Post-Effective Amendment
Filing Table of Contents
Document/Exhibit Description Pages Size
1: 485BPOS The Hartford Mutual Funds, Inc. 215 961K
2: EX-99.A(XXII) Articles Supplementary Dated September 14, 2007 8 40K
4: EX-99.D(XLIV) Amendment No. 11 Investment Services Agreement 1 8K
With Hartford Investment Management
Company
3: EX-99.D(XXI) Amendment No. 20 to Investment Management 1 8K
Agreement
5: EX-99.E(XIX) Amendment No. 16 to Principal Underwriting 1 7K
Agreement
6: EX-99.H(XIV) Ninth Amendment to the Fund Accounting 3 11K
Agreement, November 30, 2007
7: EX-99.I Opinion and Consent of Counsel 1 9K
8: EX-99.M Amended and Restated Rule 12B-1 Distribution Plan 8 47K
9: EX-99.N Multiple Class Plan Pursuant to Rule 18F-3 5 25K
10: EX-99.P(I) Code of Ethics 20 58K
EX-99.M — Amended and Restated Rule 12B-1 Distribution Plan
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EXHIBIT M
THE HARTFORD MUTUAL FUNDS, INC.
AMENDED AND RESTATED
DISTRIBUTION PLAN
CLASS A, B, C, R3, R4 AND R5 SHARES
ARTICLE I. THE PLAN
This Amended and Restated Distribution Plan (the "Plan") sets forth the terms
and conditions on which The Hartford Mutual Funds, Inc. (the "Company"), on
behalf of each series of the Company (each a "Fund" and together the "Funds")
will pay certain amounts to Hartford Investment Financial Services, LLC (the
"Distributor") in connection with the provision by the Distributor, of certain
services to the Funds, as set forth herein. Certain of such payments by a Fund
may, under Rule 12b-1 (the "Rule") under the Investment Company Act of 1940, as
amended (the "Act"), be deemed to constitute the financing of distribution by a
Fund. This Plan describes all material aspects of such financing as contemplated
by the Rule and shall be administered and interpreted, and implemented and
continued, in a manner consistent with the Rule. The Fund and each Class of
those Funds that currently have adopted this Plan, and the effective dates of
such adoption, are as follows:
[Download Table]
SERIES CLASS EFFECTIVE DATE
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The Hartford Advisers Fund A July 22, 1996
The Hartford Advisers Fund B July 22, 1996
The Hartford Advisers Fund C July 31, 1998
The Hartford Balanced Allocation Fund A May 19, 2004
The Hartford Balanced Allocation Fund B May 19, 2004
The Hartford Balanced Allocation Fund C May 19, 2004
The Hartford Balanced Income Fund A May 10, 2006
The Hartford Balanced Income Fund B May 10, 2006
The Hartford Balanced Income Fund C May 10, 2006
The Hartford Capital Appreciation Fund A July 22, 1996
The Hartford Capital Appreciation Fund B July 22, 1996
The Hartford Capital Appreciation Fund C July 31, 1998
The Hartford Capital Appreciation Fund R3 August 2, 2006
The Hartford Capital Appreciation Fund R4 August 2, 2006
The Hartford Capital Appreciation Fund R5 August 2, 2006
The Hartford Capital Appreciation II Fund A April 29, 2005
The Hartford Capital Appreciation II Fund B April 29, 2005
The Hartford Capital Appreciation II Fund C April 29, 2005
The Hartford Capital Appreciation II Fund R3 August 2, 2006
The Hartford Capital Appreciation II Fund R4 August 2, 2006
The Hartford Capital Appreciation II Fund R5 August 2, 2006
The Hartford Checks and Balances Fund A May 31, 2007
The Hartford Checks and Balances Fund B May 31, 2007
The Hartford Checks and Balances Fund C May 31, 2007
The Hartford Conservative Allocation Fund A May 19, 2004
The Hartford Conservative Allocation Fund B May 19, 2004
[Download Table]
The Hartford Conservative Allocation Fund C May 19, 2004
The Hartford Disciplined Equity Fund A April 30, 1998
The Hartford Disciplined Equity Fund B April 30, 1998
The Hartford Disciplined Equity Fund C July 31, 1998
The Hartford Disciplined Equity Fund R3 August 2, 2006
The Hartford Disciplined Equity Fund R4 August 2, 2006
The Hartford Disciplined Equity Fund R5 August 2, 2006
The Hartford Dividend and Growth Fund A July 22, 1996
The Hartford Dividend and Growth Fund B July 22, 1996
The Hartford Dividend and Growth Fund C July 31, 1998
The Hartford Dividend and Growth Fund R3 August 2, 2006
The Hartford Dividend and Growth Fund R4 August 2, 2006
The Hartford Dividend and Growth Fund R5 August 2, 2006
The Hartford Equity Growth Allocation Fund, A May 19, 2004
(formerly The Hartford Aggressive Growth Allocation Fund)
The Hartford Equity Growth Allocation Fund, B May 19, 2004
(formerly The Hartford Aggressive Growth Allocation Fund)
The Hartford Equity Growth Allocation Fund, C May 19, 2004
(formerly The Hartford Aggressive Growth Allocation Fund)
The Hartford Equity Income Fund A August 28, 2003
The Hartford Equity Income Fund B August 28, 2003
The Hartford Equity Income Fund C August 28, 2003
The Hartford Equity Income Fund R3 August 2, 2006
The Hartford Equity Income Fund R4 August 2, 2006
The Hartford Equity Income Fund R5 August 2, 2006
The Hartford Floating Rate Fund A April 29, 2005
The Hartford Floating Rate Fund B April 29, 2005
The Hartford Floating Rate Fund C April 29, 2005
The Hartford Fundamental Growth Fund, A April 30, 2001
(formerly The Hartford Focus Fund)
The Hartford Fundamental Growth Fund , B April 30, 2001
formerly The Hartford Focus Fund)
The Hartford Fundamental Growth Fund , C April 30, 2001
(formerly The Hartford Focus Fund)
The Hartford Global Communications Fund A October 30, 2000
The Hartford Global Communications Fund B October 30, 2000
The Hartford Global Communications Fund C October 30, 2000
The Hartford Global Enhanced Dividend Fund A November 30, 2007
The Hartford Global Enhanced Dividend Fund B November 30, 2007
The Hartford Global Enhanced Dividend Fund C November 30, 2007
The Hartford Global Enhanced Dividend Fund R3 November 30, 2007
The Hartford Global Enhanced Dividend Fund R4 November 30, 2007
The Hartford Global Enhanced Dividend Fund R5 November 30, 2007
[Download Table]
The Hartford Global Financial Services Fund A October 30, 2000
The Hartford Global Financial Services Fund B October 30, 2000
The Hartford Global Financial Services Fund C October 30, 2000
The Hartford Global Growth Fund, A September 30, 1998
(formerly The Hartford Global Leaders Fund)
The Hartford Global Growth Fund, B September 30, 1998
(formerly The Hartford Global Leaders Fund)
The Hartford Global Growth Fund, C September 30, 1998
(formerly The Hartford Global Leaders Fund)
The Hartford Global Growth Fund, R3 August 2, 2006
(formerly The Hartford Global Leaders Fund)
The Hartford Global Growth Fund, R4 August 2, 2006
(formerly The Hartford Global Leaders Fund)
The Hartford Global Growth Fund, R5 August 2, 2006
(formerly The Hartford Global Leaders Fund)
The Hartford Global Health Fund A April 27, 2000
The Hartford Global Health Fund B April 27, 2000
The Hartford Global Health Fund C April 27, 2000
The Hartford Global Health Fund R3 August 2, 2006
The Hartford Global Health Fund R4 August 2, 2006
The Hartford Global Health Fund R5 August 2, 2006
The Hartford Global Technology Fund A April 27, 2000
The Hartford Global Technology Fund B April 27, 2000
The Hartford Global Technology Fund C April 27, 2000
The Hartford Growth Allocation Fund A May 19, 2004
The Hartford Growth Allocation Fund B May 19, 2004
The Hartford Growth Allocation Fund C May 19, 2004
The Hartford High Yield Fund A September 30, 1998
The Hartford High Yield Fund B September 30, 1998
The Hartford High Yield Fund C September 30, 1998
The Hartford High Yield Municipal Bond Fund A May 31, 2007
The Hartford High Yield Municipal Bond Fund B May 31, 2007
The Hartford High Yield Municipal Bond Fund C May 31, 2007
The Hartford Income Fund A October 31, 2002
The Hartford Income Fund B October 31, 2002
The Hartford Income Fund C October 31, 2002
The Hartford Income Allocation Fund A May 19, 2004
The Hartford Income Allocation Fund B May 19, 2004
The Hartford Income Allocation Fund C May 19, 2004
The Hartford Inflation Plus Fund A October 31, 2002
The Hartford Inflation Plus Fund B October 31, 2002
The Hartford Inflation Plus Fund C October 31, 2002
[Enlarge/Download Table]
The Hartford International Growth Fund, A April 30, 2001
(formerly The Hartford International Capital Appreciation Fund)
The Hartford International Growth Fund, B April 30, 2001
(formerly The Hartford International Capital Appreciation Fund)
The Hartford International Growth Fund, C April 30, 2001
(formerly The Hartford International Capital Appreciation Fund)
The Hartford International Growth Fund, R3 August 2, 2006
(formerly The Hartford International Capital Appreciation Fund)
The Hartford International Growth Fund, R4 August 2, 2006
(formerly The Hartford International Capital Appreciation Fund)
The Hartford International Growth Fund, R5 August 2, 2006
(formerly The Hartford International Capital Appreciation Fund)
The Hartford International Opportunities Fund A July 22, 1996
The Hartford International Opportunities Fund B July 22, 1996
The Hartford International Opportunities Fund C July 31, 1998
The Hartford International Opportunities Fund R3 August 2, 2006
The Hartford International Opportunities Fund R4 August 2, 2006
The Hartford International Opportunities Fund R5 August 2, 2006
The Hartford International Small Company Fund A April 30, 2001
The Hartford International Small Company Fund B April 30, 2001
The Hartford International Small Company Fund C April 30, 2001
The Hartford LargeCap Growth Fund A November 30, 2006
The Hartford LargeCap Growth Fund B November 30, 2006
The Hartford LargeCap Growth Fund C November 30, 2006
The Hartford MidCap Fund A July 22, 1996
The Hartford MidCap Fund B July 22, 1996
The Hartford MidCap Fund C July 31, 1998
The Hartford MidCap Growth Fund A February 8, 2006
The Hartford MidCap Growth Fund B February 8, 2006
The Hartford MidCap Growth Fund C February 8, 2006
The Hartford MidCap Value Fund A April 30, 2001
The Hartford MidCap Value Fund B April 30, 2001
The Hartford MidCap Value Fund C April 30, 2001
The Hartford Money Market Fund A July 22, 1996
The Hartford Money Market Fund B July 22, 1996
The Hartford Money Market Fund C July 31, 1998
The Hartford Retirement Income Fund A September 30, 2005
The Hartford Retirement Income Fund B September 30, 2005
The Hartford Retirement Income Fund C September 30, 2005
The Hartford Retirement Income Fund R3 August 2, 2006
The Hartford Retirement Income Fund R4 August 2, 2006
The Hartford Retirement Income Fund R5 August 2, 2006
[Download Table]
The Hartford Select MidCap Growth Fund A December 31, 2004
The Hartford Select MidCap Growth Fund B December 31, 2004
The Hartford Select MidCap Growth Fund C December 31, 2004
The Hartford Select MidCap Value Fund A April 29, 2005
The Hartford Select MidCap Value Fund B April 29, 2005
The Hartford Select MidCap Value Fund C April 29, 2005
The Hartford Select SmallCap Value Fund A February 8, 2006
The Hartford Select SmallCap Value Fund B February 8, 2006
The Hartford Select SmallCap Value Fund C February 8, 2006
The Hartford Short Duration Fund A October 31, 2002
The Hartford Short Duration Fund B October 31, 2002
The Hartford Short Duration Fund C October 31, 2002
The Hartford Small Company Fund A July 22, 1996
The Hartford Small Company Fund B July 22, 1996
The Hartford Small Company Fund C July 31, 1998
The Hartford Small Company Fund R3 August 2, 2006
The Hartford Small Company Fund R4 August 2, 2006
The Hartford Small Company Fund R5 August 2, 2006
The Hartford Stock Fund A July 22, 1996
The Hartford Stock Fund B July 22, 1996
The Hartford Stock Fund C July 31, 1998
The Hartford Strategic Income Fund A May 31, 2007
The Hartford Strategic Income Fund B May 31, 2007
The Hartford Strategic Income Fund C May 31, 2007
The Hartford Target Retirement 2010 Fund A September 30, 2005
The Hartford Target Retirement 2010 Fund B September 30, 2005
The Hartford Target Retirement 2010 Fund C September 30, 2005
The Hartford Target Retirement 2010 Fund R3 August 2, 2006
The Hartford Target Retirement 2010 Fund R4 August 2, 2006
The Hartford Target Retirement 2010 Fund R5 August 2, 2006
The Hartford Target Retirement 2020 Fund A September 30, 2005
The Hartford Target Retirement 2020 Fund B September 30, 2005
The Hartford Target Retirement 2020 Fund C September 30, 2005
The Hartford Target Retirement 2020 Fund R3 May 10, 2006
The Hartford Target Retirement 2020 Fund R4 May 10, 2006
The Hartford Target Retirement 2020 Fund R5 May 10, 2006
The Hartford Target Retirement 2030 Fund A September 30, 2005
The Hartford Target Retirement 2030 Fund B September 30, 2005
The Hartford Target Retirement 2030 Fund C September 30, 2005
The Hartford Target Retirement 2030 Fund R3 August 2, 2006
The Hartford Target Retirement 2030 Fund R4 August 2, 2006
The Hartford Target Retirement 2030 Fund R5 August 2, 2006
[Download Table]
The Hartford Tax-Free California Fund A October 31, 2002
The Hartford Tax-Free California Fund B October 31, 2002
The Hartford Tax-Free California Fund C October 31, 2002
The Hartford Tax-Free New York Fund A October 31, 2002
The Hartford Tax-Free New York Fund B October 31, 2002
The Hartford Tax-Free New York Fund C October 31, 2002
The Hartford Total Return Bond Fund A July 22, 1996
The Hartford Total Return Bond Fund B July 22, 1996
The Hartford Total Return Bond Fund C July 31, 1999
The Hartford Total Return Bond Fund R3 August 2, 2006
The Hartford Total Return Bond Fund R4 August 2, 2006
The Hartford Total Return Bond Fund R5 August 2, 2006
The Hartford Value Fund A April 30, 2001
The Hartford Value Fund B April 30, 2001
The Hartford Value Fund C April 30, 2001
The Hartford Value Fund R3 August 2, 2006
The Hartford Value Fund R4 August 2, 2006
The Hartford Value Fund R5 August 2, 2006
ARTICLE II. DISTRIBUTION AND SERVICE EXPENSES
Each Fund shall pay to the Distributor a fee in the amount specified in Article
III hereof. Such fee may be spent by the Distributor on any activities or
expenses primarily intended to result in the sale of the applicable Class of
shares of the Funds, including, but not limited to the payment of Distribution
Expenses (as defined below) and Service Expenses (as defined below).
Distribution Expenses include, but are not limited to, (a) payment of initial
and ongoing commissions and other payments to brokers, dealers, financial
institutions or others who sell each Fund's shares; (b) compensation to
employees of the Distributor; (c) compensation to and expenses, including
overhead such as communications and telephone, training, supplies, photocopying
and similar types of expenses, of the Distributor incurred in the printing and
mailing or other dissemination of all prospectuses and statements of additional
information; (d) the costs of preparation, printing and mailing of reports used
for sales literature and related expenses, advertisements and other
distribution-related expenses (including personnel of the Distributor).
"Service Expenses" shall mean fees for activities covered by the definition of
"service fee" contained in Article III, Section 26(b) of the Rules of Fair
Practice of the National Association of Securities Dealers, Inc., which provides
that service fees shall mean payments by an investment company for personal
service and/or the maintenance of shareholder accounts.
ARTICLE III. MAXIMUM EXPENDITURES
CLASS A SHARES
The expenditures to be made by each Fund pursuant to this Plan, and the basis
upon which such expenditures will be made, shall be determined by each Fund, and
in no event shall such expenditures exceed 0.35% of the average daily net asset
value of the Class A shares of any Fund (determined in accordance with each
Fund's prospectus as from time to time in effect) on an annual basis to cover
Distribution Expenses and Service Expenses. Up to 0.25% may be used to cover
Service Expenses. All such expenditures shall be calculated and accrued daily
and paid monthly or at such other intervals as the Board of Directors shall
determine.
CLASS B AND C SHARES
The expenditures to be made by each Fund pursuant to this Plan, and the basis
upon which such expenditures will be made, shall be determined by each Fund, and
in no event shall such expenditures exceed 1.00% of the average daily net asset
value of the Class B shares or Class C shares, as applicable, of any Fund
(determined in accordance with each Fund's prospectus as from time to time in
effect) on an annual basis to cover Distribution Expenses and Service Expenses.
Up to 0.25% may be used to cover Service Expenses. All such expenditures shall
be calculated and accrued daily and paid monthly or at such other intervals as
the Board of Directors shall determine.
CLASS R3, R4 and R5 SHARES
The expenditures to be made by each Fund pursuant to this Plan, and the basis
upon which such expenditures will be made, shall be determined by each Fund, and
in no event shall such expenditures exceed 1.00% of the average daily net asset
value of the Class R3 shares or Class R4 shares or Class R5 shares, as
applicable, of any Fund (determined in accordance with each Fund's prospectus as
from time to time in effect) on an annual basis to cover Distribution Expenses
and Service Expenses. Up to 0.25% may be used to cover Service Expenses. All
such expenditures shall be calculated and accrued daily and paid monthly or at
such other intervals as the Board of Directors shall determine.
ARTICLE IV. EXPENSES BORNE BY THE FUNDS
Notwithstanding any other provision of this Plan, the Company, each Fund and its
administrator, may bear the respective expenses to be borne by them under any
administrative services agreement, as from time to time in effect under the
Company's current prospectus. Except as otherwise contemplated by this Plan, the
Company, and each Fund shall not, directly or indirectly, engage in financing
any activity which is primarily intended to or should reasonably result in the
sale of shares of any Fund.
It is recognized that the costs of distributing Fund's shares may exceed the sum
of all sales charges collected on sales of Fund shares. In view of this, if and
to the extent that any investment management and administration fees paid by a
fund might be considered as indirectly financing any activity which is primarily
intended to result in the sale of the Fund's shares, the payment by that Fund of
such fees hereby is authorized under this Plan.
ARTICLE V. APPROVAL BY BOARD OF DIRECTORS, SHAREHOLDERS
This Plan shall not be effective with respect to any class of shares of a Fund
unless: (a) this Plan has been approved by the vote of the majority of the
outstanding voting shares of such class, if this Plan is adopted for such class
after any public offering of the shares of such class or the sale of shares of
such class to persons who are not affiliated persons of the Company, affiliated
persons of such person, a promoter of the Company, or affiliated persons of such
promoters; and (b) this Plan, together with any related agreements, has been
approved for such class, by votes cast in person at a meeting called for the
purpose of voting on this Plan and any such related agreements, of a majority of
both (i) the Directors of the Company and (ii) those directors who are not
"interested persons" of the Company and have no direct or indirect financial
interest in the operation of this Plan or any agreements related to it (the
"Independent Directors").
ARTICLE VI. CONTINUANCE
This Plan and any related agreement shall continue in effect with respect to
each Fund from year to year provided such continuance is specifically approved
at least annually in the manner provided for in Article V, clause (b).
ARTICLE VII. INFORMATION
The Distributor shall provide the Board of Directors and the Board of Directors,
and, in particular, the Independent Directors, shall review, in the exercise of
their fiduciary duties, at least quarterly, a written
report of the amounts expended with respect to the Class A, B, C, R3, R4 and R5
shares of each Fund by the Distributor under this Plan and the Principal
Underwriting Agreement and the purposes for which such expenditures were made.
ARTICLE VIII. TERMINATION
This Plan may be terminated with respect to any class of shares of a Fund (a) at
any time by vote of a majority of the Independent Directors, or a majority of
the applicable Fund's outstanding voting Class A, B, C, R3, R4 or R5 shares, as
applicable, or (b) by the Distributor on 60 days' notice in writing to the
applicable Fund(s).
Termination or discontinuance of the Plan with respect to one Fund shall not
affect the continued effectiveness of this Plan with respect to the shares or
classes of any other Fund.
ARTICLE IX. AGREEMENTS
Each agreement with any person relating to implementation of this Plan shall be
in writing, and each agreement related to this Plan shall provide:
(a) That, with respect to each Fund, such agreement may be terminated at
any time, without payment of any penalty, by vote of a majority of the
Independent Directors or by vote of a majority of the Fund's then outstanding
voting Class A, B, C, R3, R4 or R5 shares, as applicable.
(b) That such agreement shall terminate automatically in the event of its
assignment.
ARTICLE X. AMENDMENTS
This Plan may not be amended to increase materially the maximum amount of the
fees payable by any Fund hereunder without the approval of a majority of the
outstanding voting Class A, B, C, R3, R4 or R5 shares, as applicable, of the
applicable Fund. No material amendment to the Plan shall, in any event, be
effective unless it is approved by the Board of Directors in the same manner as
is provided for in Article V.
ARTICLE XI. PRESERVATION OF DOCUMENTS
The Company shall preserve copies of this Plan (including any amendments
thereto) and any related agreements and all reports made to the Board for a
period of not less than six years from the date of this Plan, the first two
years in an easily accessible place.
ARTICLE XII. LIMITATION OF LIABILITY
No Fund of the Company shall be responsible for the obligations of any other
Fund of the Company.
ARTICLE XIII. SELECTION OF DIRECTORS
While this Plan is in effect, the selection and nomination of Directors who are
not interested persons of the Company shall be committed to the discretion of
the Board of Directors who are not interested persons of the Company.
ARTICLE XIV. DEFINED TERMS
As used in this Plan, the terms "majority of the outstanding voting shares"
shall have the same meaning as the phrase "majority of the outstanding voting
securities" has in the Act, and the phrases "interested person" and "assignment"
shall have the same meaning as those phrases have in the Act.
Adoption Date: 08.02.06
8
Dates Referenced Herein and Documents Incorporated by Reference
2 Subsequent Filings that Reference this Filing
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