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1933 Act Registration No. 2-74200
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON DECEMBER 31, 1997
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
Pre-Effective Amendment No.
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Post-Effective Amendment No. 21
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AND/OR
REGISTRATION STATEMENT UNDER THE
INVESTMENT COMPANY ACT OF 1940
Amendment No.
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(Check appropriate box or boxes)
FORTIS FIDUCIARY FUND, INC.
(Exact Name of Registrant as Specified in Charter)
500 Bielenberg Drive
Woodbury, Minnesota 55125
(Address of Principal Executive Offices, Zip Code)
(612) 738-4000
(Registrant's Telephone Number, including Area Code)
Scott R. Plummer, Esq.
500 Bielenberg Drive
Woodbury, Minnesota 55125
(Name and Address of Agent for Service)
COPY TO:
Michael J. Radmer, Esq.
Dorsey & Whitney LLP
220 South Sixth Street
Minneapolis, Minnesota 55402-1498
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 January 1, 1998 pursuant to paragraph (b) of Rule 485
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75 days after filing pursuant to paragraph (a) of Rule 485
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60 days after filing pursuant to paragraph (a) of Rule 485
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FORTIS FIDUCIARY FUND, INC.
Registration Statement on Form N-1A
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Cross Reference Sheet
Pursuant to Rule 481(a)
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<TABLE>
<CAPTION>
Item No. Prospectus Heading
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<S> <C> <C>
1. Cover Page. . . . . . . . . . . . . . . Cover Page (no caption)
2. Synopsis. . . . . . . . . . . . . . . . Summary of Fund Expenses
3. Financial Highlights. . . . . . . . . . Financial Highlights
4. General Description of Registrant . . . Organization and Classification;
Investment Objectives and Policies
5. Management of the Fund. . . . . . . . . Management
6. Capital Stock and Other Securities. . . Capital Stock; Shareholder Inquiries;
Dividends and Capital Gain
Distributions; Taxation
7. Purchase of Securities Being Offered. . How to Buy Fund Shares; Valuation
of Securities
8. Redemption or Repurchase. . . . . . . . Redemption
9. Pending Legal Proceedings . . . . . . . None
Heading Statement of Additional Information
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10. Cover Page. . . . . . . . . . . . . . . Cover Page (no caption)
11. Table of Contents . . . . . . . . . . . Table of Contents
12. General Information and History . . . . Organization and Classification
13. Investment Objectives and Policies. . . Investment Objectives and Policies
14. Management of the Fund. . . . . . . . . Directors and Executive Officers
15. Control Persons and Principal
Holders of Securities . . . . . . . . . Capital Stock
16. Investment Advisory and Other
Services. . . . . . . . . . . . . . . . Investment Advisory and Other
Services
17. Brokerage Allocation and Other
Practices . . . . . . . . . . . . . . . Portfolio Transactions and Allocation
of Brokerage
18. Capital Stock and Other Securities. . . Capital Stock
19. Purchase, Redemption and Pricing
of Securities Being Offered . . . . . . Computation of Net Asset Value and
Pricing; Special Purchase Plans;
Redemption
20. Tax Status. . . . . . . . . . . . . . . Taxation
21. Underwriters. . . . . . . . . . . . . . Underwriter
22. Calculations of Performance Data. . . . Performance
23. Financial Statements. . . . . . . . . . Financial
</TABLE>
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Incorporation by Reference
and
Explanatory Note
Part A (Prospectus) of this Registration Statement is incorporated by
reference from Post-Effective Amendment No. 79 to the Registration Statement of
Fortis Equity Portfolios, Inc. (File No. 2-11387) filed on December 31, 1997.
Such Prospectus combines four Registrants: three series of Fortis Equity
Portfolios, Inc., two series of Fortis Advantage Portfolios, Inc., one series of
Fortis Fiduciary Fund, Inc. and one series of Fortis Growth Fund, Inc.
The Part B (Statement of Additional Information) of this Registration
Statement is incorporated by reference from Post-Effective Amendment No. 79 to
the Registration Statement of Fortis Equity Portfolios, Inc. (File No. 2-11387)
filed on December 31, 1997. Such Part B also combines the same four
Registrants: three series of Fortis Equity Portfolios, Inc., two series of
Fortis Advantage Portfolios, Inc., one series of Fortis Fiduciary Fund, Inc. and
one series of Fortis Growth Fund, Inc. Post-Effective Amendment No. 79 was
filed pursuant to Rule 485(a) to become effective on the same day as this
Registration Statement.
This Registration Statement contains the cover page, cross-reference sheet,
Part C, Exhibit 11 (Auditors' Consent) and signature page.
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PART C
Fortis Fiduciary Fund, Inc.
OTHER INFORMATION
ITEM 24. FINANCIAL STATEMENTS AND EXHIBITS
(a) Financial statements are incorporated by reference to the Registrant's
Annual Report previously filed with the Commission.
(b) Exhibits:
1. Articles of Incorporation (6)
2. Bylaws (3)
3. Not applicable
4. Not applicable
5. Investment Advisory and Management Agreement (3)
6. Underwriting Agreement (6)
7. Not applicable
8. Custody Agreement (4)
9. Not applicable
10. Not applicable
11. Consent of KPMG Peat Marwick LLP (8)
12. Not applicable
13. Not applicable
14. Model plan establishing retirement plan (2) and (5)
15. Rule 12b-1 Plan (8)
16. Computation of Performance Quotations (1)
17. Not applicable
18. Plan pursuant to Rule 18f-3 (7)
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(1) Incorporated by reference to Post-Effective Amendment No. 9 to the
Registrant's Registration Statement on Form N-1A filed with the Commission
in April 1989.
(2) Incorporated by reference to Post-Effective Amendment No. 51 to the
Registration Statement of AMEV Growth Fund, Inc. (File No. 2-14784) on Form
N-1A filed with the Commission in December 1991.
(3) Incorporated by reference to Post-Effective Amendment No. 12 to the
Registrant's Registration Statement on Form N-1A filed with the Commission
in November 1992.
(4) Incorporated by reference to Post-Effective Amendment No. 13 to the
Registrant's Registration Statement on Form N-1A filed with the Commission
in November 1992.
(5) Incorporated by reference to Post-Effective Amendment No. 14 to the
Registrant's Registration Statement on Form N-1A filed with the Commission
in November 1993.
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(6) Incorporated by reference to Post-Effective Amendment No. 18 to the
Registrant's Registration Statement on Form N-1A filed with the Commission
in November 1994.
(7) Incorporated by reference to Post-Effective Amendment No. 19 to the
Registrant's Registration Statement on Form N-1A filed with the Commission
in July 1995.
(8) Incorporated by reference to Post-Effective Amendment No. 20 to the
Registrant's Registration Statement on Form N-1A filed with the Commission
in December 1996.
(9) Filed herewith.
ITEM 25. PERSONS CONTROLLED BY OR UNDER COMMON CONTROL WITH REGISTRANT
No person is directly or indirectly controlled by or under common control
with the Registrant.
ITEM 26. NUMBER OF HOLDERS OF SECURITIES
As of November 30, 1997, there were the following number of record holders
of each class of Common Shares of the Fund:
Class A 7,116
Class B 841
Class C 216
Class H 1,360
ITEM 27. INDEMNIFICATION
Refer to Post-Effective Amendment No. 8 to the Registrant's Registration
Statement filed with the Commission in March 1988, which is incorporated herein
by reference.
ITEM 28. BUSINESS AND OTHER CONNECTIONS OF INVESTMENT ADVISER
Information on the business of the Adviser is described in the Statement of
Additional Information. In addition to those listed in the Statement of
Additional Information:
<TABLE>
<CAPTION>
Other Business/Employment
Name Position with Adviser During past Two Years
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<S> <C> <C>
Michael D. O'Connor Qualified Plan Officer Qualified Plan Officer of Fortis
Benefits Insurance Company
David C. Greenzang Money Market Portfolio Debt securities manager with
Officer Fortis, Inc.
</TABLE>
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ITEM 29. PRINCIPAL UNDERWRITERS
(a) Fortis Advantage Portfolios, Inc.
Fortis Equity Portfolios, Inc.
Fortis Fiduciary Fund, Inc.
Fortis Income Portfolios, Inc.
Fortis Money Portfolios, Inc.
Fortis Securities, Inc.
Fortis Series Fund, Inc.
Fortis Worldwide Portfolios, Inc.
Variable Account C of Fortis Benefits Insurance Company
Variable Account D of Fortis Benefits Insurance Company
(b) In addition to those listed in the Statement of Additional Information:
<TABLE>
<CAPTION>
Positions and Offices Positions and Offices
Name/Address With Underwriter with Registrant
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<S> <C> <C>
Carol M. Houghtby 2nd Vice President and Accounting Officer
500 Bielenberg Drive Treasurer
Woodbury, MN
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(c) Not applicable.
ITEM 30. LOCATION OF ACCOUNTS AND RECORDS
The physical possession of the accounts, books, and other documents
required to be maintained by Section 31(a) of the Investment Company Act of 1940
and Rules 3la-1 to 3la-3 promulgated thereunder is maintained by the Registrant
at Fortis Advisers, Inc., 500 Bielenberg Drive, Woodbury, MN 55125.
ITEM 31. MANAGEMENT SERVICES
Not applicable.
ITEM 32. UNDERTAKINGS
(a) Not applicable.
(b) Not applicable.
(c) Each recipient of a prospectus of any series of the Registrant may request
the latest Annual Report of such series, and such Annual Report will be
furnished by the Registrant without charge.
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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 on Form N-1A
pursuant to Rule 485(b) under the Securities Act of 1933 and has duly caused
this Registration Statement to be signed on its behalf by the undersigned,
thereunto duly authorized, in the City of Woodbury and State of Minnesota on the
29th day of December 1997.
FORTIS FIDUCIARY FUND, INC.
(Registrant)
By /s/ Dean C. Kopperud
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Dean C. Kopperud, 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 dates indicated:
/s/ Dean C. Kopperud President (principal December 29, 1997
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Dean C. Kopperud
/s/ Tamara L. Fagely Treasurer (principal December 29, 1997
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Tamara L. Fagely accounting officer)
Richard D. Cutting* Director
Allan R. Freedman* Director
Robert M. Gavin* Director
Benjamin S. Jaffray* Director
Jean L. King* Director
Richard M. Mahoney* Director
Robb L. Prince* Director
Leonard J. Santow* Director
Noel S. Shadko Director
Joseph M. Wikler* Director
*By /s/ Dean C. Kopperud December 29, 1997
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Dean C. Kopperud, Attorney-in-Fact
(Pursuant to a Power of Attorney dated March 21, 1996)
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[LETTERHEAD]
INDEPENDENT AUDITORS' CONSENT
The Board of Directors
Fortis Advantage Portfolios, Inc.
Fortis Growth Fund, Inc.
Fortis Fiduciary Fund, Inc.
Fortis Equity Portfolios, Inc.:
We consent to the use of our report incorporated herein by reference and the
references to our Firm under the headings "Financial Highlights" in Part A and
"Custodian; Counsel; Accountants" in Part B of the Registration Statement.
/s/ KPMG Peat Marwick LLP
KPMG Peat Marwick LLP
Minneapolis, Minnesota
December 29, 1997
