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As filed with the Securities and Exchange Commission on April 1, 1998
Securities Act Registration No. 33-56094
Investment Company Act Registration No. 811-7428
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-14
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
/X/ Pre-Effective Amendment No. 1 / / Post-Effective Amendment No. __
NICHOLAS-APPLEGATE MUTUAL FUNDS
(Exact Name of Registrant as Specified in Charter)
600 WEST BROADWAY, 30TH FLOOR
SAN DIEGO, CALIFORNIA 92101
(Address of Principal Executive Offices:
Number, Street, City, State, Zip Code)
(818) 852-1000
(Area Code and Telephone Number)
ARTHUR E. NICHOLAS
C/O NICHOLAS-APPLEGATE CAPITAL MANAGEMENT
600 WEST BROADWAY, 30TH FLOOR
SAN DIEGO, CALIFORNIA 92101
(Name and Address of Agent for Service)
Copies to:
Jane A. Kanter, Esq. Charles Field, Esq.
Dechert Price & Rhoads Vice President
1775 Eye Street, N.W. Nicholas-Applegate Capital Management
Washington, D.C. 20006 600 West Broadway, 30th Floor
San Diego, California 92101
Approximate Date of Proposed Public Offering: As soon as practicable after
the effective date of this Registration Statement.
The Registrant hereby amends this Registration Statement on such date or
dates as may be necessary to delay its effective date until the Registrant
shall file a further amendment which specifically states that this
Registration Statement shall thereafter become effective in accordance with
Section 8(a) of the Securities Act of 1933 or until the Registration
Statement shall become effective on such date as the Commission, acting
pursuant to said Section 8(a), may determine.
No filing fee is required because an indefinite number of shares have
previously been registered pursuant to Rule 24f-2 under the Investment Company
Act of 1940, as amended. The Registrant's Rule 24f-2 Notice for the fiscal year
ended March 31, 1997 was filed on or about May 30, 1997. Pursuant to Rule 429
under the Securities Act of 1933, this Registration Statement relates to shares
previously registered on the aforesaid Registration Statement.
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NICHOLAS-APPLEGATE MUTUAL FUNDS
FORM N-14
Pre-Effective Amendment No. 1
Cross Reference Sheet
Pursuant to Rule 481(a) under the Securities Act of 1933
Item No. Location in Combined Proxy Statement and
- -------- ----------------------------------------
Prospectus
----------
Part A
1. Cover Page Cover Page
2. Beginning and Outside Table of Contents
Back Coverage Page
3. Synopsis and Risk Factors Summary; Risk Considerations
4. Information About the Summary; 1. To Approve or Disapprove of
Transaction the Reorganization Agreement; 2. To
Approve or Disapprove of the Proposed
Amendment; Comparison of (1) The Fontaine
Trust Capital Appreciation Fund and the
Nicholas-Applegate Balanced Growth Fund -
Class A shares; (2) The Fontaine Trust
Global Growth Fund and the Nicholas-
Applegate Worldwide Growth Fund - Class A
shares; and (3) The Fontaine Trust Global
Income Fund and the Nicholas-Applegate
Worldwide Growth Fund - Class A shares
5. Information About the Summary; 1. To Approve or Disapprove of
Registrant the Reorganization Agreement; Additional
Information About Each Fund
6. Information About the Summary; 1. To Approve or Disapprove of
Company Being Acquired the Reorganization Agreement; 2. To
Approve or Disapprove of the Proposed
Amendment; Additional Information About
Each Fund
7. Voting Information Summary; Information Relating to Voting
Matters
8. Interest of Certain Additional Information About Each Fund
Persons and Experts
9. Additional Information Not Applicable
Required for Reoffering
by Persons Deemed to be
Underwriters
Part B
10. Cover Page Cover Page
11. Table of Contents Cover Page
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12. Additional Information Statement of Additional Information of
About the Registrant the Nicholas-Applegate Funds, dated July
16, 1997, incorporated by reference
13. Additional Information Statement of Additional Information of
About the Company Being The Fontaine Trust, dated May 1, 1997,
Acquired incorporated by reference
14. Financial Statements Annual Report of the Funds, incorporated
by reference
Part C
15. Indemnification Indemnification
16. Exhibits Exhibits
17. Undertakings Undertakings
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PARTS A, B and C
Pursuant to Rule 411 under the Securities Act of 1933, as amended, and Rules 0-4
and 8b-23 under the Investment Company Act of 1940, as amended, the information
required to be included in Part A, Part B and Part C of this Pre-Effective
Amendment No. 1 to the Form N-14 Registration Statement is incorporated by
reference to the Registrant's Form N-14 Registration Statement as filed in
electronic format via EDGAR with the Securities and Exchange Commission on
March 3, 1998 (File Nos. 33-56094 and 811-7428). This Amendment does not
delete, amend, or supersede any information contained in the Registration
Statement, except to the extent provided on the cover page of this filing.
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SIGNATURE
Pursuant to the requirements of the Securities Act of 1933, as amended, and
the Investment Company Act of 1940, as amended, the Registrant has duly caused
this Pre-Effective Amendment No. 1 to this Registration Statement on Form N-14
to be signed on behalf of the Registrant in the City of San Diego, State of
California, on the 31st day of March, 1998.
NICHOLAS-APPLEGATE MUTUAL FUNDS
(Registrant)
By: /s/ John D. Wylie*
-----------------------------------
John D. Wylie, President
Pursuant to the requirements of the Securities Act of 1933, this
Pre-Effective Amendment No. 1 to this Registration Statement on Form N-14 has
been signed below by the following persons in the capacities and on the date
indicated:
Name Title Date
---- ----- ----
/s/ John D. Wylie* Principal Executive March 31, 1998
- ------------------------- Officer
John D. Wylie
/s/ Thomas Pindelski* Principal Financial and March 31, 1998
- ------------------------- Accounting Officer
Thomas Pindelski
/s/ Fred C. Applegate* Trustee March 31, 1998
- -------------------------
Fred C. Applegate
/s/ Arthur B. Laffer* Trustee March 31, 1998
- -------------------------
Arthur B. Laffer
/s/ Charles E. Young* Trustee March 31, 1998
- -------------------------
Charles E. Young
/*s/ Charles Field
- -------------------------
By: Charles Field
Attorney in Fact
*Charles Field signs this document on behalf of each trustee and officer marked
with an asterisk pursuant to powers of attorney filed as Exhibits to this
Registration Statement.
By: /s/ Charles Field
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Charles Field
