice President, General Counsel Assistant Secretary
& Assistant Secretary
James R. Anderson Vice President None
Dawn M. Hawley Vice President & Treasurer None
Mary K. Coleman Vice President None
Mary A. Corcoran Vice President None
Melville B. Cox Vice President & Chief Compliance Vice President
Officer
Glenda A. Dayton Vice President None
Sidney M. Dilgren Vice President None
Tony D. Green Vice President None
Charles H. McLaughlin Vice President None
Ivy B. McLemore Vice President None
Terri L. Ransdell Vice President None
Carol F. Relihan Vice President Senior Vice President &
Secretary
Kamala C. Sachidanandan Vice President None
Christopher T. Simutis Vice President None
Gary K. Wendler Vice President None
Norman W. Woodson Vice President None
Kathleen J. Pflueger Secretary Assistant Secretary
Luke P. Beausoleil Assistant Vice President None
</TABLE>
----------------------------------
* 11 Greenway Plaza, Suite 100, Houston, Texas 77046-1173
C-17
<PAGE> 19
<TABLE>
<CAPTION>
Name and Principal Position and Offices with Positions and Offices
------------------ ------------------------- ---------------------
Business Address* Underwriter with Registrant
----------------- ----------- ---------------
<S> <C> <C>
Sheila R. Brown Assistant Vice President None
Scott E. Burman Assistant Vice President None
Mary E. Gentempo Assistant Vice President None
David E. Hessel Assistant Vice President, Controller None
& Assistant Treasurer
Simon R. Hoyle Assistant Vice President None
Kathryn A. Jordan Assistant Vice President None
Kim T. McAuliffe Assistant Vice President None
David B. O'Neil Assistant Vice President None
Rebecca Starling-Klatt Assistant Vice President None
Nicholas D. White Assistant Vice President None
Nancy L. Martin Assistant General Counsel & Assistant Secretary
Assistant Secretary
Samuel D. Sirko Assistant General Counsel & Assistant Secretary
Assistant Secretary
P. Michelle Grace Assistant Secretary Assistant Secretary
Lisa A. Moss Assistant Secretary Assistant Secretary
Stephen I. Winer Assistant Secretary Assistant Secretary
</TABLE>
Fund Management Company:
<TABLE>
<CAPTION>
Name and Principal Position and Offices with Positions and Offices
------------------ ------------------------- ---------------------
Business Address* Underwriter with Registrant
---------------- ----------- ---------------
<S> <C> <C>
Charles T. Bauer Director & Chairman Chairman & Trustee
J. Abbott Sprague President & Director None
Robert H. Graham Senior Vice President & Director President & Trustee
Mark D. Santero Senior Vice President None
William J. Wendel Senior Vice President None
Dawn M. Hawley Vice President & Treasurer None
Carol F. Relihan Vice President, General Senior Vice President &
Counsel & Director Secretary
James R. Anderson Vice President None
Lisa A. Moss Vice President, Assistant General Assistant Secretary
Counsel & Assistant Secretary
Melville B. Cox Vice President & Chief Compliance Vice President
Officer
Stephen I. Winer Vice President, Assistant Assistant Secretary
General Counsel & Assistant
Secretary
Kathleen J. Pflueger Secretary Assistant Secretary
Dana R. Sutton Assistant Vice President & Vice President &
Assistant Treasurer Treasurer
Robert W. Morris, Jr. Assistant Vice President None
Ann M. Srubar Assistant Vice President None
Rebecca Starling-Klatt Assistant Vice President None
Nicholas D. White Assistant Vice President None
</TABLE>
----------------------------------
* 11 Greenway Plaza, Suite 100, Houston, Texas 77046-1173
C-18
<PAGE> 20
<TABLE>
<CAPTION>
Name and Principal Position and Offices with Positions and Offices
------------------ ------------------------- ---------------------
Business Address* Underwriter with Registrant
---------------- ----------- ---------------
<S> <C> <C>
David E. Hessel Assistant Vice President, Controller None
& Assistant Treasurer
Jeffrey L. Horne Assistant Vice President None
Nancy L. Martin Assistant General Counsel & Assistant Secretary
Assistant Secretary
Ofelia M. Mayo Assistant General Counsel & Assistant Secretary
Assistant Secretary
Samuel D. Sirko Assistant General Counsel & Assistant Secretary
Assistant Secretary
P. Michelle Grace Assistant Secretary Assistant Secretary
</TABLE>
* 11 Greenway Plaza, Suite 100, Houston, Texas 77046-1173
(c) Provide the information required by the following table for all commissions
and other compensation received, directly or indirectly, from the Registrant
during the last fiscal year by each principal underwriter who is not an
affiliated person of the Registrant or any affiliated person of an affiliated
person:
None.
Item 28. Location of Accounts and Records
State the name and address of each person maintaining physical
possession of each account, book, or other document required to be maintained
by section 31(a) [15 U.S.C. 80a-30(a)] and the rules under that section.
A I M Advisors, Inc., 11 Greenway Plaza, Suite 100, Houston, Texas
77046-1173, will maintain physical possession of each such account,
book or other document of the Registrant at its principal executive
offices, except for those maintained by the Registrant's Custodian,
State Street Bank and Trust Company, 225 Franklin Street, Boston,
Massachusetts 02110, and the Registrant's Transfer Agent and Dividend
Paying Agent, A I M Fund Services, Inc., P. O. Box 4739, Houston,
Texas 77210-4739.
Item 29. Management Services
Provide a summary of the substantive provisions of any
management-related service contract not discussed in Part A or B, disclosing
the parties to the contract and the total amount paid and by whom for the
Registrant's last three fiscal years.
None.
Item 30. Undertakings
In initial registration statements filed under the Securities Act,
provide an undertaking to file an amendment to the registration statement with
certified financial statements showing the initial capital received before
accepting subscriptions from more than 25 persons if the Registrant intends to
raise its initial capital under section 14(a)(3) [15 U.S.C. 80a-14(a)(3)].
Not applicable.
C-19
<PAGE> 21
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 duly caused this Amendment
to its Registration Statement to be signed on its behalf by the undersigned,
thereunto duly authorized, in the city of Houston, Texas on the 31st day of May,
2000.
REGISTRANT: AIM EQUITY FUNDS
By: /s/ ROBERT H. GRAHAM
--------------------------------
Robert H. Graham, President
Pursuant to the requirements of the Securities Act of 1933, this
Amendment to the Registration Statement has been signed below by the following
persons in the capacities and on the dates indicated:
<TABLE>
SIGNATURES TITLE DATE
---------- ----- ----
<S> <C> <C>
/s/ CHARLES T. BAUER Chairman & Trustee May 31, 2000
-------------------------------
(Charles T. Bauer)
/s/ ROBERT H. GRAHAM
------------------------------- Trustee & President May 31, 2000
(Robert H. Graham) (Principal Executive Officer)
/s/ BRUCE L. CROCKETT Trustee May 31, 2000
-------------------------------
(Bruce L. Crockett)
/s/ OWEN DALY II Trustee May 31, 2000
-------------------------------
(Owen Daly II)
/s/ EDWARD K. DUNN, JR. Trustee May 31, 2000
-------------------------------
(Edward K. Dunn, Jr.)
/s/ JACK FIELDS Trustee May 31, 2000
-------------------------------
(Jack Fields)
/s/ CARL FRISCHLING Trustee May 31, 2000
-------------------------------
(Carl Frischling)
/s/ PREMA MATHAI DAVIS Trustee May 31, 2000
-------------------------------
(Prema Mathai-Davis)
/s/ LEWIS F. PENNOCK Trustee May 31, 2000
-------------------------------
(Lewis F. Pennock)
/s/ LOUIS S. SKLAR Trustee May 31, 2000
-------------------------------
(Louis S. Sklar)
/s/ DANA R. SUTTON Vice President &
------------------------------- Treasurer (Principal Financial May 31, 2000
(Dana R. Sutton) and Accounting Officer)
</TABLE>
