SEC Info℠ | Home | Search | My Interests | Help | Sign In | Please Sign In | ||||||||||||||||||||
¶
– Release Delayed ·As Of Filer Filing For·On·As Docs:Size Issuer Agent 12/20/18 Hartford Mutual Funds Inc/CT 485APOS¶ 11:6.3M Toppan Vintage/FA → Hartford Multi-Asset Income Fund ⇒ Class A (ITTAX) — Class C (HAFCX) — Class F (ITTFX) — Class I (ITTIX) — Class R3 (ITTRX) — Class R4 (ITTSX) — Class R5 (ITTTX) — Class R6 (ITTVX) — Class Y (IHAYX) → Hartford Small Cap Value Fund ⇒ Class A (HSMAX) — Class C (HTSCX) — Class F (HSMFX) — Class I (HSEIX) — Class R3 (HSMRX) — Class R4 (HSMSX) — Class R5 (HSMTX) — Class R6 (HSMVX) — Class Y (HSMYX) → The Hartford Checks & Balances Fund ⇒ Class A (HCKAX) — Class C (HCKCX) — Class F (HCKFX) — Class I (HCKIX) — Class R3 (HCKRX) — Class R4 (HCKSX) — Class R5 (HCKTX) |
Document/Exhibit Description Pages Size 1: 485APOS Post-Effective Amendment HTML 2.34M 11: COVER ¶ Comment-Response or Cover Letter to the SEC HTML 7K 2: EX-99.(A)(XXXIII) Articles Supplementary Dated August 4, 2017 HTML 64K 3: EX-99.(A)(XXXV) Articles Supplementary Dated May 9, 2018 HTML 78K 4: EX-99.(A)(XXXVI) Articles Supplementary Dated August 23, 2018 HTML 64K 5: EX-99.(A)(XXXVII) Articles of Amendment Dated October 9, 2018 HTML 12K 6: EX-99.(A)(XXXVIII) Articles Supplementary Dated November 13, HTML 64K 2018 7: EX-99.(D)(II)(B) Schedules A and B to Investment Management HTML 53K Agreement 8: EX-99.(G)(I)(B) Amendment to the Custodian Agreement HTML 36K 9: EX-99.(P)(II) Code of Ethics HTML 98K 10: EX-99.(Q) Power of Attorney HTML 19K
Exhibit a.(xxxviii)
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 (the “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 of the Corporation (the “Board of Directors”) by Section 2-208 of the Maryland General Corporation Law and the charter (the “Charter”) of the Corporation, the Board of Directors, by resolutions duly adopted at a meeting duly called and held, classified 100,000,000 authorized but unissued shares of common stock, par value $.001 per share (“Common Stock”), without further classification or designation, as additional shares of the series and classes set forth below, the shares of each such class having the preferences, rights, voting powers, restrictions, limitations as to dividends and other distributions, qualifications and terms and conditions of redemption of such class of Common Stock as set forth in the Charter:
Series
|
Class
|
Shares |
The Hartford Balanced Income Fund | Class A | 100,000,000 |
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 6,425,000,000 are shares of Common Stock without further classification or designation and 43,435,000,000 are shares of Common Stock classified and designated as follows:
SERIES AND CLASS
|
NUMBER OF SHARES |
The Hartford Balanced Fund | |
Class A | 375,000,000 |
Class B | 175,000,000 |
Class C | 110,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 100,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
C:
SERIES AND CLASS
|
NUMBER OF SHARES |
The Hartford Balanced Income Fund | |
Class A | 500,000,000 |
Class B | 200,000,000 |
Class C | 400,000,000 |
Class F | 200,000,000 |
Class I | 450,000,000 |
Class T | 50,000,000 |
Class Y | 200,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 50,000,000 |
The Hartford Capital Appreciation Fund | |
Class A | 570,000,000 |
Class B | 175,000,000 |
Class C | 220,000,000 |
Class F | 50,000,000 |
Class I | 400,000,000 |
Class T | 50,000,000 |
Class Y | 100,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 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 F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
C:
- C: 2 - |
SERIES AND CLASS
|
NUMBER OF SHARES |
The Hartford Conservative Allocation Fund | |
Class A | 100,000,000 |
Class B | 50,000,000 |
Class C | 50,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
Hartford Core Equity Fund | |
Class A | 125,000,000 |
Class B | 75,000,000 |
Class C | 50,000,000 |
Class F | 50,000,000 |
Class I | 150,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 50,000,000 |
The Hartford Dividend and Growth Fund | |
Class A | 325,000,000 |
Class B | 75,000,000 |
Class C | 50,000,000 |
Class F | 200,000,000 |
Class I | 200,000,000 |
Class T | 50,000,000 |
Class Y | 200,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 50,000,000 |
C:
- 3 - |
SERIES AND CLASS
|
NUMBER OF SHARES |
Hartford Emerging Markets Equity Fund | |
Class A | 125,000,000 |
Class C | 75,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 200,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
The Hartford Emerging Markets Local Debt Fund | |
Class A | 125,000,000 |
Class C | 75,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 100,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
Hartford Environmental Opportunities Fund | |
Class A | 13,000,000 |
Class C | 13,000,000 |
Class F | 50,000,000 |
Class I | 20,000,000 |
Class T | 50,000,000 |
Class Y | 20,000,000 |
Class R3 | 13,000,000 |
Class R4 | 13,000,000 |
Class R5 | 13,000,000 |
Class R6 | 20,000,000 |
C:
- 4 - |
SERIES AND CLASS
|
NUMBER OF SHARES |
The Hartford Equity Income Fund | |
Class A | 175,000,000 |
Class B | 75,000,000 |
Class C | 50,000,000 |
Class F | 100,000,000 |
Class I | 100,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 50,000,000 |
The Hartford Floating Rate Fund | |
Class A | 800,000,000 |
Class B | 200,000,000 |
Class C | 800,000,000 |
Class F | 50,000,000 |
Class I | 1,000,000,000 |
Class T | 50,000,000 |
Class Y | 250,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
The Hartford Floating Rate High Income Fund | |
Class A | 125,000,000 |
Class C | 75,000,000 |
Class F | 50,000,000 |
Class I | 100,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
C:
- 5 - |
SERIES AND CLASS
|
NUMBER OF SHARES |
The Hartford Global All-Asset Fund | |
Class A | 250,000,000 |
Class C | 150,000,000 |
Class F | 50,000,000 |
Class I | 100,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
Hartford Global Capital Appreciation Fund | |
Class A | 200,000,000 |
Class B | 200,000,000 |
Class C | 200,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 200,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
Hartford Global Equity Income Fund | |
Class A | 200,000,000 |
Class B | 200,000,000 |
Class C | 200,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 100,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
C:
- 6 - |
SERIES AND CLASS
|
NUMBER OF SHARES |
Hartford Global Impact Fund | |
Class A | 13,000,000 |
Class C | 13,000,000 |
Class F | 50,000,000 |
Class I | 20,000,000 |
Class T | 50,000,000 |
Class Y | 20,000,000 |
Class R3 | 13,000,000 |
Class R4 | 13,000,000 |
Class R5 | 13,000,000 |
Class R6 | 20,000,000 |
The Hartford Global Real Asset Fund | |
Class A | 125,000,000 |
Class C | 75,000,000 |
Class F | 50,000,000 |
Class I | 100,000,000 |
Class T | 50,000,000 |
Class Y | 200,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
The Hartford Growth Allocation Fund | |
Class A | 100,000,000 |
Class B | 50,000,000 |
Class C | 50,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
C:
- 7 - |
SERIES AND CLASS
|
NUMBER OF SHARES |
The Hartford Healthcare Fund | |
Class A | 125,000,000 |
Class B | 75,000,000 |
Class C | 50,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
The Hartford High Yield Fund | |
Class A | 125,000,000 |
Class B | 75,000,000 |
Class C | 50,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
The Hartford Inflation Plus Fund | |
Class A | 5,660,000,000 |
Class B | 105,000,000 |
Class C | 180,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 100,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
C:
- 8 - |
SERIES AND CLASS
|
NUMBER OF SHARES |
Hartford International Equity Fund | |
Class A | 125,000,000 |
Class B | 75,000,000 |
Class C | 75,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 60,000,000 |
The Hartford International Growth Fund | |
Class A | 125,000,000 |
Class B | 75,000,000 |
Class C | 50,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
The Hartford International Opportunities Fund | |
Class A | 125,000,000 |
Class B | 75,000,000 |
Class C | 50,000,000 |
Class F | 100,000,000 |
Class I | 100,000,000 |
Class T | 50,000,000 |
Class Y | 200,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 100,000,000 |
C:
- 9 - |
SERIES AND CLASS
|
NUMBER OF SHARES |
The Hartford International Small Company Fund | |
Class A | 125,000,000 |
Class B | 75,000,000 |
Class C | 50,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
The Hartford International Value Fund | |
Class A | 125,000,000 |
Class C | 75,000,000 |
Class F | 50,000,000 |
Class I | 150,000,000 |
Class T | 50,000,000 |
Class Y | 70,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
Hartford Long/Short Global Equity Fund | |
Class A | 125,000,000 |
Class C | 75,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
C:
- 10 - |
SERIES AND CLASS
|
NUMBER OF SHARES |
Hartford MidCap Fund | |
Class A | 225,000,000 |
Class B | 75,000,000 |
Class C | 110,000,000 |
Class F | 120,000,000 |
Class I | 300,000,000 |
Class T | 50,000,000 |
Class Y | 100,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 50,000,000 |
The Hartford MidCap Value Fund | |
Class A | 125,000,000 |
Class B | 75,000,000 |
Class C | 50,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
Hartford Moderate Allocation Fund | |
Class A | 100,000,000 |
Class B | 50,000,000 |
Class C | 50,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
C:
- 11 - |
SERIES AND CLASS
|
NUMBER OF SHARES |
Hartford Multi-Asset Income Fund | |
Class A | 125,000,000 |
Class C | 75,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 100,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
Hartford Municipal Income Fund | |
Class A | 125,000,000 |
Class C | 75,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
The Hartford Municipal Opportunities Fund | |
Class A | 200,000,000 |
Class B | 200,000,000 |
Class C | 200,000,000 |
Class F | 50,000,000 |
Class I | 150,000,000 |
Class T | 50,000,000 |
Class Y | 20,000,000 |
Hartford Municipal Short Duration Fund | |
Class A | 125,000,000 |
Class C | 75,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
C:
- 12 - |
SERIES AND CLASS
|
NUMBER OF SHARES |
The Hartford Quality Bond Fund | |
Class A | 125,000,000 |
Class C | 75,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
Hartford Real Total Return Fund | |
Class A | 125,000,000 |
Class C | 75,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
The Hartford Short Duration Fund | |
Class A | 125,000,000 |
Class B | 75,000,000 |
Class C | 50,000,000 |
Class F | 50,000,000 |
Class I | 200,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
C:
- 13 - |
SERIES AND CLASS
|
NUMBER OF SHARES |
Hartford Small Cap Value Fund | |
Class A | 200,000,000 |
Class B | 200,000,000 |
Class C | 200,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 200,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
The Hartford Small Company Fund | |
Class A | 125,000,000 |
Class B | 75,000,000 |
Class C | 50,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 50,000,000 |
The Hartford Strategic Income Fund | |
Class A | 200,000,000 |
Class B | 200,000,000 |
Class C | 200,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 100,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 50,000,000 |
C:
- 14 - |
SERIES AND CLASS
|
NUMBER OF SHARES |
The Hartford Total Return Bond Fund | |
Class A | 125,000,000 |
Class B | 75,000,000 |
Class C | 50,000,000 |
Class F | 200,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 400,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 50,000,000 |
The Hartford Unconstrained Bond Fund | |
Class A | 125,000,000 |
Class B | 75,000,000 |
Class C | 50,000,000 |
Class F | 50,000,000 |
Class I | 50,000,000 |
Class T | 50,000,000 |
Class Y | 50,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 10,000,000 |
The Hartford World Bond Fund | |
Class A | 125,000,000 |
Class C | 75,000,000 |
Class F | 250,000,000 |
Class I | 600,000,000 |
Class T | 50,000,000 |
Class Y | 150,000,000 |
Class R3 | 50,000,000 |
Class R4 | 50,000,000 |
Class R5 | 50,000,000 |
Class R6 | 50,000,000 |
C:
- 15 - |
THIRD: The shares of Common Stock described in Article FIRST above have been classified 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 officer of the Corporation acknowledges these Articles Supplementary to be the corporate act of the Corporation and, as to all matters or facts required to be verified under oath, the undersigned officer 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.
C:
- 16 - |
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 Secretary as of the 13th day of November, 2018.
ATTEST: | THE HARTFORD MUTUAL FUNDS, INC. |
/s/ Thomas R. Phillips | By: | /s/ Walter F. Garger | |
Thomas R. Phillips | Walter F. Garger | ||
Secretary | Vice President |
C:
- 17 - |