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Hartford Mutual Funds Inc/CT, et al. – ‘485BPOS’ on 8/30/07 – EX-99.A(XVI)

On:  Thursday, 8/30/07, at 5:01pm ET   ·   Effective:  8/31/07   ·   Accession #:  950135-7-5432   ·   File #s:  333-02381, 811-07589

Previous ‘485BPOS’:  ‘485BPOS’ on 5/30/07   ·   Next:  ‘485BPOS’ on 11/29/07   ·   Latest:  ‘485BPOS’ on 2/28/24   ·   2 References:   

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

 8/30/07  Hartford Mutual Funds Inc/CT      485BPOS     8/31/07    7:242K                                   Bowne of Boston/FAThe Hartford Strategic Income Fund Class Y (HSNYX)

Post-Effective Amendment
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 485BPOS     The Hartford Mutual Funds, Inc.                       97    469K 
 2: EX-99.A(XVI)  EX-99.A(XVI) Articles Supplementary Dated August     9     33K 
                          15, 2007                                               
 3: EX-99.A(XVII)  EX-99.A(XVII) Articles of Amendment Dated           2±     9K 
                          August 15, 2007                                        
 4: EX-99.A(XVIII)  EX-99.A(XVIII) Articles of Amendment Dated         2±     9K 
                          August 15, 2007                                        
 5: EX-99.D(XLII)  EX-99.D(XLII) Amendment #10                         1      7K 
 6: EX-99.I     EX-99.I Opinion and Consent of Counsel                 1      9K 
 7: EX-99.P(VIII)  EX-99.P(VIII) Code of Ethics                       14     49K 


EX-99.A(XVI)   —   EX-99.A(XVI) Articles Supplementary Dated August 15, 2007

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ARTICLES SUPPLEMENTARY OF THE HARTFORD MUTUAL FUNDS, INC. The Hartford Mutual Funds, Inc. (the "Corporation"), a corporation organized and existing under the laws of the State of Maryland, does hereby certify to the State Department of Assessments and Taxation of Maryland that: FIRST: The Corporation currently has the authority to issue thirty-five billion, forty-five million (35,045,000,000) shares of $0.001 par value common stock, having an aggregate par value of thirty-five million forty-five thousand dollars ($35,045,000), as listed below: [Enlarge/Download Table] Class A Class B Class C Class I Class Y Series Shares Shares Shares Shares Shares ------ ------------- ----------- ----------- ----------- ----------- The Hartford Advisers Fund 375,000,000 175,000,000 110,000,000 -- 100,000,000 The Hartford Balanced Income Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Capital Appreciation Fund 570,000,000 175,000,000 220,000,000 50,000,000 50,000,000 The Hartford Capital Appreciation II Fund 200,000,000 200,000,000 200,000,000 50,000,000 200,000,000 The Hartford Capital Preservation Fund 285,000,000 75,000,000 200,000,000 -- 100,000,000 The Hartford Checks and Balances Fund 200,000,000 200,000,000 200,000,000 -- -- The Hartford Disciplined Equity Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Dividend and Growth Fund 325,000,000 75,000,000 50,000,000 50,000,000 50,000,000 The Hartford Equity Income Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000 The Hartford Floating Rate Fund 800,000,000 200,000,000 800,000,000 250,000,000 200,000,000 The Hartford Focus Growth Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Fundamental Growth Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Global Communications Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Global Financial Services Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Global Growth Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Global Health Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000 The Hartford Global Technology Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford High Yield Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000
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[Enlarge/Download Table] Class A Class B Class C Class I Class Y Series Shares Shares Shares Shares Shares ------ ------------- ----------- ----------- ----------- ----------- The Hartford High Yield Municipal Bond Fund 200,000,000 200,000,000 200,000,000 50,000,000 -- The Hartford Income Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Inflation Plus Fund 155,000,000 105,000,000 90,000,000 50,000,000 50,000,000 The Hartford International Growth Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000 The Hartford International Opportunities Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford International Small Company Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000 The Hartford LargeCap Growth Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford MidCap Fund 225,000,000 75,000,000 110,000,000 -- 50,000,000 The Hartford MidCap Growth Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford MidCap Value Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Money Market Fund 1,200,000,000 500,000,000 500,000,000 -- 500,000,000 The Hartford Principal Protection Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Retirement Income Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Select MidCap Growth Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Select MidCap Value Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Select SmallCap Growth Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Select SmallCap Value Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Short Duration Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Small Company Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000 The Hartford Stock Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Strategic Income Fund 200,000,000 200,000,000 200,000,000 50,000,000 -- The Hartford Tax-Free California Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000
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[Enlarge/Download Table] Class A Class B Class C Class I Class Y Series Shares Shares Shares Shares Shares ------ ------------- ----------- ----------- ----------- ----------- The Hartford Tax-Free New York Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Target Retirement 2010 Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Target Retirement 2020 Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Target Retirement 2030 Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Total Return Bond Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000 The Hartford Value Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000 [Enlarge/Download Table] Class A Class B Class C Class D Class I Class Y Series Shares Shares Shares Shares Shares Shares ------ ----------- ---------- ---------- ----------- ---------- ---------- The Hartford Equity Growth Allocation Fund 100,000,000 50,000,000 50,000,000 50,000,000 50,000,000 50,000,000 The Hartford Growth Allocation Fund 100,000,000 50,000,000 50,000,000 50,000,000 50,000,000 50,000,000 The Hartford Balanced Allocation Fund 100,000,000 50,000,000 50,000,000 50,000,000 50,000,000 50,000,000 The Hartford Conservative Allocation Fund 100,000,000 50,000,000 50,000,000 50,000,000 50,000,000 50,000,000 The Hartford Income Allocation Fund 100,000,000 50,000,000 50,000,000 50,000,000 50,000,000 50,000,000 [Enlarge/Download Table] Class A Class B Class C Class D Class I Class Y Series Shares Shares Shares Shares Shares Shares ------ ----------- ---------- ---------- ----------- ---------- ---------- The Hartford DCA Money Fund Series I 300,000,000 The Hartford DCA Money Fund Series II 300,000,000 The Hartford DCA Money Fund Series III 300,000,000 The Hartford DCA Money Fund Series IV 300,000,000 The Hartford DCA Money Fund Series V 300,000,000
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[Download Table] Class R3 Class R4 Class R5 Series Shares Shares Shares ------ ---------- ---------- ---------- The Hartford Advisers Fund 50,000,000 50,000,000 50,000,000 The Hartford Capital Appreciation Fund 50,000,000 50,000,000 50,000,000 The Hartford Capital Appreciation II Fund 50,000,000 50,000,000 50,000,000 The Hartford Disciplined Equity Fund 50,000,000 50,000,000 50,000,000 The Hartford Dividend and Growth Fund 50,000,000 50,000,000 50,000,000 The Hartford Equity Income Fund 50,000,000 50,000,000 50,000,000 The Hartford Floating Rate Fund 50,000,000 50,000,000 50,000,000 The Hartford Global Health Fund 50,000,000 50,000,000 50,000,000 The Hartford Global Leaders Fund 50,000,000 50,000,000 50,000,000 The Hartford High Yield Fund 50,000,000 50,000,000 50,000,000 The Hartford Inflation Plus Fund 50,000,000 50,000,000 50,000,000 The Hartford International Capital Appreciation Fund 50,000,000 50,000,000 50,000,000 The Hartford International Opportunities Fund 50,000,000 50,000,000 50,000,000 The Hartford Money Market Fund 50,000,000 50,000,000 50,000,000 The Hartford Small Company Fund 50,000,000 50,000,000 50,000,000 The Hartford Stock Fund 50,000,000 50,000,000 50,000,000 The Hartford Total Return Bond Fund 50,000,000 50,000,000 50,000,000 The Hartford Value Fund 50,000,000 50,000,000 50,000,000 The Hartford Retirement Income Fund 50,000,000 50,000,000 50,000,000 The Hartford Target Retirement 2010 Fund 50,000,000 50,000,000 50,000,000 The Hartford Target Retirement 2020 Fund 50,000,000 50,000,000 50,000,000 The Hartford Target Retirement 2030 Fund 50,000,000 50,000,000 50,000,000 The Hartford Equity Growth Allocation Fund 50,000,000 50,000,000 50,000,000 The Hartford Growth Allocation Fund 50,000,000 50,000,000 50,000,000 The Hartford Balanced Allocation Fund 50,000,000 50,000,000 50,000,000 The Hartford Conservative Allocation Fund 50,000,000 50,000,000 50,000,000 The Hartford Income Allocation Fund 50,000,000 50,000,000 50,000,000 SECOND: Pursuant to the authority expressly vested in the Board of Directors of the Corporation (the "Board") by Article IV of the Corporation's charter and in accordance with Sections 2-208 and 2-208.1 of the Maryland General Corporation Law, the Board has duly authorized an increase in the Corporation's authorized shares of $0.001 par value common stock to thirty-five billion, one hundred forty-five million (35,145,000,000) shares, with an aggregate par value of thirty five million one hundred forty-five thousand dollars ($35,145,000), as classified below:
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[Enlarge/Download Table] Class A Class B Class C Class I Class Y Series Shares Shares Shares Shares Shares ------ ------------- ----------- ----------- ----------- ----------- The Hartford Advisers Fund 375,000,000 175,000,000 110,000,000 -- 100,000,000 The Hartford Balanced Income Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Capital Appreciation Fund 570,000,000 175,000,000 220,000,000 50,000,000 50,000,000 The Hartford Capital Appreciation II Fund 200,000,000 200,000,000 200,000,000 50,000,000 200,000,000 The Hartford Capital Preservation Fund 285,000,000 75,000,000 200,000,000 -- 100,000,000 The Hartford Checks and Balances Fund 200,000,000 200,000,000 200,000,000 -- -- The Hartford Disciplined Equity Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Dividend and Growth Fund 325,000,000 75,000,000 50,000,000 50,000,000 50,000,000 The Hartford Equity Income Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000 The Hartford Floating Rate Fund 800,000,000 200,000,000 800,000,000 250,000,000 200,000,000 The Hartford Focus Growth Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Fundamental Growth Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Global Communications Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Global Financial Services Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Global Growth Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Global Health Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000 The Hartford Global Technology Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford High Yield Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000 The Hartford High Yield Municipal Bond Fund 200,000,000 200,000,000 200,000,000 50,000,000 -- The Hartford Income Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Inflation Plus Fund 155,000,000 105,000,000 90,000,000 50,000,000 50,000,000 The Hartford International Growth Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000 The Hartford International Opportunities Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford International Small Company Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000
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[Enlarge/Download Table] Class A Class B Class C Class I Class Y Series Shares Shares Shares Shares Shares ------ ------------- ----------- ----------- ----------- ----------- The Hartford LargeCap Growth Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford MidCap Fund 225,000,000 75,000,000 110,000,000 -- 50,000,000 The Hartford MidCap Growth Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford MidCap Value Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Money Market Fund 1,200,000,000 500,000,000 500,000,000 -- 500,000,000 The Hartford Principal Protection Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Retirement Income Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Select MidCap Growth Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Select MidCap Value Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Select SmallCap Growth Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Select SmallCap Value Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Short Duration Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Small Company Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000 The Hartford Stock Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 THE HARTFORD STRATEGIC INCOME FUND 200,000,000 200,000,000 200,000,000 50,000,000 50,000,000 The Hartford Tax-Free California Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Tax-Free New York Fund 125,000,000 75,000,000 50,000,000 -- 50,000,000 The Hartford Target Retirement 2010 Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Target Retirement 2020 Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 The Hartford Target Retirement 2030 Fund 200,000,000 200,000,000 200,000,000 -- 200,000,000 THE HARTFORD TOTAL RETURN BOND FUND 125,000,000 75,000,000 50,000,000 50,000,000 100,000,000 The Hartford Value Fund 125,000,000 75,000,000 50,000,000 50,000,000 50,000,000
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[Enlarge/Download Table] Class A Class B Class C Class D Class I Class Y Series Shares Shares Shares Shares Shares Shares ------ ----------- ---------- ---------- ----------- ---------- ---------- The Hartford Equity Growth Allocation Fund 100,000,000 50,000,000 50,000,000 50,000,000 50,000,000 50,000,000 The Hartford Growth Allocation Fund 100,000,000 50,000,000 50,000,000 50,000,000 50,000,000 50,000,000 The Hartford Balanced Allocation Fund 100,000,000 50,000,000 50,000,000 50,000,000 50,000,000 50,000,000 The Hartford Conservative Allocation Fund 100,000,000 50,000,000 50,000,000 50,000,000 50,000,000 50,000,000 The Hartford Income Allocation Fund 100,000,000 50,000,000 50,000,000 50,000,000 50,000,000 50,000,000 The Hartford DCA Money Fund Series I 300,000,000 The Hartford DCA Money Fund Series II 300,000,000 The Hartford DCA Money Fund Series III 300,000,000 The Hartford DCA Money Fund Series IV 300,000,000 The Hartford DCA Money Fund Series V 300,000,000 [Download Table] Class R3 Class R4 Class R5 Series Shares Shares Shares ------ ---------- ---------- ---------- The Hartford Advisers Fund 50,000,000 50,000,000 50,000,000 The Hartford Capital Appreciation Fund 50,000,000 50,000,000 50,000,000 The Hartford Capital Appreciation II Fund 50,000,000 50,000,000 50,000,000 The Hartford Disciplined Equity Fund 50,000,000 50,000,000 50,000,000 The Hartford Dividend and Growth Fund 50,000,000 50,000,000 50,000,000 The Hartford Equity Income Fund 50,000,000 50,000,000 50,000,000 The Hartford Floating Rate Fund 50,000,000 50,000,000 50,000,000 The Hartford Global Health Fund 50,000,000 50,000,000 50,000,000 The Hartford Global Leaders Fund 50,000,000 50,000,000 50,000,000 The Hartford High Yield Fund 50,000,000 50,000,000 50,000,000 The Hartford Inflation Plus Fund 50,000,000 50,000,000 50,000,000 The Hartford International Capital Appreciation Fund 50,000,000 50,000,000 50,000,000 The Hartford International Opportunities Fund 50,000,000 50,000,000 50,000,000 The Hartford Money Market Fund 50,000,000 50,000,000 50,000,000 The Hartford Small Company Fund 50,000,000 50,000,000 50,000,000 The Hartford Stock Fund 50,000,000 50,000,000 50,000,000 The Hartford Total Return Bond Fund 50,000,000 50,000,000 50,000,000 The Hartford Value Fund 50,000,000 50,000,000 50,000,000 The Hartford Retirement Income Fund 50,000,000 50,000,000 50,000,000 The Hartford Target Retirement 2010 Fund 50,000,000 50,000,000 50,000,000 The Hartford Target Retirement 2020 Fund 50,000,000 50,000,000 50,000,000
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[Download Table] Class R3 Class R4 Class R5 Series Shares Shares Shares ------ ---------- ---------- ---------- The Hartford Target Retirement 2030 Fund 50,000,000 50,000,000 50,000,000 The Hartford Equity Growth Allocation Fund 50,000,000 50,000,000 50,000,000 The Hartford Growth Allocation Fund 50,000,000 50,000,000 50,000,000 The Hartford Balanced Allocation Fund 50,000,000 50,000,000 50,000,000 The Hartford Conservative Allocation Fund 50,000,000 50,000,000 50,000,000 The Hartford Income Allocation Fund 50,000,000 50,000,000 50,000,000 THIRD: Shares of the Corporation's Class A, B, C, D, I, R3, R4, R5 and Y common stock shall have all the rights, preferences and privileges as set forth in the Corporation's charter and as set forth in the Corporation's current prospectuses, statements of additional information and multiple class plan. FOURTH: The Corporation is registered as an open-end investment company under the Investment Company Act of 1940, as amended. FIFTH: At a meeting on August 8, 2007 and in accordance with Section 2-105(c) of the Maryland General Corporation Law, the Board authorized the increase in the total number of shares of capital stock that the Corporation has authority to issue, in order to allocate additional Class Y Shares to existing series of THE HARTFORD STRATEGIC INCOME FUND AND THE HARTFORD TOTAL RETURN BOND FUND.
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IN WITNESS WHEREOF, The Hartford Mutual Funds, Inc. has caused these Articles Supplementary to be duly executed by Edward P. Macdonald, its Vice President, and attested to by Jill G. Powilatis, its Assistant Secretary, this 15th day of August 2007. THE HARTFORD MUTUAL FUNDS, INC. By: /s/ Edward P. Macdonald --------------------------- Edward P. Macdonald Vice President Attest: /s/ Jill G. Powilatis --------------------- Jill G. Powilatis Assistant Secretary I, Edward P. Macdonald, Vice President of The Hartford Mutual Funds, Inc., hereby acknowledge, in the name and on behalf of said corporation, the foregoing Articles Supplementary to be the corporate act of said corporation and I further certify that, to the best of my knowledge, information, and belief, these matters and facts are true in all material respects, under the penalties of perjury. /s/ Edward P. Macdonald ------------------------------- Edward P. Macdonald Vice President

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘485BPOS’ Filing    Date First  Last      Other Filings
Effective on:8/31/07497
Filed on:8/30/07N-PX
8/8/078
 List all Filings 


2 Subsequent Filings that Reference this Filing

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

 1/07/08  Hartford Mutual Funds Inc./CT     NSAR-B/A   10/31/07    7:279K                                   Toppan Merrill NSAR/FA
12/28/07  Hartford Mutual Funds Inc./CT     NSAR-B     10/31/07    7:279K                                   Toppan Merrill NSAR/FA
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