SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Hartford Mutual Funds Inc/CT, et al. – ‘485BPOS’ on 9/30/11 – EX-99.B.A.(IX)

On:  Friday, 9/30/11, at 11:19am ET   ·   Effective:  9/30/11   ·   Accession #:  1104659-11-54179   ·   File #s:  333-02381, 811-07589

Previous ‘485BPOS’:  ‘485BPOS’ on 6/8/11   ·   Next:  ‘485BPOS’ on 9/30/11   ·   Latest:  ‘485BPOS’ on 2/28/24   ·   13 References:   

Find Words in Filings emoji
 
  in    Show  and   Hints

  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 9/30/11  Hartford Mutual Funds Inc/CT      485BPOS     9/30/11   10:13M                                    Merrill Corp-MD/FAHartford Low Duration High Income Fund Class A (HFHAX) — Class C (HFHCX) — Class I (HFHIX) — Class R3 (HFHRX) — Class R4 (HFHSX) — Class R5 (HFHTX) — Class Y (HFHYX)

Post-Effective Amendment
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 485BPOS     Post-Effective Amendment                            HTML   6.94M 
 5: EX-99.B.A.(IX)  Miscellaneous Exhibit                           HTML    264K 
 2: EX-99.B.A.(VI)  Miscellaneous Exhibit                           HTML    290K 
 3: EX-99.B.A.(VII)  Miscellaneous Exhibit                          HTML     15K 
 4: EX-99.B.A.(VIII)  Miscellaneous Exhibit                         HTML     13K 
 6: EX-99.B.E.(XXV)  Miscellaneous Exhibit                          HTML     13K 
 7: EX-99.B.H.(XXVI)  Miscellaneous Exhibit                         HTML     40K 
 8: EX-99.B.H.(XXVII)  Miscellaneous Exhibit                        HTML    246K 
 9: EX-99.B.I.  Miscellaneous Exhibit                               HTML     12K 
10: EX-99.B.M.  Miscellaneous Exhibit                               HTML    291K 


EX-99.B.A.(IX)   —   Miscellaneous Exhibit


This exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]



Exhibit 99.B.a.(ix)

 

EXHIBIT A.(IX)

 

THE HARTFORD MUTUAL FUNDS, INC.

ARTICLES SUPPLEMENTARY

 

THE HARTFORD MUTUAL FUNDS, INC., a Maryland corporation registered as an open-end management investment company under the Investment Company Act of 1940 (“Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland (“SDAT”) that:

 

FIRST:  Pursuant to the authority expressly vested in the Board of Directors (“Board of Directors”) of the Corporation by Section 2-208 of the Maryland General Corporation Law and the charter (“Charter”) of the Corporation, the Board of Directors reclassified 5,350,000,000 authorized and unissued Class L shares of Common Stock, par value $.0001 per share (the “Common Stock”) of the Corporation, as Class A shares of Common Stock as set forth below:

 

Series

 

Authorized and Unissued Class L Shares to be
Reclassified as Class A Shares

 

The Hartford Inflation Plus Fund

 

5,350,000,000

 

 

SECOND:  Immediately after these Articles Supplementary are accepted for record by the SDAT, the total number of authorized shares of Common Stock is 49,860,000,000, of which 5,755,000,000 are shares of Common Stock without further classification or designation and 44,105,000,000 are shares of Common Stock classified and designated as follows:

 

SERIES AND CLASS

 

NUMBER OF SHARES

 

 

 

 

 

The Hartford Advisers Fund

 

 

 

Class A

 

375,000,000

 

Class B

 

175,000,000

 

Class C

 

110,000,000

 

Class Y

 

100,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Balanced Allocation Fund

 

 

 

Class A

 

100,000,000

 

Class B

 

50,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

1



 

The Hartford Balanced Income Fund

 

 

 

Class A

 

200,000,000

 

Class B

 

200,000,000

 

Class C

 

200,000,000

 

Class I

 

100,000,000

 

Class Y

 

200,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Capital Appreciation Fund

 

 

 

Class A

 

570,000,000

 

Class B

 

175,000,000

 

Class C

 

220,000,000

 

Class I

 

400,000,000

 

Class Y

 

100,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Capital Appreciation II Fund

 

 

 

Class A

 

200,000,000

 

Class B

 

200,000,000

 

Class C

 

200,000,000

 

Class I

 

50,000,000

 

Class Y

 

200,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Checks and Balances Fund

 

 

 

Class A

 

400,000,000

 

Class B

 

200,000,000

 

Class C

 

200,000,000

 

Class I

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

2



 

The Hartford Conservative Allocation Fund

 

 

 

Class A

 

100,000,000

 

Class B

 

50,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Corporate Opportunities Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Disciplined Equity Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Diversified International Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

75,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

3



 

The Hartford Dividend and Growth Fund

 

 

 

Class A

 

325,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class I

 

200,000,000

 

Class Y

 

100,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Emerging Markets Local Debt Fund

 

 

 

Class A

 

125,000,000

 

Class C

 

75,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Emerging Markets Research Fund

 

 

 

Class A

 

125,000,000

 

Class C

 

75,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Equity Growth Allocation Fund

 

 

 

Class A

 

100,000,000

 

Class B

 

50,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

4



 

The Hartford Equity Income Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Floating Rate Fund

 

 

 

Class A

 

800,000,000

 

Class B

 

200,000,000

 

Class C

 

800,000,000

 

Class I

 

1,000,000,000

 

Class Y

 

200,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Floating Rate High Income Fund

 

 

 

Class A

 

125,000,000

 

Class C

 

75,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Fundamental Growth Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

5



 

The Hartford Global All-Asset Fund

 

 

 

Class A

 

250,000,000

 

Class C

 

150,000,000

 

Class I

 

100,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Global Enhanced Dividend Fund

 

 

 

Class A

 

200,000,000

 

Class B

 

200,000,000

 

Class C

 

200,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Global Growth Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Global Real Asset Fund

 

 

 

Class A

 

125,000,000

 

Class C

 

75,000,000

 

Class I

 

100,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

6



 

The Hartford Global Research Fund

 

 

 

Class A

 

200,000,000

 

Class B

 

200,000,000

 

Class C

 

200,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Growth Allocation Fund

 

 

 

Class A

 

100,000,000

 

Class B

 

50,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Healthcare Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford High Yield Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

7


 


 

The Hartford Inflation Plus Fund

 

 

 

Class A

 

5,660,000,000

 

Class B

 

105,000,000

 

Class C

 

180,000,000

 

Class I

 

50,000,000

 

Class Y

 

100,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford International Growth Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford International Opportunities Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford International Small Company Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

8



 

The Hartford International Value Fund

 

 

 

Class A

 

125,000,000

 

Class C

 

75,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford MidCap Fund

 

 

 

Class A

 

225,000,000

 

Class B

 

75,000,000

 

Class C

 

110,000,000

 

Class I

 

100,000,000

 

Class Y

 

100,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford MidCap Value Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Money Market Fund

 

 

 

Class A

 

1,200,000,000

 

Class B

 

500,000,000

 

Class C

 

1,000,000,000

 

Class Y

 

500,000,000

 

Class R3

 

100,000,000

 

Class R4

 

1,500,000,000

 

Class R5

 

300,000,000

 

 

 

 

 

The Hartford Municipal Opportunities Fund

 

 

 

Class A

 

200,000,000

 

Class B

 

200,000,000

 

Class C

 

200,000,000

 

Class I

 

50,000,000

 

 

9



 

The Hartford Select SmallCap Value Fund

 

 

 

Class A

 

200,000,000

 

Class B

 

200,000,000

 

Class C

 

200,000,000

 

Class Y

 

200,000,000

 

 

 

 

 

The Hartford Short Duration Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class I

 

200,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Small Company Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Small/MidCap Equity Fund

 

 

 

Class A

 

200,000,000

 

Class B

 

200,000,000

 

Class C

 

200,000,000

 

Class Y

 

200,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Strategic Income Fund

 

 

 

Class A

 

200,000,000

 

Class B

 

200,000,000

 

Class C

 

200,000,000

 

Class I

 

50,000,000

 

Class Y

 

100,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

10



 

The Hartford Target Retirement 2010 Fund

 

 

 

Class A

 

600,000,000

 

Class Y

 

200,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Target Retirement 2015 Fund

 

 

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Target Retirement 2020 Fund

 

 

 

Class A

 

600,000,000

 

Class Y

 

200,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Target Retirement 2025 Fund

 

 

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Target Retirement 2030 Fund

 

 

 

Class A

 

600,000,000

 

Class Y

 

200,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Target Retirement 2035 Fund

 

 

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Target Retirement 2040 Fund

 

 

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Target Retirement 2045 Fund

 

 

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

11



 

The Hartford Target Retirement 2050 Fund

 

 

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Total Return Bond Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

400,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford Value Fund

 

 

 

Class A

 

125,000,000

 

Class B

 

75,000,000

 

Class C

 

50,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

 

 

 

The Hartford World Bond Fund

 

 

 

Class A

 

125,000,000

 

Class C

 

75,000,000

 

Class I

 

50,000,000

 

Class Y

 

50,000,000

 

Class R3

 

50,000,000

 

Class R4

 

50,000,000

 

Class R5

 

50,000,000

 

 

THIRD:  The shares of Common Stock described in Articles FIRST above have been reclassified by the Board of Directors under the authority contained in the Charter.

 

FOURTH:  These Articles Supplementary have been approved by the Board of Directors in the manner and by the vote required by law.  These Articles Supplementary do not increase the total number of authorized shares of stock of the Corporation.

 

FIFTH:  The undersigned Vice President of the Corporation acknowledges these Articles Supplementary to be the corporate act of the Corporation and, as to all matters or facts required

 

12



 

to be verified under oath, the undersigned Vice President acknowledges that, to the best of his knowledge, information and belief, these matters and facts are true in all material respects and that this statement is made under the penalties for perjury.

 

IN WITNESS WHEREOF, the Corporation has caused these Articles Supplementary to be signed in its name and on its behalf by its Vice President and attested by its Assistant Secretary as of the     th day of August, 2011.

 

ATTEST:

 

THE HARTFORD MUTUAL FUNDS, INC.

 

 

 

 

 

 

By:

 

By:

 

 

 

 

 

 

/s/ Catherine E. Marshall

 

/s/ Edward P. Macdonald

Catherine E. Marshall

 

Edward P. Macdonald

Assistant Secretary

 

Vice President

 

13


 


13 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/28/24  Hartford Mutual Funds Inc./CT     485BPOS     3/01/24   49:77M                                    Donnelley … Solutions/FA
 2/27/24  Hartford Mutual Funds Inc./CT     485BPOS     3/01/24   15:43M                                    Donnelley … Solutions/FA
12/15/23  Hartford Mutual Funds Inc./CT     485APOS                2:25M                                    Donnelley … Solutions/FA
 7/14/23  Hartford Mutual Funds Inc./CT     POS EX      7/14/23    2:323K                                   Donnelley … Solutions/FA
 2/28/23  Hartford Mutual Funds Inc./CT     485BPOS     2/28/23   63:57M                                    Donnelley … Solutions/FA
12/20/22  Hartford Mutual Funds Inc./CT     485APOS                1:7.5M                                   Donnelley … Solutions/FA
 6/22/22  Hartford Mutual Funds Inc./CT     485BPOS     6/22/22   15:4.4M                                   Donnelley … Solutions/FA
 6/07/22  Hartford Mutual Funds Inc./CT     485BPOS     6/07/22   20:5M                                     Donnelley … Solutions/FA
 3/24/22  Hartford Mutual Funds Inc./CT     485APOS                1:2.9M                                   Donnelley … Solutions/FA
 2/28/22  Hartford Mutual Funds Inc./CT     485BPOS     2/28/22   72:61M                                    Donnelley … Solutions/FA
12/17/21  Hartford Mutual Funds Inc./CT     485APOS                2:7M                                     Donnelley … Solutions/FA
 3/23/21  Hartford Mutual Funds Inc./CT     POS EX      3/23/21    3:283K                                   Donnelley … Solutions/FA
 2/26/21  Hartford Mutual Funds Inc./CT     485BPOS     3/01/21  321:77M                                    Donnelley … Solutions/FA
Top
Filing Submission 0001104659-11-054179   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Fri., May 10, 5:03:07.2pm ET