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As Of Filer Filing For·On·As Docs:Size Issuer Agent 2/20/07 Liberty Stein Roe Advisor Trust N-8F 1:68K RR Donnelley/FA |
Document/Exhibit Description Pages Size 1: N-8F Liberty-Stein Roe Advisor Trust HTML 62K
| Liberty-Stein Roe Advisor Trust |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-8F
| I. | General Identifying Information |
| 1. | Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1): |
| x | Merger |
| ¨ | Liquidation |
| ¨ | Abandonment of Registration |
(Note: Abandonments of Registration answer only questions 1 through 15, 24 and 25 of this form and complete verification at the end of the form.)
| ¨ | Election of status as a Business Development Company |
(Note: Business Development Companies answer only questions 1 through 10 of this form and complete verification at the end of the form.)
| 2. | Name of fund: LIBERTY-STEIN ROE ADVISOR TRUST (the “Fund”) |
| 3. | Securities and Exchange Commission File Nos. 33-17255; 811-07955 |
| 4. | Is this an initial Form N-8F or an amendment to a previously filed Form N-8F? |
| x | Initial Application | ¨ | Amendment |
| 5. | Address of Principal Executive Office (include No. & Street, City, State, Zip Code): |
One Financial Center
| 6. | Name, address and telephone number of individual the Commission staff should contact with any questions regarding this form: |
| Brian D. McCabe, Esquire | Jacob Comer, Esquire | |
| Ropes & Gray LLP | Ropes & Gray LLP | |
| One International Place | One International Place | |
| Boston, MA 02110 | Boston, MA 02110 | |
| (617) 951-7801; or | (617) 951-7913 |
| 7. | Name, address and telephone number of individual or entity responsible for maintenance and preservation of fund records in accordance with rules 31a-1 and 31a-2 under the Act [17 CFR 270.31a-1, .31a-2]: |
NOTE: Once deregistered, a fund is still required to maintain and preserve the records described in rules 31a-1 and 31a-2 for the periods specified in those rules.
| (a) | Columbia Management Advisors, LLC, 100 Federal Street, Boston, MA 02111, (800) 892-1127 (records relating to its function as investment adviser, administrator and pricing and bookkeeping agent) |
| (b) | Columbia Management Distributors, Inc., One Financial Center, Boston, MA 02111, (617) 772- 3058 (records relating to its function as distributor) |
| (c) | Columbia Management Services, Inc., One Financial Center, Boston, MA 02111, (617) 772-3480 (records relating to its function as shareholder servicing and transfer agent) |
| (d) | State Street Bank and Trust Company, Two Avenue de Lafayette, LCC/4S, Boston, MA 02111, (617) 662-4100 (records relating to its function as custodian) |
| 8. | Classification of fund (check only one): |
| x | Management company; |
| ¨ | Unit investment trust; or |
| ¨ | Face-amount certificate company. |
| 9. | Subclassification if the fund is a management company (check only one): |
| x | Open-end | ¨ | Closed-end |
| 10. | State law under which the fund was organized or formed (e.g., Delaware, Massachusetts): |
Massachusetts
| 11. | Provide the name and address of each investment adviser of the fund (including sub-advisers) during the last five years, even if the fund’s contracts with those advisers have been terminated. |
SteinRoe & Farnham Incorporated
One South Wacker Dr.
| 12. | Provide the name and address of each principal underwriter of the fund during the last five years, even if the fund’s contracts with those underwriters have been terminated: |
Liberty Funds Distributor, Inc.
One Financial Center
| 13. | If the fund is a unit investment trust (“UIT”) provide: |
| (a) | Depositor’s name(s) and address(es):. |
| (b) | Trustee’s name(s) and address(es): |
| 14. | Is there a UIT registered under the Act that served as a vehicle for investment in the fund (e.g., an insurance company separate account)? |
| ¨ | Yes | x | No |
If Yes, for each UIT state:
Name(s):
File No.:
Business Address:
| 15. | (a) Did the fund obtain approval from the board of directors concerning the decision to engage in a Merger, Liquidation or Abandonment of Registration? |
| x | Yes | ¨ | No |
If Yes, state the date on which the board vote took place:
February 12-13, 2002, March 8, 2002, and March 13, 2002.
If No, explain:
| (b) | Did the fund obtain approval from the shareholders concerning the decision to engage in a Merger, Liquidation or Abandonment of Registration? |
| x | Yes | ¨ | No |
If Yes, state the date on which the shareholder vote took place:
If No, explain:
| II. | Distributions to Shareholders |
| 16. | Has the fund distributed any assets to its shareholders in connection with the Merger or Liquidation? |
| x | Yes | ¨ | No |
| (a) | If Yes, list the date(s) on which the fund made those distributions: |
| (b) | Were the distributions made on the basis of net assets? |
| x | Yes | ¨ | No |
| (c) | Were the distributions made pro rata based on share ownership? |
| x | Yes | ¨ | No |
| (d) | If No to (b) or (c) above, describe the method of distributions to shareholders. For Mergers, provide the exchange ratio(s) used and explain how it was calculated: |
| (e) | Liquidations only: |
Were any distributions to shareholders made in kind?
| ¨ | Yes | ¨ | No |
If Yes, indicate the percentage of fund shares owned by affiliates, or any other affiliation of shareholders:
| 17. | Closed-end funds only: |
Has the fund issued senior securities?
| ¨ | Yes | ¨ | No |
If Yes, describe the method of calculating payments to senior security holders and distributions to other shareholders:
| 18. | Has the fund distributed all of its assets to the fund’s shareholders? |
| x | Yes | ¨ | No |
If No,
(a) How many shareholders does the fund have as of the date this form is filed?
(b) Describe the relationship of each remaining shareholder to the fund:
| 19. | Are there any shareholders who have not yet received distributions in complete liquidation of their interests? |
| ¨ | Yes | x | No |
If Yes, describe briefly the plans (if any) for distributing to, or preserving the interests of, those shareholders:
| III. | Assets and Liabilities |
| 20. | Does the fund have any assets as of the date this form is filed? |
(See question 18 above)
| ¨ | Yes | x | No |
If Yes,
(a) Describe the type and amount of each asset retained by the fund as of the date this form is filed:
(b) Why has the fund retained the remaining assets?
(c) Will the remaining assets be invested in securities?
| ¨ | Yes | ¨ | No |
| 21. | Does the fund have any outstanding debts (other than face-amount certificates if the fund is a face-amount certificate company) or any other liabilities? |
| ¨ | Yes | x | No |
If Yes,
| (a) | Describe the type and amount of each debt or other liability: |
| (b) | How does the fund intend to pay these outstanding debts or other liabilities? |
| IV. | Information About Event(s) Leading to Request For Deregistration |
| 22. | (a) List the expenses incurred in connection with the Merger or Liquidation: |
| (i) | Legal expenses: $25,000 |
| (ii) | Accounting expenses: $0 |
| (iii) | Other expenses (list and identify separately): |
| Proxy solicitation expenses: $200,630 |
| Brokerage commissions: $0 |
| SEC registration fees: $0 |
| Printing Expenses: $27,200 |
| Audit Expenses: $21,333 |
| (iv) | Total expenses (sum of lines (i)-(iii) above): $ 274,163. |
| (b) | How were those expenses allocated? |
All fees and expenses related to the Merger were allocated to the Fund’s investment adviser.
| (c) | Who paid those expenses? |
The Fund’s investment adviser paid those expenses.
| (d) | How did the fund pay for unamortized expenses (if any)? |
There were no unamortized expenses.
| 23. | Has the fund previously filed an application for an order of the Commission regarding the Merger or Liquidation? |
| ¨ | Yes | x | No |
If Yes, cite the release numbers of the Commission’s notice and order or, if no notice or order has been issued, the file number and date the application was filed:
| V. | Conclusion of Fund Business |
| 24. | Is the fund a party to any litigation or administrative proceeding? |
| ¨ | Yes | x | No |
| 25. | Is the fund now engaged, or intending to engage, in any business activities other than those necessary for winding up its affairs? |
| ¨ | Yes | x | No |
If Yes, describe the nature and extent of those activities:
| VI. | Mergers Only |
| 26. | (a) State the name of the fund surviving the Merger: |
| Target fund: |
Survivor Fund: | |
| Liberty Young Investor Fund, | Stein Roe Young Investor Fund, | |
| a series of Liberty-Stein Roe Advisor Trust | a series of Liberty-Stein-Roe Funds Investment Trust |
| (b) | State the Investment Company Act file number of the fund surviving the Merger: |
File no. 811-04978
| (c) | If the merger or reorganization agreement has been filed with the Commission, state the file number(s), form type used and date the agreement was filed: |
Form N-14, file no. 333-85040, filed March 27, 2002, as amended April 25, 2002.
| (d) | If the merger or reorganization agreement has not been filed with the Commission, provide a copy of the agreement as an exhibit to this form. |
VERIFICATION
The undersigned states that (i) he has executed this Form N-8F application for an order under section 8(f) of the Investment Company Act of 1940 on behalf of Liberty-Stein Roe Advisor Trust, (ii) he is the Treasurer of Liberty-Stein Roe Advisor Trust, and (iii) all actions by shareholders, directors, and any other body necessary to authorize the undersigned to execute and file this Form N-8F application have been taken. The undersigned also states that the facts set forth in this Form N-8F application are true to the best of his knowledge, information and belief.
| J. Kevin Connaughton |
| Treasurer |
| This ‘N-8F’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 2/20/07 | None on these Dates | ||
| 7/27/02 | ||||
| 6/28/02 | ||||
| 4/25/02 | ||||
| 3/27/02 | ||||
| 3/13/02 | ||||
| 3/8/02 | ||||
| List all Filings | ||||