UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-8A
NOTIFICATION OF REGISTRATION
FILED PURSUANT TO SECTION 8(A) OF THE
INVESTMENT COMPANY ACT OF 1940
The undersigned investment company hereby notifies the Securities and
Exchange Commission that it registers under and pursuant to the provisions of
Section 8(a) of the Investment Company Act of 1940 and in connection with such
notification of registration submits the following information:
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Name: 10k Smart Trust
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Address of Principal Business Office (No. & Street, City, State, Zip Code)
5952 Royal Lane, Suite 270, Dallas TX 75230
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Telephone Number (including area code): (214) 360-9360
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Name and address of agent for service of process:
Kenneth D. Trumpfheller, 1793 Kingswood Drive, Suite 200, Southlake, TX 76092
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Check Appropriate Box:
Registrant is filing a Registration Statement pursuant to Section 8(b) of
the Investment Company Act of 1940 concurrently with the filing of Form
N-8A: YES [_] NO [X]
<PAGE>
FORM N-8A 10k Smart Trust
Item 1. Exact name of registrant:
10k Smart Trust
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Item 2. Name of state under the laws of which registrant was organized or
created and the date of such organization or creations:
Ohio: March 16, 1999
Item 3. Form of organization of registrant (for example, corporation,
partnership, trust, joint stock company, association, fund):
Business trust
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Item 4. Classification of registrant (face amount certificate company, unit
investment trust, or management company):
Management company
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Item 5. If registrant is a management company:
(a) state whether registrant is a "closed-end" or an "open-end"
company:
(b) state whether registrant is registering as a "diversified"
company or a "non-diversified" company:
Open-end, diversified company
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Item 6. Name and address of each investment adviser of registrant:
Monument Investment, Inc., 5952 Royal Lane, Suite 270, Dallas TX
75230
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Item 7. If registrant is an investment company having a board of directors,
state the name and address of each officer and director of
registrant:
J. Paul Hamilton, c/o Monument Investment, Inc., 5952 Royal Lane,
Suite 270, Dallas TX 75230
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The number of vacancies on the board of
trustees is a minimum of one and a maximum of ten.
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Item 8. If registrant is an unincorporated investment company not having a
board of directors:
(a) state the name and address of each sponsor of registrant:
(b) state the name and address of each officer and director of each
sponsor of registrant:
(c) state the name and address of each trustee and each custodian of
registrant:
Item 9.
(a) State whether registrant is currently issuing and offering its
securities directly to the public:
No
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(b) If registrant is currently issuing and offering its securities
to the public through an underwriter, state the name and address
of such underwriter:
Not applicable
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(c) If the answer to Item 9(a) is "no" and the answer to Item 9(b)
is "not applicable," state whether registrant presently proposes
to make a public offering of its securities:
Yes
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(d) State whether registrant has any securities currently issued and
outstanding:
No
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<PAGE>
FORM N-8A 10k Smart Trust
(e) If the answer to Item 9(d) is "yes," state as of a date not to
exceed ten days prior to the filing, of this notification of
registration the number of beneficial owners of registrant's
outstanding securities (other than short-term paper) and the
name of any company owning 10 percent or more of registrant's
outstanding voting securities.
Item 10. State the current value of registrant's total assets:
Registrant will have $100,000 at the time it files Form N-1A.
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Item 11. State whether registrant has applied or intends to apply for a
license to operate as a small business investment company under the
Small Business Investment Act of 1958:
No
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Item 12. Attach as an exhibit a copy of the registrant's last regular
periodic report to its security holders, if any:
Not applicable.
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SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940 the
investment adviser of the registrant has caused this notification of
registration to be duly signed on behalf of the registrant in the city of Dallas
and the state of Texas on the 7th day of April, 1999.
10k Smart Trust
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(Name of Registrant)
BY Monument Investments, Inc.
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(Name of sponsor, trustee or custodian)
BY /s/ J. Paul Hamilton
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J. Paul Hamilton, President
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(Title)
Attest:
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(Name)
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(Title)
