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.A(XXII) — Articles Supplementary Dated September 14, 2007
EX-99.A(XXII) | 1st Page of 8 | TOC | ↑Top | Previous | Next | ↓Bottom | Just 1st |
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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,
one hundred forty-five million (35,145,000,000) shares of $0.001 par value
common stock, having an aggregate par value of thirty-five million one hundred
forty-five thousand dollars ($35,145,000), as listed below:
[Enlarge/Download Table]
Series Class A Shares Class B Shares Class C Shares Class I Shares Class Y 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
[Enlarge/Download Table]
Series Class A Shares Class B Shares Class C Shares Class I Shares Class Y 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 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 200,000,000 200,000,000 200,000,000 -- 200,000,000
Fund
[Enlarge/Download Table]
Series Class A Shares Class B Shares Class C Shares Class I Shares Class Y Shares
------ -------------- -------------- -------------- -------------- --------------
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
[Enlarge/Download Table]
Series Class A Shares Class B Shares Class C Shares Class D Shares Class I Shares Class Y 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
[Enlarge/Download Table]
Series Class R3 Shares Class R4 Shares Class R5 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
[Enlarge/Download Table]
Series Class R3 Shares Class R4 Shares Class R5 Shares
------ --------------- --------------- ---------------
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, nine hundred
ninety-five million (35,995,000,000) shares, with an aggregate par value of
thirty-five million nine hundred ninety-five thousand dollars ($35,995,000), as
classified below:
[Enlarge/Download Table]
Series Class A Shares Class B Shares Class C Shares Class I Shares Class Y 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 -- --
[Enlarge/Download Table]
Series Class A Shares Class B Shares Class C Shares Class I Shares Class Y Shares
------ -------------- -------------- -------------- -------------- --------------
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 ENHANCED DIVIDEND
FUND 200,000,000 200,000,000 200,000,000 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
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
[Enlarge/Download Table]
Series Class A Shares Class B Shares Class C Shares Class I Shares Class Y Shares
------ -------------- -------------- -------------- -------------- --------------
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
[Enlarge/Download Table]
Series Class A Shares Class B Shares Class C Shares Class D Shares Class I Shares Class Y 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]
Series Class A Shares Class B Shares Class C Shares Class D Shares Class I Shares Class Y 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
[Enlarge/Download Table]
Series Class R3 Shares Class R4 Shares Class R5 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 ENHANCED DIVIDEND
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
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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 September 11-12, 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 shares to THE HARTFORD
GLOBAL ENHANCED DIVIDEND FUND, a new series of the Corporation.
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 14th day of
September 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
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