<PAGE>
As filed with the Securities and Exchange Commission on October 31, 1997
Registration No. 33-16439
811-5159
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 /x/
PRE-EFFECTIVE AMENDMENT NO. / /
POST-EFFECTIVE AMENDMENT NO. 29 /x/
and
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 /x/
AMENDMENT NO. 30 /x/
ROBERTSON STEPHENS INVESTMENT TRUST
(Exact Name of Registrant as Specified in Charter)
555 California Street
San Francisco, California 94104
(Address of Principal Executive Offices)
Registrant's Telephone Number, including Area Code: (800) 766-3863
G. RANDY HECHT
c/o Robertson, Stephens & Company, L.P.
555 California Street
San Francisco, California 94104
(Name and Address of Agent for Service)
Copies to:
TIMOTHY W. DIGGINS, ESQUIRE
ROPES & GRAY
One International Place
Boston, MA 02110-2624
Approximate date of proposed public offering: As soon as practicable
after this Amendment becomes effective.
It is proposed that this filing will become effective:
(check appropriate box)
/ / Immediately upon filing pursuant to paragraph (b);
/ / On April 1, 1997 pursuant to paragraph (b)
/x/ 60 days after filing pursuant to paragraph (a)(1);
/ / On (date) pursuant to paragraph (a)(1);
/ / 75 days after filing pursuant to paragraph (a)(2); or
/ / On (date) pursuant to paragraph (a)(2) of Rule 485.
If appropriate, check the following box:
/ / This post-effective amendment designates a new effective date for a
previously filed post-effective amendment.
The Registrant has registered an indefinite number of its shares of beneficial
interest, pursuant to Rule 24f-2 under the Investment Company Act of 1940. The
Registrant filed a Form 24f-2 on February 26, 1997 for the fiscal year ended
December 31, 1996. The Registrant filed a Form 24f-2 on February 26, 1997 for
the fiscal year ended December 31, 1996.
<PAGE>
ROBERTSON STEPHENS INVESTMENT TRUST
Cross Reference Sheet
The Registration Statement contains a prospectus or prospectuses, relating to
Registrant's Class A shares and a prospectus or prospectuses relating to
Registrant's Advisor or Class C shares. References under "Prospectus Caption"
are to those sections of each of the prospectuses contained in the Registration
Statement, except as otherwise noted.
Information Required in
Prospectus by Form N-1A Combined
Registration Statement Part A Prospectus Caption
- ---------------------- ------ ------------------
Item 1. Cover Page . . . . . . . . . . . . . . . . . Prospectus Cover
Item 2. Synopsis . . . . . . . . . . . . . . . . . . Expense Summary
Item 3. Condensed Financial Information. . . . . . . How Performance is
Determined; and see
Statement of Additional
Information - Financial
Statements
Item 4. General Description of Registrant. . . . . . Prospectus Cover;
Investment Objectives and
Policies; Additional
Information
Item 5. Management of the Fund . . . . . . . . . . . Expense Summary;
Management of the Funds;
Additional Information
Item 5A. Management's Discussion
of Fund Performance. . . . . . . . . . . . . Included in Registrant's
Annual Reports to
Shareholders for Period
ended December 31, 1996
Item 6. Capital Stock and Other Securities . . . . . Dividends, Distributions
and Taxes; Additional
Information; Back Cover
Page; and see Statement of
Additional Information -
Management of the Funds
Item 7. Purchase of Securities Being Offered . . . . How to Purchase Shares;
How Net Asset Value is
Determined; The Funds'
Distributor; Back Cover
Page
Item 8. Redemption or Repurchase . . . . . . . . . . How to Redeem Shares
Item 9. Pending Legal Proceedings. . . . . . . . . . Inapplicable
<PAGE>
Information Required in Statement of Statement of Additional
Additional Information by Form N-1A Information Caption For
Registration Statement Part B Each Series
- ---------------------- ------ ------------------
Item 10. Cover Page. . . . . . . . . . . . . . . . . Cover Page
Item 11. Table of Contents . . . . . . . . . . . . . Cover Page
Item 12. General Information and History . . . . . . Additional Information
Item 13. Investment Objectives and Policies. . . . . Investment Objectives and
Policies; The Funds'
Investment Limitations
Item 14. Management of the Fund . . . . . . . . . . Management of the Funds
Item 15. Control Persons and Principal
Holders of Securities . . . . . . . . . . . Management of the Funds
Item 16. Investment Advisory and Other Services. . . Management of the Funds;
The Funds' Distributor;
Additional Information
Item 17. Brokerage Allocation and Other Services . . Management of the Funds;
The Funds' Distributor
Item 18. Capital Stock and Other Securities. . . . . See Prospectus -
Additional Information
Item 19. Purchase, Redemption and Pricing of
Securities Being Offered. . . . . . . . . . How Net Asset Value is
Determined; and see
Prospectus - How to
Purchase Shares;
Prospectus - How to
Redeem Shares
Item 20. Tax Status. . . . . . . . . . . . . . . . . Taxes; and see Prospectus
- Dividends,
Distributions and Taxes
Item 21. Underwriter . . . . . . . . . . . . . . . . The Funds' Distributor;
and see Prospectus - The
Funds' Distributor
Item 22. Calculations of Performance Data. . . . . . How Performance is
Determined
Item 23. Financial Statements. . . . . . . . . . . . Financial Statements
The information required to be included in Part C is set forth under the
appropriate item, so numbered, in Part C to this Registration Statement.
- -----------------------------------------------------------------------------
THIS POST EFFECTIVE AMENDMENT RELATES ONLY TO ROBERTSON STEPHENS GLOBAL VALUE
FUND AND IS BEING FILED SOLELY TO FURNISH UNAUDITED FINANCIAL INFORMATION IN
RESPECT OF THAT FUND. NO INFORMATION AND NO PART OF THE REGISTRATION STATEMENT
IS DELETED OR SUPERSEDED HEREBY.
<PAGE>
GLOBAL VALUE FUND PROSPECTUS SUPPLEMENT
to Prospectus dated April 1, 1997
The unaudited financial highlights presented below for the Global Value Fund
relate to the period April 1, 1997 to June 30, 1997. The unaudited financial
statements for that Fund for that period are incorporated by reference into the
Statement of Additional Information and may be obtained by shareholders upon
request.
Financial Highlights - Class A Shares
For the
For a share outstanding Period Ended
throughout each period: June 30,1997 (1) (unaudited)
- -------------------------------------------------------------------------------
Net Asset Value, beginning of period . . . . $ 10.00
Net investment income. . . . . . . . . . . . 0.06
Net realized gain and unrealized
appreciation on investments . . . . . . . . 0.63
- -------------------------------------------------------------------------------
Net Increase in Net Assets Resulting
From Operations . . . . . . . . . . . . . . 0.69
Distributions from net investment income . . --
Distributions from realized gain
on investments. . . . . . . . . . . . . . . --
Net Asset Value, end of period . . . . . . . $ 10.69
Total Return . . . . . . . . . . . . . . . . 6.90%
Ratios/Supplemental Data
- -------------------------------------------------------------------------------
Net Assets, end of period (000s) . . . . . . $ 16,403
Ratio of Expenses to Average Net Assets. . . 1.95%(2)
Ratio of Net Investment Income to
Average Net Assets. . . . . . . . . . . . . 2.80%(2)
Portfolio Turnover Rate. . . . . . . . . . . 57%
Average Commission Rate Paid (3) . . . . . . $ 0.0264
- -------------------
(1) Class A shares were first issued on April 1, 1997.
(2) If the Fund had paid all of its expenses and there had
been no reimbursement from the Adviser, total return
would have been 6.5%, the ratio of expenses to average
net assets would have been 4.42%, and the ratio of net
investment income to average net assets would have been
0.33%.
(3) A fund is required to disclose its average commission
rate per share for security trades on which a
commission is charged. This amount may vary from fund
to fund and period to period depending on the mix of
trades executed in various markets where trading
practices and commission rate structures may differ.
This rate generally does not reflect markups, markdowns
or spreads on shares traded on a principle basis, if
any.
Ratios, except for total return and portfolio turnover rate, have
been annualized.
Per-share data with the respect to Class A Shares for the period
has been determined by using the average number of Class A shares
outstanding throughout the period. Distributions reflect actual
per-share amounts distributed for the year.
The accompanying notes are an integral part of these financial statements.
December___, 1997
ROBERTSON STEPHENS INVESTMENT TRUST
<PAGE>
ROBERTSON STEPHENS INVESTMENT TRUST
Supplement to Statement of Additional Information
dated April 1, 1997
The financial highlights and financial statements in respect of the
Robertson Stephens Global Value Fund, included in the Semi-Annual Report of that
Fund for the period ended June 30, 1997, filed electronically on September 30,
1997 (File No. 811-5159), are incorporated into this Statement of Additional
Information by reference.
* December __, 1997
<PAGE>
PART C. OTHER INFORMATION
ITEM 24. FINANCIAL STATEMENTS AND EXHIBITS.
(a) Financial Statements
The following audited financial statements for The Robertson Stephens Contrarian
Fund, The Robertson Stephens Developing Countries Fund, The Robertson Stephens
Emerging Growth Fund, The Robertson Stephens Global Low-Priced Stock Fund, The
Robertson Stephens Global Natural Resources Fund, The Robertson Stephens Growth
& Income Fund, The Information Age Fund, The Robertson Stephens Partners Fund,
and The Robertson Stephens Value + Growth Fund, each a series of Registrant, are
included in Part B:
Schedules of Net Assets as of December 31, 1996; Schedules of Securities Sold
Short as of December 31, 1996 (the Contrarian Fund and the Growth & Income Fund
only); Statements of Assets and Liabilities as of December 31, 1996; Statements
of Operations for the periods ended December 31, 1996; Statements of Changes in
Net Assets for the periods ended December 31, 1996; Financial Highlights for
each of the periods presented; Notes to Financial Statements; and Reports of
Independent Accountant.
The following unaudited financial statements for the Robertson Stephens Global
Value Fund are incorporated by reference into Part B:
Statement of Assets and Liabilities as of June 30, 1997; Statement of
Operations for the period ended June 30, 1997; Statement of Changes in Net
Assets for the period ended June 30, 1997; Financial Highlights for the period
presented; and Notes to Financial Statements.
(b) Exhibits
1.(a) Copy of Amended and Restated Agreement and Declaration of Trust
of Registrant.(A)
1.(b) Copy of Certificate of Amendment of Agreement and Declaration of
Trust of Registrant.(C)
1.(c) Copy of Certificate of Amendment of Agreement and Declaration of
Trust of Registrant.(D)
1.(d) Copy of Certificate of Amendment of Agreement and Declaration of
Trust of Registrant.(L)
1.(e) Form of Amended and Restated Agreement and Declaration of Trust
of Registrant.(S)
2.(a) Copy of Amended and Restated By-Laws of Registrant.(A)
3. Inapplicable.
4. Specimen Share Certificate.(A)
5.(a) Investment Advisory Agreement between Avon Capital Management
Corporation (now Robertson Stephens Investment Management, Inc.)
and Registrant on behalf of Robertson Stephens Emerging Growth
Fund.(B)
5.(b) Form of Investment Advisory Agreement between Robertson Stephens
Investment Management, Inc. and Registrant on behalf of Robertson
Stephens Value Plus Fund.(D)
5.(c) Form of Investment Advisory Agreement between Robertson Stephens
Investment Management, L.P. and Registrant on behalf of
Robertson Stephens Contrarian Fund.(G)
5.(d) Agreement between Robertson Stephens Investment Management, Inc.,
Robertson Stephens Investment Management, L.P., Robertson,
Stephens & Company, L.P. and Registrant on behalf of Robertson
Stephens Value Plus Fund.(H)
5.(e) Form of Investment Advisory Agreement between Robertson Stephens
Investment Management, L.P. and Registrant on behalf of
Robertson Stephens Emerging Markets Fund.(I)
5.(f) Form of Investment Advisory Agreement between Robertson Stephens
Investment Management, L.P. and Registrant on behalf of Robertson
Stephens Partners Fund.(L)
<PAGE>
5.(g) Form of Investment Advisory Agreement between Robertson Stephens
Investment Management, L.P. and Registrant on behalf of Robertson
Stephens Growth & Income Fund.(M)
5.(h) Form of Investment Advisory Agreement between Robertson Stephens
Investment Management, L.P. and Registrant (on behalf of each of
Robertson Stephens Global Low-Priced Stock Fund, Robertson
Stephens Global Natural Resources Fund, and Robertson Stephens
Information Age Fund).(N)
5.(i) Form of Letter Agreement regarding the Investment Advisory
Agreement listed in 5(d), above.(O)
5.(j) Form of Investment Advisory Agreement between Robertson, Stephens
& Company, L.P. and Registrant (on behalf of Robertson Stephens
Asia Fund).(P)
5.(k) Form of Investment Advisory Agreement between Robertson, Stephens
& Company Investment Management, L.P. and Registrant (on behalf
of Robertson Stephens Diversified Growth Fund).(P)
5.(l) Form of Investment Advisory Agreement between Robertson, Stephens
& Company Investment Management, L.P. and Registrant (on behalf
of Robertson Stephens Emerging Europe Fund).(P)
5.(m) Form of Investment Advisory Agreement between Robertson, Stephens
& Company, L.P. and Registrant (on behalf of Robertson Stephens
MicroCap Growth Fund).(Q)
5.(n) Form of Investment Advisory Agreement between Robertson, Stephens
& Company, L.P. and Registrant (on behalf of Robertson Stephens
Global Value Fund).(R)
5.(o) Investment Advisory Agreement dated October 1, 1997 +
6.(a) Underwriting Agreement and Selling Group Agreement.(F)
6.(b) Consent of the Board of Trustees of Registrant.(H)
6.(c) Distribution Agreement with Edgewood Services, Inc.+
7. Inapplicable.
8. Custodian Agreement between Registrant and State Street Bank and
Trust.(E)
9. (A) - Form of Administrative Services Agreement.(P)
(B) - Form of Shareholder Service Plan.(Q)
10. Inapplicable.
11. Consent of Independent Accountants.(S)
12. Inapplicable.
13. Letter of Understanding Relating to Initial Capital.(A,J)
14. Disclosure Statement, Custodial Account Agreement and related
documents for an Individual Retirement Account (State Street Bank
and Trust).(E)
15.(a) Distribution Plan Pursuant to Rule 12b-l adopted by Registrant
for Robertson Stephens Emerging Growth Fund.(A)
15.(b) Form of Distribution Plan Pursuant to Rule 12b-l adopted by
Registrant for Robertson Stephens Contrarian Fund.(G)
15.(c) Form of Distribution Plan Pursuant to Rule 12b-l adopted by
Registrant for Robertson Stephens Emerging Markets Fund (now,
Robertson Stephens Developing Countries Fund).(I)
15.(d) Form of Distribution Plan Pursuant to Rule 12b-1 adopted by
Registrant for Robertson Stephens Partners Fund.(L)
<PAGE>
15.(e) Form of Distribution Plan Pursuant to Rule 12b-1 adopted by
Registrant for Robertson Stephens Growth & Income Fund.(L)
15.(f) Form of Distribution Plan Pursuant to Rule 12b-1 (in respect of
each of Robertson Stephens Global Low-Priced Stock Fund,
Robertson Stephens Global Natural Resources Fund and Robertson
Stephens Information Age Fund).(N)
15.(g) Form of Distribution Plan Pursuant to Rule 12b-1 (in respect of
Robertson Stephens Value + Growth Fund).(O)
15.(h) Form of Distribution Plan Pursuant to Rule 12b-1 (in respect of
each of Robertson Stephens Asia Fund, Robertson Stephens
Diversified Growth Fund, Robertson Stephens Emerging Europe Fund,
and Robertson Stephens MicroCap Growth Fund).(P)
15.(i) Form of Distribution Plan Pursuant to Rule 12b-1 (in respect of
Class C shares).(Q)
15.(j) Form of Distribution Plan Pursuant to Rule 12b-1 (in respect of
Robertson Stephens Global Value Fund).(R)
15.(k) Amended and Restated Distribution Plans +
16. Schedule of Computation of Performance Quotation.(D)
17.(a) Power of Attorney.(H)
17.(b) Power of Attorney of Terry R. Otton.(M)
17.(c) Power of Attorney.(P)
17.(d) Power of Attorney of Andrew P. Pilara, Jr.*
18. 18f-3 Plan(S)
27.A-I Financial Data Schedules.(S)
27.J Financial Data Schedule--Global Value Fund*
Incorporated by a reference to like-numbered exhibits:
(A) Previously filed as part of the Registration Statement filed
August 12, 1987.
(B) Previously filed as part of the Post-Effective Amendment No.
1 to the Registration Statement on March 3, 1988.
(C) Previously filed as part of the Post-Effective Amendment No.
4 to the Registration Statement on May 1, 1991.
(D) Previously filed as part of the Post-Effective Amendment No.
6 to the Registration Statement on March 12, 1992.
(E) Previously filed as part of the Post-Effective Amendment No.
8 to the Registration Statement on June 30, 1992.
(F) Previously filed as part of the Post-Effective Amendment No.
11 to the Registration Statement on February 5, 1993.
(G) Previously filed as part of the Post-Effective Amendment No.
13 to the Registration Statement on April 30, 1993.
(H) Previously filed as part of the Post-Effective Amendment No.
16 to the Registration Statement on December 8, 1993.
(I) Previously filed as part of the Post-Effective Amendment No.
18 to the Registration Statement on April 29, 1994.
(J) Previously filed as part of the Post-Effective Amendment No.
19 to the Registration Statement on July 5, 1994.
(K) Previously filed as part of the Post-Effective Amendment No.
20 to the Registration Statement on October 14, 1994.
(L) Previously filed as part of the Post-Effective Amendment No.
21 to the Registration Statement on April 28, 1995.
(M) Previously filed as part of the Post-Effective Amendment No.
22 to the Registration Statement on July 3, 1995.
<PAGE>
(N) Previously filed as part of the Post-Effective Amendment No.
23 to the Registration Statement on September 1, 1995.
(O) Previously filed as part of the Post-Effective Amendment No.
24 to the Registration Statement on January 16, 1996.
(P) Previously Filed as part of the Post-Effective Amendment No.
25 to the Registration Statement on May 17, 1996.
(Q) Previously filed as part of the Post-Effective Amendment No.
26 to the Registration Statement on January 21, 1996.
(R) Previously filed as part of the Post-Effective Amendment No.
27 to the Registration Statement on February 20, 1997.
(S) Previously filed as part of the Post-Effective Amendment No.
28 to the Registration Statement on March 24, 1997.
* Filed herewith.
+ To be filed by amendment.
ITEM 25. PERSONS CONTROLLED BY OR UNDER COMMON CONTROL WITH REGISTRANT.
As of the date of this Registration Statement, there is no person
controlled by or under common control with the Registrant.
ITEM 26. NUMBER OF HOLDERS OF SECURITIES.
On October 1, 1997, Registrant had the following number of security
holders:
Title of Class Number of Record Holders
-------------- ------------------------
Shares of Beneficial Interest of
The Robertson Stephens
Contrarian Fund
Class A 20,244
Class C 177
Shares of Beneficial Interest of
The Robertson Stephens
Developing Countries Fund
Class A 1,858
Class C 8
Shares of Beneficial Interest of
The Robertson Stephens
Diversified Growth Fund
Class A 1,481
Class C 18
Shares of Beneficial Interest of
The Robertson Stephens
Emerging Growth Fund
Class A 9,198
Class C 22
<PAGE>
Shares of Beneficial Interest of
The Robertson Stephens
Global Low-Priced Stock
Fund
Class A 987
Class C 4
Shares of Beneficial Interest of
The Robertson Stephens
Global Natural Resources
Fund
Class A 3,466
Class C 6
Shares of Beneficial Interest of
The Robertson Stephens
Global Value Fund
Class A 501
Class C 31
Shares of Beneficial Interest of
The Robertson Stephens
Growth & Income Fund
Class A 6,545
Class C 85
Shares of Beneficial Interest of
The Robertson Stephens
Information Age Fund
Class A 3,722
Class C 9
Shares of Beneficial Interest of
The Robertson Stephens
MicroCap Growth
Class A 1,730
Class C 27
Shares of Beneficial Interest of
The Robertson Stephens
Partners Fund
Class A 6,898
Class C 44
Shares of Beneficial Interest of
The Robertson Stephens
Value + Growth Fund
Class A 24,959
Class C 80
ITEM 27. INDEMNIFICATION
Under the terms of Registrant's By-laws, Article XI (See Exhibit 2 to this
Registration Statement), Registrant may indemnify and insure its trustees,
officers, employees, agents and other persons who may be indemnified by
Registrant under the Investment Company Act of 1940 (the "1940 Act").
Insofar as indemnification for liabilities arising under the Securities Act
may be permitted to trustees and officers and controlling persons of Registrant
pursuant to the foregoing provisions, or otherwise, Registrant has been advised
that in the opinion of the
<PAGE>
Securities and Exchange Commission, such indemnification by Registrant is
against public policy as expressed in the Securities Act, and therefore may be
unenforceable. In the event that a claim for such indemnification (except
insofar as it provides for the payment by Registrant of expenses incurred or
paid by a trustee, officer or controlling person in the successful defense of
any action, suit or proceeding) is asserted against Registrant by any trustee,
officer or controlling person and the Securities and Exchange Commission is
still of the same opinion, Registrant will, unless in the opinion of its counsel
the matter has been settled by a controlling precedent, submit to a court of
appropriate jurisdiction the question of whether such indemnification by it is
against public policy as expressed in the Securities Act, and will be governed
by the final adjudication of such issue.
Registrant also participates in a policy of insurance which insures Registrant,
its present, past and future trustees, officers, employees, agents and
investment advisers against any liability incurred on account of any alleged
negligent act, error or omission committed in connection with the operation of
the Trust, but excluding losses incurred by reason of any fraudulent breach of
trust or intention to deceive or defraud, or dishonest, criminal or malicious
act finally adjudicated. Coverage for the insureds generally includes losses
incurred by reason of any actual or alleged breach of duty, neglect, error,
misstatement, misleading statement or other act or omission committed by such
person in such capacity, but generally excludes losses incurred on account of
personal dishonesty, fraudulent breach of trust, lack of good faith or intention
to deceive or defraud or willful failure to act prudently.
ITEM 28. BUSINESS AND OTHER CONNECTIONS OF INVESTMENT ADVISER.
Information about G. Randall Hecht, an officer of Robertson, Stephens & Company
Investment Management, L.P. ("RSIM, L.P.") and of RS Investment Management,
Inc., formerly Robertson Stephens Investment Management, Inc. ("RSIM, Inc."),
and the sole director of RSIM, Inc., is set forth in Parts A and B herein. Mr.
Hecht ceased being an officer and Trustee of the Registrant on September 30,
1997. RSIM, L.P. and RSIM, Inc. are engaged exclusively in the provision of
investment advisory and management services to mutual funds, private investment
pools (including hedge funds), and private accounts.
ITEM 29. PRINCIPAL UNDERWRITERS.
(a) Edgewood Services, Inc. the Distributor for shares of the Registrant,
acts as principal underwriter for the following open-end investment
companies, including the Registrant. BT Advisor Funds, BT
Institutional Funds, BT Investment Funds, BT Pyramid Mutual Funds,
Excelsior Funds, Excelsior Funds, Inc., (formerly, UST Master Funds,
Inc.), Excelsior Institutional Trust, Excelsior Tax-Exempt Funds, Inc.
(formerly, UST Master Tax-Exempt Funds, Inc.), FTI Funds, FundManager
Portfolios, Great Plains Funds, Marketvest Funds, Marketvest Funds,
Inc., Old Westbury Funds, Inc., Robertson Stephens Investment Trust,
and WesMark Funds.
(b)
(1) (2) (3)
Name and Principal Positions and Offices Positions and Offices
Business Address With Distributor With Registrant
------------------ --------------------- ---------------------
Lawrence Caracciolo Director, President, --
Federated Investors Tower Edgewood Services, Inc.
Pittsburgh, PA 15222-3779
Arthur L. Cherry Director, --
Federated Investors Tower Edgewood Services, Inc.
Pittsburgh, PA 15222-3779
J. Christopher Donahue Director, --
Federated Investors Tower Edgewood Services, Inc.
Pittsburgh, PA 15222-3779
Ronald M. Petnuch Vice President, --
Federated Investors Tower Edgewood Services, Inc.
Pittsburgh, PA 15222-3779
<PAGE>
Thomas P. Schmitt Vice President, --
Federated Investors Tower Edgewood Services, Inc.
Pittsburgh, PA 15222-3779
Thomas P. Sholes Vice President, --
Federated Investors Tower Edgewood Services, Inc.
Pittsburgh, PA 15222-3779
Ernest L. Linane Assistant Vice President, --
Federated Investors Tower Edgewood Services, Inc.
Pittsburgh, PA 15222-3779
S. Elliott Cohan Secretary, --
Federated Investors Tower Edgewood Services, Inc.
Pittsburgh, PA 15222-3779
Thomas J. Ward Assistant Secretary, --
Federated Investors Tower Edgewood Services, Inc.
Pittsburgh, PA 15222-3779
Kenneth W. Pegher, Jr. Treasurer, --
Federated Investors Tower Edgewood Services, Inc.
Pittsburgh, PA 15222-3779
(c) Inapplicable.
ITEM 30. LOCATION OF ACCOUNTS AND RECORDS
The records required by Section 31(a) and Rule 31a-1 through 3 under the
1940 Act will be maintained by Registrant at its offices, 555 California Street,
San Francisco, CA 94104 except that pursuant to Rule 31a-3 under the 1940 Act,
the Transfer Agent (located at 1004 Baltimore, Kansas City, MO 64105) and
Custodian (located at 225 Franklin Street, Boston, MA 02110) for Registrant,
will maintain the records required by subparagraphs (b)(1) and (b)(2)(D) of Rule
31a-1.
ITEM 31. MANAGEMENT SERVICES.
Registrant has entered into an agreement with State Street Bank and Trust
Company for certain transfer agency and shareholder services. Pursuant to the
agreement, State Street Bank and Trust Company, among other things, maintains
accounts for shareholders of record of registrant, processes requests to
purchase and redeem shares and mails communications by Registrant to its
shareholders.
ITEM 32. UNDERTAKINGS.
The Registrant has made the following undertakings which are still
applicable:
(a) Registrant has undertaken to comply with Section 16(a) of the Investment
Company Act of 1940, as amended, which requires the prompt convening of a
meeting of shareholders to elect trustees to fill existing vacancies in the
Registrant's Board of Trustees in the event that less than a majority of
the trustees have been elected to such position by shareholders.
Registrant has also undertaken to promptly call a meeting of shareholders
for the purpose of voting upon the question of removal of any Trustee or
Trustees when requested in writing to do so by the record holders of not
less than 10 percent of the Registrant's outstanding shares and to assist
its shareholders in communicating with other shareholders in accordance
with the requirements of Section 16(c) of the Investment Company Act of
1940, as amended.
(b) Registrant has undertaken to furnish each person to whom a prospectus is
delivered with a copy of the Registrant's latest annual report to
shareholders when available, upon request and without charge.
<PAGE>
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, and the Investment
Company of 1940, the Registrant, Robertson Stephens Investment Trust, has duly
caused this Amendment to be signed on its behalf by the undersigned, thereunto
duly authorized, in the City and County of San Francisco and State of
California, on the 31st day of October, 1997.
ROBERTSON STEPHENS INVESTMENT TRUST
By: Andrew P. Pilara, Jr.*
----------------------------------------
Vice President and Principal Executive Officer
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed below, on October 31, 1997, by the
following persons in the capacities indicated.
SIGNATURE CAPACITY
ANDREW P. PILARA, JR.* Principal Executive Officer
- ------------------------ and Trustee
Andrew P. Pilara, Jr.
/s/ TERRY R. OTTON Treasurer, Chief Financial Officer,
- ------------------------ and Principal Accounting Officer
Terry R. Otton
LEONARD B. AUERBACH* Trustee
- ------------------------
Leonard B. Auerbach
Trustee
- ------------------------
John W. Glynn, Jr.
JAMES K. PETERSON* Trustee
- ------------------------
James K. Peterson
*By /s/ Terry R. Otton
---------------------------------------
Terry R. Otton, Attorney-in-Fact pursuant
to the Powers of Attorney filed herewith.
<PAGE>
EXHIBIT INDEX
EXHIBIT NO. TITLE
- ----------- -----
17.(d) Power of Attorney of Andrew P. Pilara, Jr.
27.J Financial Data Schedule-Global Value Fund
<PAGE>
POWER OF ATTORNEY
I, Andrew P. Pilara, Jr., a Trustee and Vice President, and the Principal
Executive Officer, of ROBERTSON STEPHENS INVESTMENT TRUST, hereby constitute and
appoint Terry R. Otton my true and lawful attorney, with full power to him, to
sign for me, and in my name and in the capacity indicated below, any and all
amendments (including post-effective amendments) to the Registration Statement
on Form N-1A of the Robertson Stephens Investment Trust (Registration No.
33-16439; 811-5159) and to file the same with all exhibits thereto, and other
documents in connection therewith, with the Securities and Exchange Commission,
granting unto my said attorney full power and authority to do and perform each
and every act and thing requisite or necessary to be done in the premises, as
fully to all intents and purposes as he might or could do in person, and hereby
ratify and confirm all that said attorney may lawfully do or cause to be done by
virtue thereof.
WITNESS my hand and seal on the date set forth below.
SIGNATURE TITLE DATE
- --------- ----- ----
/s/ Andrew P. Pilara, Jr. Trustee; Vice President; October 28, 1997
- ---------------------------- Principal Executive Officer
Andrew P. Pilara, Jr.
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