1933 Act File No. 333-31137
1940 Act File No. 811-8281
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. 7 ............................ X
------ -------
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 X
-------
Amendment No. 9 ............................................ X
------ -------
GREAT PLAINS FUNDS
(Exact Name of Registrant as Specified in Charter)
5800 Corporate Drive, Pittsburgh, Pennsylvania 15237-7010
(Address of Principal Executive Offices)
(412) 288-1900
(Registrant's Telephone Number)
Gail Cagney, Esquire
Federated Investors Tower
1001 Liberty Avenue
Pittsburgh, Pennsylvania 15222-3779
(Name and Address of Agent for Service)
(Notices should be sent to the Agent for Service)
It is proposed that this filing will become effective:
X immediately upon filing pursuant to paragraph (b)
_ on _____________________ pursuant to paragraph (b)
60 days after filing pursuant to paragraph (a) (i) _ on _______________
pursuant to paragraph (a) (i).
75 days after filing pursuant to paragraph (a)(ii) on _________________
pursuant to paragraph (a)(ii) 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.
Copies To:
Cameron S. Avery, Esquire
Bell, Boyd & Lloyd
3 First National Plaza
70 West Madison St.
Chicago, IL 60602
PART C. OTHER INFORMATION.
Item 23. Exhibits:
(a) Conformed Copy of Declaration of Trust of the
Registrant; (1)
(b) Copy of By-Laws of the Registrant; (1)
(c) Not applicable;
(d) (i) Conformed Copy of Investment Advisory
Contract of the Registrant; (3)
(ii-vi) Conformed Copy of Exhibits A through E to the
Investment Advisory Contract; (3)
(vii) Conformed Copy the Sub-Advisory Contract; (3)
(e) (i) Conformed Copy of Distributor's Contract of
the Registrant;
(2)
(ii) Conformed Copy of Exhibit A to the
Distributor's Contract; (2)
(iii) Conformed Copy of Mutual Fund Sales and
Service Agreement; (2)
(f) Not applicable;
(g) (i) Conformed Copy of Custodian Contract of the
Registrant; (4)
(ii) Schedule of Compensation; (4)
(iii) Conformed Copy of Subcustody Agreement; (5)
(h) Conformed Copy of Agreement for Fund Accounting Services,
Administrative Services,
and Transfer Agency Services of the Registrant; (2)
(i) Conformed Copy of Opinion and Consent of
Counsel as to legality of shares being
registered; (2)
(j) Conformed Copy of Consent of Independent Auditors; (7)
- -----------
+ All exhibits have been filed electronically.
1. Response is incorporated by reference to Registrant's Initial Registration
Statement on Form N-1A filed July 11, 1997
(FileNos. 333-31137 and 811-8281)
2. Response is incorporated by reference to Registrant's Pre-Effective
Amendment No. 1 on Form N-1A filed September 10, 1997 (File Nos. 333-31137
and 811-8281)
3. Response is incorporated by reference to Registrant's Pre-Effective
Amendment No. 2 on Form N-1A filed September 18, 1997 (File Nos. 333-31137
and 811-8281)
4. Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 1 on Form N-1A filed October 2, 1997 (File Nos. 333-31137 and
811-8281)
5. Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 2 on Form N-1A filed April 14, 1998 (File Nos. 333-31137 and
811-8281)
7. Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 6 on Form N-1A filed December 27, 1999 (File Nos. 333-31137
and 811-8281)
<PAGE>
(k) Not applicable;
(l) Conformed Copy of Initial Capital Understanding; (3)
(m) (i)Conformed Copy of Distribution Plan of Registrant;
(2)
(ii) Conformed Copy of Exhibit A to the Distribution Plan; (2)
(n) Not applicable;
(o) Conformed Copy of Power of Attorney. (7)
Item 24. Persons Controlled by or Under Common Control with Registrant:
None
Item 25. Indemnification: (4)
Item 26. Business and Other Connections of Investment Adviser:
(a) First Commerce Investors, Inc. is a registered
investment adviser providing investment management
services to individuals and institutional clients.
First Commerce Investors, Inc. is a wholly owned
subsidiary of First Commerce Bancshares, Inc., a
multi-bank holding company organized as a Nebraska
corporation ("FCB"). Through its subsidiaries and
affiliates, FCB provides a comprehensive range of
trust, commercial, consumer, correspondent and mortgage
banking services. At December 31, 1998, FCB had total
assets of over $1 billion.
- -------------------------
+ All exhibits have been filed electronically.
2. Response is incorporated by reference to Registrant's Pre-Effective
Amendment No. 1 on Form N-1A filed September 10, 1997 (File Nos. 333-31137
and 811-8281)
3. Response is incorporated by reference to Registrant's Pre-Effective
Amendment No. 2 on Form N-1A filed September 18, 1997 (File Nos. 333-31137
and 811-8281)
4. Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 1 on Form N-1A filed October 2, 1997 (File Nos. 333-31137 and
811-8281)
6. Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 4 on Form N-1A filed October 28, 1998 (File Nos. 333-31137
and 811-8281)
7. Response is incorporated by reference to Registrant's Post-Effective
Amendment No. 6 on Form N-1A filed December 27, 1999 (File Nos. 333-31137
and 811-8281)
<PAGE>
Although First Commerce Investors, Inc. had not previously
served as an investment adviser to a mutual fund, it managed,
on behalf of its trust clients, eight common and collective
investment funds having a market value of approximately $412
million as of July 31, 1997, the assets of which were
transferred into corresponding Funds of the Great Plains
Funds.
(b)
The principal executive officers and directors of the Trust's
Investment Adviser are set forth in the following table.
Unless otherwise noted, the position listed under other
Substantial Business, Profession, Vocation, or Employment is
with First Commerce Investors, Inc.
<TABLE>
<CAPTION>
<S> <C> <C>
(1) (2) (3)
Name Position with Adviser Other Substantial Business,
Profession, Vocation or Employment
James Stuart, III Chairman & CEO Chief Invest. Officer and Sec., Stuart
Global Invest. Co., BVI; Consultant,
J. Stuart, III Sole Proprietorship;
Exec. V.P., Stuart Investment Co.;
Director, First Commerce Bancshares
Director, National Bank of Commerce
James Stuart, Jr. Vice Chairman, Director Chairman & CEO, First Commerce
Bancshares; Chairman, National Bank of
Commerce
Harry Cameron Hinds President, Director
Walter Bruce Remington, II Vice President Adjunct Faculty, U. of Nebraska
Jerry Edward Beyke Vice President General Partner, Beyke Asset Management
Bradley F. Korell Director President and Director, National Bank
of Commerce; Director, First Commerce
Investors, Inc.
Anne Elizabeth Hansen Vice President
Robert A. Campbell Vice President
Vicki Hohenstein Vice President
Colleen Avery Product Manager
Lee Stuart Director
Christopher P. Sullivan Assistant Vice President
</TABLE>
Item 27. 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: 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, Old
Westbury Funds, Inc., The Riverfront Funds, Robertsons
Stephens Investment Trust, WesMark Funds, WCT Funds.
<TABLE>
<CAPTION>
<S> <C> <C>
(b)
(1) (2) (3)
Name and Principal Positions and Offices Positions and Offices
Business Address With Distributor With Registrant
Lawrence Caracciolo Director, President, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Arthur L. Cherry Director, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
J. Christopher Donahue Director, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Christine Johnson Vice President, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Ernest L. Linane Vice President, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Thomas P. Sholes Vice President, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Robert M. Rossi Assistant Vice President, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
<PAGE>
Thomas R. Donahue Treasurer,
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Dennis McAuley, III Assistant Treasurer, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Timothy S. Johnson Secretary, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
Victor R. Siclari Assistant Secretary, --
5800 Corporate Drive Edgewood Services, Inc.
Pittsburgh, PA 15237-7002
(c) Not applicable
</TABLE>
<PAGE>
Item 28. Location of Accounts and Records:
All accounts and records required to be maintained by Section 31(a) of
the Investment Company Act of 1940 and Rules 31a-1 through 31a-3
promulgated thereunder are maintained at one of the following
locations:
<TABLE>
<CAPTION>
<S> <C>
Registrant Federated Investors Tower
1001 Liberty Avenue
Pittsburgh, PA 15222-3779
(Notices should be sent to the Agent for
Service at above address.)
5800 Corporate Drive
Pittsburgh, PA 15237-7010
Federated Shareholder Services Federated Investors Tower
Company 1001 Liberty Avenue
("Transfer Agent, Dividend Pittsburgh, PA 15222-3779
Disbursing Agent and Portfolio
Accounting Services")
Federated Services Company Federated Investors Tower
("Administrator") 1001 Liberty Avenue
Pittsburgh, PA 15222-3779
National Bank of Commerce 1248 "O" Street
("Custodian") Lincoln, Nebraska 68508
First Commerce Investors, Inc. 610 NBC Center
("Adviser") Lincoln, Nebraska 68508
</TABLE>
Item 29. Management Services: Not applicable.
Item 30. Undertakings:
Registrant hereby undertakes to comply with the provisions of
Section 16(c) of the 1940 Act with respect to the removal of
Trustees and the calling of special shareholder meetings by
shareholders.
<PAGE>
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the
Investment Company Act of 1940, the Registrant, GREAT PLAINS FUNDS, certifies
that it meets all of the requirements for effectiveness of this Amendment to its
Registration Statement 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 Pittsburgh and
Commonwealth of Pennsylvania, on the 7th day of January, 2000.
GREAT PLAINS FUNDS
BY: /s/ Gail Cagney
Gail Cagney
Attorney in Fact for Edward C. Gonzales
January 7, 2000
Pursuant to the requirements of the Securities Act of 1933, Registration
Statement has been signed below by the following person in the capacity and on
the date indicated:
<TABLE>
<CAPTION>
<S> <C> <C>
NAME TITLE DATE
By:/s/ Gail Cagney Attorney In Fact January 7, 2000
Gail Cagney For the Persons
Listed Below
NAME TITLE
Edward C Gonzales* President
Beth S. Broderick* Vice President and
Treasurer
(Principal Financial
and Accounting Officer)
Hugh Hansen* Trustee
George E. Howard* Trustee
Dr. Martin A. Massengale* Trustee
Keith C. Mitchell* Trustee
* By Power of Attorney
</TABLE>
